Johnson Denise C's Form 4 filing
Caterpillar IncCAT · filed May 15, 2026
- Accession no.
- 0001104659-26-062809
- Filed
- May 15, 2026
- Trade date
- May 14, 2026
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 10 non-derivative transactions and 1 derivative transaction. Open-market sales total $11.4M. 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 |
|---|---|
| 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 14, 2026 | Common Stock | MOption exerciseAcquired | +16,078 | $196.70 | +$3,162,542.6 | 65,903 | Direct | |
| May 14, 2026 | Common Stock | FTax withholdingDisposed | −3,473 | $910.55 | −$3,162,340.15 | 62,430 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −1,787 | $904.70F1 | −$1,616,698.9 | 60,643 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −2,259 | $905.73F2 | −$2,046,044.07 | 58,384 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −1,491 | $906.73F3 | −$1,351,934.43 | 56,893 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −1,191 | $907.98F4 | −$1,081,404.18 | 55,702 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −2,302 | $908.76F5 | −$2,091,965.52 | 53,400 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −1,568 | $909.70F6 | −$1,426,409.6 | 51,832 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −402 | $910.65F7 | −$366,081.3 | 51,430 | Direct | |
| May 14, 2026 | Common Stock | SSaleDisposed | −1,605 | $911.92F8 | −$1,463,631.6 | 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 14, 2026 | Common Stock | MOption exerciseDisposed | −16,078 | $196.70 | −$3,162,542.6 | 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.
- F1
This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. 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 $905.25 to $906.20. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. 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.
- F4
This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. 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.
- F6
This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. 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.
- F7
This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. 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.
- F8
This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. 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.