Fassino Anthony D.'s Form 4 filing
Caterpillar Inc (CAT) · filed May 7, 2026
- Accession no.
- 0001104659-26-057311
- Filed
- May 7, 2026
- Trade date
- May 6, 2026
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $8.48M. 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 |
|---|---|
| Fassino Anthony D.CIK 0001839757 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 6, 2026 | Common Stock | MOption exerciseAcquired | +12,000 | $219.76 | +$2,637,120 | 58,041 | Direct | |
| May 6, 2026 | Common Stock | FTax withholdingDisposed | −2,848 | $925.74 | −$2,636,507.52 | 55,193 | Direct | |
| May 6, 2026 | Common Stock | SSaleDisposed | −8,802 | $926.23 | −$8,152,676.46 | 46,391 | Direct | |
| May 6, 2026 | Common Stock | SSaleDisposed | −350 | $926.83 | −$324,390.5 | 46,041 | 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 | −12,000 | $219.76 | −$2,637,120 | 21,403 | 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.