SEC INSIDER TRANSACTIONS

CATERPILLAR INC (CAT) Insider Transactions

Explore official ownership filings, with every record linked to its source.

Reported data · not live

CAT · CATERPILLAR INC

Filing window SEC codes (comma separated) Security type Order

More transaction filters

Roles: director,officer,ten_percent_owner,otherOwner nameOfficer titleOwnership: D, I, unknownoriginal or amendedTransaction fromTransaction throughFiled fromFiled throughMinimum quantityMaximum quantityMinimum priceMaximum priceMinimum calculated valueMaximum calculated valueResults per page (1–100)

OR within codes/roles; AND between categories. Roles apply to buyers and sellers. Owner predicates match the same owner. Missing values fail numeric/date filters. Value is quantity × reported price for non-derivative rows only; derivative values are unknown. Amendments stay separate; joint owners do not duplicate rows.

Reset filters

Stale snapshot · Covered: filings 2026-10-15 to 2026-11-13 · 5 filings · fetched 2026-11-13T16:58:10Z

View six-calendar-month insider history →

Recent reported activity

1purchase rows on this page

0sale rows on this page

5matching filing rows

Purchases and sales count original non-derivative P and S rows. Awards, gifts, exercises, derivatives and amendments are shown separately and are not described as market purchases.

Transaction / filed	Reporting owner(s)	Code / security	Quantity	Price as filed	Ownership	Source
2026-11-02Filed 2026-11-03	Fish James C JrDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Shares were purchased in multiple transactions at prices ranging from $620.33 to $620.42. Upon request, the reporting person will provide full information regarding the number of shares purchased at each separate price ot the issuer, any security holder of the issuer, or SEC staff. F2 Includes adjustments for dividends accrued. References: F1, F2	P Purchase (market/private)Common Stock · Non-derivative	1,000A	620.39	Direct	Form 4 ↗0001104659-26-121809
2026-10-26Filed 2026-10-27	Kaiser JasonOfficer · Group President Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 7 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $692.13 and 6 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	13A	692.13	Direct	Form 4 ↗0001104659-26-119131
2026-10-26Filed 2026-10-27	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $692.13 and 11 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	23A	692.13	Direct	Form 4 ↗0001104659-26-119132
2026-10-26Filed 2026-10-27	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 7 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $692.13 and 6 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F3	A Award / grantPhantom Stock Units · Derivative	8A	692.13	Direct	Form 4 ↗0001104659-26-119134
2026-10-26Filed 2026-10-27	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 7 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $692.13 and 6 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	13A	692.13	Direct	Form 4 ↗0001104659-26-119134

Imported instruments only. Joint owners do not multiply transactions. Amendments are separate filing rows, not additional trades. No aggregate trade totals are implied.