Every Form 4 that Caterpillar Inc. (CAT) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow CAT and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full CAT filings page.
Caterpillar Inc.'s Executive Chairman Donald J. Umpleby III reported a charitable transfer of company stock. On 11/28/2025, he donated 2,350 shares of Caterpillar common stock to The Ayco Charitable Foundation, described as a Donor Advised Fund. The shares were transferred at a reported price of $0, reflecting the nature of the donation rather than a market sale.
After this transaction, Umpleby reported 445,879 shares of Caterpillar common stock held directly, plus indirect holdings of 59,000 shares in an irrevocable trust for descendants, 36,040 shares in a children's irrevocable trust, and 1,030 shares held through a 401(k) plan based on information dated as of November 30, 2025.
Caterpillar Inc. officer Jason E. Kaiser, a Group President, reported a deferred compensation transaction involving phantom stock units tied to Caterpillar common stock. On 11/26/2025, he acquired 13 phantom stock units under the company’s non-qualified deferred compensation plan, at a referenced price of $573.73 per share for 7 of those units, with 6 additional units contributed for no consideration under plan terms. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash upon his retirement or separation from service. Following this transaction, Kaiser beneficially owned 5,132 phantom stock units, which are held in an unfunded unitized company stock fund where the number of units can change over time due to dividends and shifts between stock and cash in the fund.
Caterpillar Inc. reported an insider equity transaction involving its Chief Executive Officer, Joseph E. Creed. On 11/26/2025, Creed acquired 26 phantom stock units under Caterpillar’s non-qualified deferred compensation plan at a reference price of $573.73 per unit. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock.
The 26 units include 13 units credited at $573.73 and 13 units contributed under the plan for no consideration. After this transaction, Creed beneficially holds 10,503 phantom stock units, which will be settled 100% in cash upon his retirement or separation from service. The total also reflects adjustments for dividends accrued and changes in the mix of stock and cash in the underlying unitized company stock fund.
Caterpillar Inc. director David W. MacLennan reported a Form 4 transaction involving phantom stock units under the company’s Director's Deferred Compensation Plan.
On 11/25/2025, 72 phantom stock units, each equivalent to one share of Caterpillar common stock, were acquired at a reference price of $557.34, bringing his beneficially owned phantom stock units to 389. These units were acquired under the Director's Deferred Compensation Plan, are to be settled 100% in cash upon his retirement or separation from service, and include adjustments for dividends accrued.
Caterpillar Inc. (CAT) director reports charitable stock donation
A Caterpillar Inc. director reported a transaction involving the company’s common stock on a Form 4. On 11/19/2025, the reporting person donated 990 shares of Caterpillar common stock to a 501(c)(3) foundation account, with the transaction coded as a gift and a reported price of $0 per share. After this donation, the director beneficially owns 5,948 shares of Caterpillar common stock, and this balance includes dividends that have accrued. The filing is made as an individual Form 4 for one reporting person in their capacity as a director of Caterpillar.
Caterpillar Inc. (CAT) filed a Form 4 reporting an intra‑plan transfer by Group President Denise C. Johnson on 11/12/2025. The transaction, coded “J,” involved phantom stock units in the company’s non‑qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock and are settled 100% in cash upon retirement or separation.
Following the reported transaction, Johnson beneficially owned 10,752 phantom stock units. The filing lists an amount of 10,944 underlying shares and a stated price of $573.02 per derivative security. Units may adjust over time for accrued dividends and the fund’s cash/stock mix.
Caterpillar (CAT) Group President Jason E. Kaiser reported insider transactions on 11/11/2025. He exercised 8,881 employee stock options at $219.76 and 8,000 options at $196.70, acquiring common stock.
On the same day, he executed multiple open‑market sales in tranches, with weighted average sale prices ranging from $561.29 to $568.65 (per footnotes, comprised of multiple trades). The filing also shows share withholding for taxes (Code F) of 3,418 and 2,756 shares at $570.85. Following the transactions, he directly owned 8,649 shares and indirectly owned 368 shares held in a 401(k) plan, based on a plan statement dated October 31, 2025.
Caterpillar (CAT) Group President Anthony D. Fassino reported insider transactions on 11/10/2025. He exercised 12,500 stock options at an exercise price of $196.70 per share, acquired the underlying common stock, and then executed related transactions.
The filing shows a tax withholding transaction of 4,316 shares at $569.56 and an open-market sale of 8,184 shares at an average price of $570.18. Following these transactions, he directly held 41,512 Caterpillar shares, plus 1,499 shares held indirectly in a 401(k) plan based on a statement dated October 31, 2025. Derivative holdings listed include 23,288 stock options remaining after the exercise.
The options exercised were granted on March 7, 2022 under the 2014 Long-Term Incentive Plan, vesting in equal one-third increments on each of the first three anniversaries, and have an expiration date of 03/07/2032.
Caterpillar Inc. (CAT) executive Bob De Lange filed a Form 4 reporting equity transactions. On 11/05/2025, he exercised 20,000 employee stock options at an exercise price of $151.12 per share. He then reported a sale of 14,638 shares of common stock at a weighted average price of $562.36, with trades executed between $562.32 and $562.75. The filing also shows 5,362 shares disposed to cover taxes at a price of $563.66.
Following these transactions, De Lange beneficially owned 80,209 shares of Caterpillar common stock directly. He also reported 20,512 derivative securities (stock options) beneficially owned after the transactions. The exercised options were granted under the Caterpillar Inc. 2014 Long‑Term Incentive Plan on March 5, 2018 and vest in equal thirds on the first three anniversaries of the grant date.
Caterpillar Inc. (CAT) disclosed a Form 4 for Director David W. MacLennan. He purchased 300 shares of common stock on November 6, 2025 at $568.86 per share (transaction code P).
After this transaction, he beneficially owns 7,947 shares directly. The filing notes that this total includes adjustments for dividends accrued.
Caterpillar Inc. (CAT) reported an insider transaction by its Chief Accounting Officer, William E. Schaupp. On 11/05/2025, he sold 1,200 shares of common stock at a price of $572.22 per share (transaction code S). After the sale, he beneficially owns 1,323 shares directly. The filing notes that the remaining share figure includes adjustments for dividends accrued.