Johnson Denise C's Form 4 filing
Caterpillar Inc (CAT) · filed Feb 4, 2026
- Accession no.
- 0001104659-26-010372
- Filed
- Feb 4, 2026
- Trade date
- Feb 2, 2026
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 12 non-derivative transactions and 2 derivative transactions. Open-market sales total $26.7M. 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 |
|---|---|
| Johnson Denise CCIK 0001608229 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2026 | Common Stock | MOption exerciseAcquired | +11,810 | $196.70 | +$2,323,027 | 55,160 | Direct | |
| Feb 2, 2026 | Common Stock | FTax withholdingDisposed | −3,399 | $683.39 | −$2,322,842.61 | 51,761 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −1,000 | $678.52 | −$678,520 | 50,761 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −7,411 | $680.11 | −$5,040,295.21 | 43,350 | Direct | |
| Feb 2, 2026 | Common Stock | MOption exerciseAcquired | +45,291 | $219.76 | +$9,953,150.16 | 86,641 | Direct | |
| Feb 2, 2026 | Common Stock | FTax withholdingDisposed | −14,564 | $683.39 | −$9,952,891.96 | 74,077 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −1,431 | $680.11 | −$973,237.41 | 72,646 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −20,145 | $680.76 | −$13,713,910.2 | 52,501 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −2,994 | $681.69 | −$2,040,979.86 | 49,507 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −2,761 | $682.84 | −$1,885,321.24 | 46,746 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −2,258 | $683.90 | −$1,544,246.2 | 44,488 | Direct | |
| Feb 2, 2026 | Common Stock | SSaleDisposed | −1,138 | $684.93 | −$779,450.34 | 43,350 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2026 | Common Stock | MOption exerciseDisposed | −11,810 | $196.70 | −$2,323,027 | 23,978 | Direct | |
| Feb 2, 2026 | Common Stock | MOption exerciseDisposed | −45,291 | $219.76 | −$9,953,150.16 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.