Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | May 11, 2026 | May 12, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATERPILLAR INC
Report date May 11, 2026 · Filed May 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 46,041 |
Ending reported balance
After 2026-05-11 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-05-11 · Exercise / conversion · Acquired 21,403 · Balance 67,444 Row 2 · 2026-05-11 · Tax withholding · Disposed 5,120 · Balance 62,324 Row 3 · 2026-05-11 · Sale · Disposed 15,440 · Balance 46,884 F1: This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Row 4 · 2026-05-11 · Sale · Disposed 843 · Balance 46,041 F2: This transaction was executed in multiple trades at prices ranging from $917.40 to $917.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $219.76 · Expires 2031-03-01 | Direct | 0 |
Reported balance
After 2026-05-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-05-11 · Exercise / conversion · Disposed 21,403 · Balance 0 F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) plan | 1,508 |
Reported balance
Holding disclosure · report date 2026-05-11 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,508 F3: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: This transaction was executed in multiple trades at prices ranging from $917.40 to $917.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 11, 2026 Filed May 12, 2026 17:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 21,403 | $219.76 Strike: $219.76 | $4,703,523.28 |
DisclosureSEC source: 0001104659-26-059243 · tm2614368-2_4seq1.xml · derivative · entry 6 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,403 shares Expires 2031-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| May 11, 2026 Filed May 12, 2026 17:37 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 843 | $917.73 | $773,646.39 |
DisclosureSEC source: 0001104659-26-059243 · tm2614368-2_4seq1.xml · nonDerivative · entry 4 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,041 F2 · price: This transaction was executed in multiple trades at prices ranging from $917.40 to $917.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 11, 2026 Filed May 12, 2026 17:37 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 15,440 | $916.75 | $14,154,620.00 |
DisclosureSEC source: 0001104659-26-059243 · tm2614368-2_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,884 F1 · price: This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 11, 2026 Filed May 12, 2026 17:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,120 | $918.65 | $4,703,488.00 |
DisclosureSEC source: 0001104659-26-059243 · tm2614368-2_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,324 Read SEC document |
| May 11, 2026 Filed May 12, 2026 17:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 21,403 | $219.76 | $4,703,523.28 |
DisclosureSEC source: 0001104659-26-059243 · tm2614368-2_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,444 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 12,000 | $219.76 Strike: $219.76 | $2,637,120.00 |
DisclosureSEC source: 0001104659-26-057311 · tm2613952-1_4seq1.xml · derivative · entry 6 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,403 Underlying: Common Stock · 12,000 shares Expires 2031-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 350 | $926.83 | $324,390.50 |
DisclosureSEC source: 0001104659-26-057311 · tm2613952-1_4seq1.xml · nonDerivative · entry 4 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,041 F2 · price: This transaction was executed in multiple trades at prices ranging from $926.67 to $926.85. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 8,802 | $926.23 | $8,152,676.46 |
DisclosureSEC source: 0001104659-26-057311 · tm2613952-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,391 F1 · price: This transaction was executed in multiple trades at prices ranging from $925.67 to $926.56. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,848 | $925.74 | $2,636,507.52 |
DisclosureSEC source: 0001104659-26-057311 · tm2613952-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,193 Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 12,000 | $219.76 | $2,637,120.00 |
DisclosureSEC source: 0001104659-26-057311 · tm2613952-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,041 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 04, 2026 Filed Mar 6, 2026 17:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 346 | $738.42 | $255,493.32 |
DisclosureSEC source: 0001104659-26-024556 · tm268220-4_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,041 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024. Read SEC document |
| March 03, 2026 Filed Mar 4, 2026 23:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 337 | $719.13 | $242,346.81 |
DisclosureSEC source: 0001104659-26-023598 · tm268026-4_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,387 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 13, 2026 Filed Feb 17, 2026 16:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 11,000 | $219.76 Strike: $219.76 | $2,417,360.00 |
DisclosureSEC source: 0001104659-26-016072 · tm266545-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,403 Underlying: Common Stock · 11,000 shares Expires 2031-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| February 13, 2026 Filed Feb 17, 2026 16:10 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 7,891 | $776.90 | $6,130,517.90 |
DisclosureSEC source: 0001104659-26-016072 · tm266545-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,643 F1 · price: This transaction was executed in multiple trades at prices ranging from $776.69 to $777.13. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 13, 2026 Filed Feb 17, 2026 16:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,109 | $777.41 | $2,416,967.69 |
DisclosureSEC source: 0001104659-26-016072 · tm266545-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,534 Read SEC document |
| February 13, 2026 Filed Feb 17, 2026 16:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 11,000 | $219.76 | $2,417,360.00 |
DisclosureSEC source: 0001104659-26-016072 · tm266545-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,643 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,563 | $744.83 | $2,653,829.29 |
DisclosureSEC source: 0001104659-26-014511 · tm266149-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,643 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 6, 2023. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 9,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-014511 · tm266149-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,206 Read SEC document |
| February 06, 2026 Filed Feb 9, 2026 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 8,288 | $196.70 Strike: $196.70 | $1,630,249.60 |
DisclosureSEC source: 0001104659-26-011941 · tm265628-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,288 shares Expires 2032-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments in the first, second and thired anniversaries of the grant date. Read SEC document |
| February 06, 2026 Filed Feb 9, 2026 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 6,033 | $722.15 | $4,356,730.95 |
DisclosureSEC source: 0001104659-26-011941 · tm265628-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,151 Read SEC document |
| February 06, 2026 Filed Feb 9, 2026 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,255 | $722.80 | $1,629,914.00 |
DisclosureSEC source: 0001104659-26-011941 · tm265628-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,184 Read SEC document |
| February 06, 2026 Filed Feb 9, 2026 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 8,288 | $196.70 | $1,630,249.60 |
DisclosureSEC source: 0001104659-26-011941 · tm265628-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,439 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 02, 2026 Filed Feb 3, 2026 20:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock options · Derivative | 15,000 | $196.70 Strike: $196.70 | $2,950,500.00 |
DisclosureSEC source: 0001104659-26-009707 · tm263771-3_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,228 Underlying: Common Stock · 15,000 shares Expires 2032-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| February 02, 2026 Filed Feb 3, 2026 20:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 10,671 | $680.45 | $7,261,081.95 |
DisclosureSEC source: 0001104659-26-009707 · tm263771-3_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,151 F1 · price: The transaction was executed in multiple trades at prices ranging from $680.16 to $681.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 02, 2026 Filed Feb 3, 2026 20:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,329 | $681.45 | $2,949,997.05 |
DisclosureSEC source: 0001104659-26-009707 · tm263771-3_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,822 Read SEC document |
| February 02, 2026 Filed Feb 3, 2026 20:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,000 | $196.70 | $2,950,500.00 |
DisclosureSEC source: 0001104659-26-009707 · tm263771-3_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,151 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 12, 2026 Filed Jan 13, 2026 19:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 473 | $621.97 | $294,191.81 |
DisclosureSEC source: 0001104659-26-003275 · tm263076-3_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,151 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024. F2 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| November 10, 2025 Filed Nov 12, 2025 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 12,500 | $196.70 Strike: $196.70 | $2,458,750.00 |
DisclosureSEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,288 Underlying: Common Stock · 12,500 shares Expires 2032-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 10, 2025 Filed Nov 12, 2025 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 8,184 | $570.18 | $4,666,353.12 |
DisclosureSEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,512 Read SEC document |
| November 10, 2025 Filed Nov 12, 2025 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,316 | $569.56 | $2,458,220.96 |
DisclosureSEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,696 Read SEC document |
| November 10, 2025 Filed Nov 12, 2025 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 12,500 | $196.70 | $2,458,750.00 |
DisclosureSEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,012 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2025 Filed Mar 6, 2025 00:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 404 | $325.30 | $131,421.20 |
DisclosureSEC source: 0001104659-25-021037 · tm258358-6_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,199 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024 Read SEC document |
| March 03, 2025 Filed Mar 6, 2025 00:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 8,439 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021037 · tm258358-6_4seq1.xml · derivative · entry 4 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,439 Underlying: Common Stock · 8,439 shares Expires 2035-03-03 F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 03, 2025 Filed Mar 6, 2025 00:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021037 · tm258358-6_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,603 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,162 | $362.70 | $1,509,557.40 |
DisclosureSEC source: 0001104659-25-012847 · tm255985-4_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,779 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 9,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012847 · tm255985-4_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,941 Read SEC document |
| January 12, 2025 Filed Jan 14, 2025 22:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 526 | $357.50 | $188,045.00 |
DisclosureSEC source: 0001104659-25-003508 · tm253305-2_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,040 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024. Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 9,133 | $127.60 Strike: $127.60 | $1,165,370.80 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,133 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 6,279 | $408.59 | $2,565,536.61 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,565 F2 · price: This transaction was executed in multiple trades at prices ranging from $408.57 to $408.80. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,854 | $408.22 | $1,165,059.88 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,844 Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 9,133 | $127.60 | $1,165,370.80 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,698 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes dividends accrued. Read SEC document |
| November 06, 2024 Filed Nov 7, 2024 22:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 8,000 | $127.60 Strike: $127.60 | $1,020,800.00 |
DisclosureSEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,133 Underlying: Common Stock · 8,000 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| November 06, 2024 Filed Nov 7, 2024 22:05 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,509 | $409.84 | $2,257,808.56 |
DisclosureSEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,442 F1 · price: This transaction was executed in multiple trades at prices ranging from $409.73 to $409.91. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 06, 2024 Filed Nov 7, 2024 22:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,491 | $409.72 | $1,020,612.52 |
DisclosureSEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,951 Read SEC document |
| November 06, 2024 Filed Nov 7, 2024 22:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 8,000 | $127.60 | $1,020,800.00 |
DisclosureSEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,422 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 30, 2024 Filed Sep 3, 2024 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 5,000 | $127.60 Strike: $127.60 | $638,000.00 |
DisclosureSEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,133 Underlying: Common Stock · 5,000 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 30, 2024 Filed Sep 3, 2024 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,185 | $351.36 | $1,119,081.60 |
DisclosureSEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,442 Read SEC document |
| August 30, 2024 Filed Sep 3, 2024 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,815 | $351.43 | $637,845.45 |
DisclosureSEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,627 Read SEC document |
| August 30, 2024 Filed Sep 3, 2024 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,000 | $127.60 | $638,000.00 |
DisclosureSEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,442 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes dividends accrued. Read SEC document |
| March 04, 2024 Filed Mar 6, 2024 17:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 8,871 | $0.00 Strike: $338.65 | $0.00 |
DisclosureSEC source: 0001104659-24-031373 · tm248078-9_4seq1.xml · derivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,871 Underlying: Common Stock · 8,871 shares Expires 2034-03-04 F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.