Jason E. Kaiser - 04 May 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Reporting relationship: Group President
Issuer ticker: CAT
Reported as of: 04 May 2026
Net transaction value: -$4,982,055
SEC form: 4
Accepted by SEC: 05 May 2026, 19:07:29 UTC
Prior SEC filing: 16 Mar 2026
Next SEC filing: 06 May 2026
Source filing: View source filing
Reporting owner signature: /s/ Nicole Puza, POA for Jason Kaiser

Key filing fact

Jason E. Kaiser filed Form 4 for CATERPILLAR INC (CAT) on 05 May 2026.

Key facts

This page summarizes Jason E. Kaiser's Form 4 filing for CATERPILLAR INC (CAT).
4 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 05 May 2026, 19:07.

Change

Previous filing in this sequence was filed on 16 Mar 2026.
Current net transaction value: -$4,982,055.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0002005183 Primary reporting owner

Kaiser Jason

Relationship: Group President
Address: 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING
Signature: /s/ Nicole Puza, POA for Jason Kaiser
Signature date: 05 May 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CAT transaction

Common Stock

Options Exercise

Transaction value
Shares: +7,917
Change %: +83%
Price: $253.98^*
Shares after: 17,511
Date: 04 May 2026
Ownership: Direct

CAT transaction

Common Stock

Tax liability

Transaction value
Shares: -2,275
Change %: -13%
Price: $883.50^*
Shares after: 15,236
Date: 04 May 2026
Ownership: Direct

CAT transaction

Common Stock

Sale

Transaction value: $4,982,055
Shares: -5,642
Change %: -37%
Price: $883.03
Shares after: 9,594
Date: 04 May 2026
Ownership: Direct

CAT holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 368
Date: 04 May 2026
Ownership: Held by 401(k) plan
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CAT transaction Derivative

Employee Stock Options

Options Exercise

Transaction value
Shares: -7,917
Change %: -100%
Price: $253.98^*
Shares after: 0
Date: 04 May 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 7,917
Exercise price: $253.98
Footnotes: F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.

Footnote F2

The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date.