Johnson Denise C's Form 4 filing
Caterpillar Inc (CAT) · filed May 14, 2026
- Accession no.
- 0001104659-26-061036
- Filed
- May 14, 2026
- Trade date
- May 13, 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 $5.64M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| May 13, 2026 | Common Stock | MOption exerciseAcquired | +7,900 | $196.70 | +$1,553,930 | 57,725 | Direct | |
| May 13, 2026 | Common Stock | FTax withholdingDisposed | −1,704 | $911.61 | −$1,553,383.44 | 56,021 | Direct | |
| May 13, 2026 | Common Stock | SSaleDisposed | −3,546 | $909.46F1 | −$3,224,945.16 | 52,475 | Direct | |
| May 13, 2026 | Common Stock | SSaleDisposed | −2,650 | $910.24F2 | −$2,412,136 | 49,825 | 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 13, 2026 | Common Stock | MOption exerciseDisposed | −7,900 | $196.70 | −$1,553,930 | 16,078 | 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 $909.10 to $910.08. 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.
- F2
This transaction was executed in multiple trades at prices ranging from $910.17 to $910.47. 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.