Bonfield Andrew R J's Form 4 filing
Caterpillar Inc (CAT) · filed May 7, 2026
- Accession no.
- 0001104659-26-057309
- Filed
- May 7, 2026
- Trade date
- May 6, 2026
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $14.4M. It was filed 1 day 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 |
|---|---|
| Bonfield Andrew R JCIK 0001199292 | Officer (CFO Emeritus) |
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 |
|---|---|---|---|---|---|---|---|---|
| May 6, 2026 | Common Stock | MOption exerciseAcquired | +11,655 | $253.98 | +$2,960,136.9 | 64,590 | Direct | |
| May 6, 2026 | Common Stock | MOption exerciseAcquired | +7,673 | $338.65 | +$2,598,461.45 | 72,263 | Direct | |
| May 6, 2026 | Common Stock | MOption exerciseAcquired | +3,726 | $332.04 | +$1,237,181.04 | 75,989 | Direct | |
| May 6, 2026 | Common Stock | FTax withholdingDisposed | −7,380 | $920.72 | −$6,794,913.6 | 68,609 | Direct | |
| May 6, 2026 | Common Stock | SSaleDisposed | −15,674 | $918.71F1 | −$14,399,860.54 | 52,935 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 6, 2026 | Common Stock | MOption exerciseDisposed | −11,655 | $253.98 | −$2,960,136.9 | 0 | Direct | |
| May 6, 2026 | Common Stock | MOption exerciseDisposed | −7,673 | $338.65 | −$2,598,461.45 | 3,836 | Direct | |
| May 6, 2026 | Common Stock | MOption exerciseDisposed | −3,726 | $332.04 | −$1,237,181.04 | 7,450 | 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.
- F1
This transaction was executed in multiple trades at prices ranging from $918.50 to $919.33. 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.
Referenced by the price of 1 transaction in Table I.