Kaiser Jason's Form 4 filing
Caterpillar Inc (CAT) · filed Nov 13, 2025
- Accession no.
- 0001104659-25-111091
- Filed
- Nov 13, 2025
- Trade date
- Nov 11, 2025
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 17 non-derivative transactions and 2 derivative transactions. Open-market sales total $6.03M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kaiser JasonCIK 0002005183 | Officer (Group President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2025 | Common Stock | MOption exerciseAcquired | +8,881 | $219.76 | +$1,951,688.56 | 17,530 | Direct | |
| Nov 11, 2025 | Common Stock | FTax withholdingDisposed | −3,418 | $570.85 | −$1,951,165.3 | 14,112 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −1,040 | $561.29F2 | −$583,741.6 | 13,072 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −1,413 | $562.27F3 | −$794,487.51 | 11,659 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −1,640 | $563.22F4 | −$923,680.8 | 10,019 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −280 | $563.88F5 | −$157,886.4 | 9,739 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −37 | $565.06F6 | −$20,907.22 | 9,702 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −400 | $567.26F7 | −$226,904 | 9,302 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −653 | $568.60F8 | −$371,295.8 | 8,649 | Direct | |
| Nov 11, 2025 | Common Stock | MOption exerciseAcquired | +8,000 | $196.70 | +$1,573,600 | 16,649 | Direct | |
| Nov 11, 2025 | Common Stock | FTax withholdingDisposed | −2,756 | $570.85 | −$1,573,262.6 | 13,893 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −1,032 | $561.29F9 | −$579,251.28 | 12,861 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −1,260 | $562.15F10 | −$708,309 | 11,601 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −1,480 | $563.22F11 | −$833,565.6 | 10,121 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −460 | $564.09F12 | −$259,481.4 | 9,661 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −380 | $567.35F13 | −$215,593 | 9,281 | Direct | |
| Nov 11, 2025 | Common Stock | SSaleDisposed | −632 | $568.65F14 | −$359,386.8 | 8,649 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2025 | Common Stock | MOption exerciseDisposed | −8,881 | $219.76 | −$1,951,688.56 | 0 | Direct | |
| Nov 11, 2025 | Common Stock | MOption exerciseDisposed | −8,000 | $196.70 | −$1,573,600 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F6
This transaction was entered as multiple trades at $565.06. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F7
This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F8
This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F9
This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F10
This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F11
This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F12
This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F13
This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.
- F14
This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
Referenced by the price of 1 transaction in Table I.