Denise C. Johnson - 14 May 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Reporting relationship: Group President
Issuer ticker: CAT
Reported as of: 14 May 2026
Net transaction value: -$11,444,170
SEC form: 4
Accepted by SEC: 15 May 2026, 17:29:05 UTC
Prior SEC filing: 14 May 2026
Source filing: View source filing
Reporting owner signature: /s/ Nicole Puza, POA for Denise Johnson

Key filing fact

Denise C. Johnson filed Form 4 for CATERPILLAR INC (CAT) on 15 May 2026.

Key facts

This page summarizes Denise C. Johnson's Form 4 filing for CATERPILLAR INC (CAT).
11 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 15 May 2026, 17:29.

Change

Previous filing in this sequence was filed on 14 May 2026.
Current net transaction value: -$11,444,170.

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 0001608229 Primary reporting owner

Johnson Denise C

Relationship: Group President
Address: 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING
Signature: /s/ Nicole Puza, POA for Denise Johnson
Signature date: 15 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: +16,078
Change %: +32%
Price: $196.70^*
Shares after: 65,903
Date: 14 May 2026
Ownership: Direct

CAT transaction

Common Stock

Tax liability

Transaction value
Shares: -3,473
Change %: -5.3%
Price: $910.55^*
Shares after: 62,430
Date: 14 May 2026
Ownership: Direct

CAT transaction

Common Stock

Sale

Transaction value: $1,616,699
Shares: -1,787
Change %: -2.9%
Price: $904.70
Shares after: 60,643
Date: 14 May 2026
Ownership: Direct
Footnotes: F1

CAT transaction

Common Stock

Sale

Transaction value: $2,046,044
Shares: -2,259
Change %: -3.7%
Price: $905.73
Shares after: 58,384
Date: 14 May 2026
Ownership: Direct
Footnotes: F2

CAT transaction

Common Stock

Sale

Transaction value: $1,351,934
Shares: -1,491
Change %: -2.6%
Price: $906.73
Shares after: 56,893
Date: 14 May 2026
Ownership: Direct
Footnotes: F3

CAT transaction

Common Stock

Sale

Transaction value: $1,081,404
Shares: -1,191
Change %: -2.1%
Price: $907.98
Shares after: 55,702
Date: 14 May 2026
Ownership: Direct
Footnotes: F4

CAT transaction

Common Stock

Sale

Transaction value: $2,091,966
Shares: -2,302
Change %: -4.1%
Price: $908.76
Shares after: 53,400
Date: 14 May 2026
Ownership: Direct
Footnotes: F5

CAT transaction

Common Stock

Sale

Transaction value: $1,426,410
Shares: -1,568
Change %: -2.9%
Price: $909.70
Shares after: 51,832
Date: 14 May 2026
Ownership: Direct
Footnotes: F6

CAT transaction

Common Stock

Sale

Transaction value: $366,081
Shares: -402
Change %: -0.78%
Price: $910.65
Shares after: 51,430
Date: 14 May 2026
Ownership: Direct
Footnotes: F7

CAT transaction

Common Stock

Sale

Transaction value: $1,463,632
Shares: -1,605
Change %: -3.1%
Price: $911.92
Shares after: 49,825
Date: 14 May 2026
Ownership: Direct
Footnotes: F8

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: -16,078
Change %: -100%
Price: $196.70^*
Shares after: 0
Date: 14 May 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 16,078
Exercise price: $196.70
Footnotes: F9

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

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 9 footnotes

Footnote 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.

Footnote 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.

Footnote 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

Footnote 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

Footnote 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

Footnote 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

Footnote 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

Footnote 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

Footnote F9

The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.