Kaiser Jason 4

Accession 0001104659-25-111091

CIK 0000018230other

View on SEC.gov Company Profile

Filed

Nov 12, 7:00 PM ET

Accepted

Nov 13, 12:27 PM ET

Size

40.1 KB

Accession

0001104659-25-111091

Insider Transaction Report

Form 4

Period: 2025-11-11

CATERPILLAR INCCAT

Kaiser Jason

Group President

Transactions

Exercise/Conversion
Common Stock
2025-11-11$219.76/sh+8,881$1,951,689→ 17,530 total
Sale
Common Stock
2025-11-11$562.27/sh−1,413$794,488→ 11,659 total
Sale
Common Stock
2025-11-11$563.88/sh−280$157,886→ 9,739 total
Sale
Common Stock
2025-11-11$561.29/sh−1,040$583,742→ 13,072 total
Sale
Common Stock
2025-11-11$568.60/sh−653$371,296→ 8,649 total
Tax Payment
Common Stock
2025-11-11$570.85/sh−3,418$1,951,165→ 14,112 total
Sale
Common Stock
2025-11-11$565.06/sh−37$20,907→ 9,702 total
Sale
Common Stock
2025-11-11$567.26/sh−400$226,904→ 9,302 total
Exercise/Conversion
Common Stock
2025-11-11$196.70/sh+8,000$1,573,600→ 16,649 total
Sale
Common Stock
2025-11-11$564.09/sh−460$259,481→ 9,661 total
Exercise/Conversion
Employee Stock Options
2025-11-11$219.76/sh−8,881$1,951,689→ 0 total
Exercise: $219.76Exp: 2031-03-01→ Common Stock (8,881 underlying)
Sale
Common Stock
2025-11-11$563.22/sh−1,640$923,681→ 10,019 total
Sale
Common Stock
2025-11-11$561.29/sh−1,032$579,251→ 12,861 total
Sale
Common Stock
2025-11-11$563.22/sh−1,480$833,566→ 10,121 total
Tax Payment
Common Stock
2025-11-11$570.85/sh−2,756$1,573,263→ 13,893 total
Sale
Common Stock
2025-11-11$567.35/sh−380$215,593→ 9,281 total
Sale
Common Stock
2025-11-11$562.15/sh−1,260$708,309→ 11,601 total
Sale
Common Stock
2025-11-11$568.65/sh−632$359,387→ 8,649 total
Exercise/Conversion
Employee Stock Options
2025-11-11$196.70/sh−8,000$1,573,600→ 0 total
Exercise: $196.70Exp: 2032-03-07→ Common Stock (8,000 underlying)

Holdings

Common Stock
(indirect: By 401(k))
368

Footnotes (17)

[F1]Includes adjustments for dividends accrued.
[F10]This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F11]This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F12]This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F13]This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F14]This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F15]The information in this report is based on a 401(k) plan statement dated as of October 31, 2025.
[F16]The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
[F17]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.
[F2]This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F3]This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F4]This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F5]This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F6]This transaction was entered as multiple trades at $565.06. The reporting person hereby undertakes to provide upon request of 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.
[F7]This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F8]This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
[F9]This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.

Documents

1 file

4
tm2531191-1_4seq1.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

CATERPILLAR INC

CIK 0000018230

→

Entity typeother

Related Parties

filerCIK 0002005183

Filing Metadata

Form type: 4
Filed: Nov 12, 7:00 PM ET
Accepted: Nov 13, 12:27 PM ET
Size: 40.1 KB

View on SEC.gov