Caterpillar (CAT): CEO sold ~$575K

~$575K

Approx. value · 800 sh @ $718.44

36K

Holds after · shares reported

Traded

Mar 5, 2026

Filed

Mar 6, 2026

The story around this disclosure

Every dated public record OQRO holds about the company from 60 days before to 120 days after, oldest first. It shows what was going on; none of it is a stated reason for the trade.

1. Feb 7, 2025CongressDisclosed purchase of CAT — reported range $15,001 - $50,000
2. Oct 14, 2025Federal contract · $23.4M obligatedDepartment of Defense awarded Caterpillar: $23.4M obligated to date
3. Dec 29, 2025CongressDisclosed purchase of CAT — reported range $15,001 - $50,000
4. Dec 31, 2025Insider · 1 personInsiders: 7 sales (~$5.8M)
5. Jan 6, 2026Company filing · Form 8-K · Executive change, Bylaws or charterChanged a top executive or board member, and changed its bylaws, charter or fiscal year“On January 6, 2026, the Board of Directors (the “Board”) of Caterpillar Inc. (the “Company”) announced the resignation of D. James Umpleby III as a member of the Board, effective April 1, 2026 (the “Effective Date”).”
6. Jan 7, 2026Government · Federal Register noticeCertain Skid-Steer Loaders, Compact Track Loaders, Excavators, Wheel Loaders, Dozers, and Components Thereof; Notice of Institution of Investigation
7. Jan 29, 2026Company filing · Form 8-K · Results, Reg FDReported its results, and shared information with investors
8. Jan 29, 2026CongressDisclosed purchase of CAT — reported range $1,001 - $15,000
9. Feb 2, 2026Government · Federal Register noticeArms Sales Notification
10. Feb 2, 2026Insider · 3 peopleInsiders: 10 sales (~$44.8M)
11. Feb 4, 2026Insider · 1 personInsiders: 3 sales (~$11.3M)
12. Feb 6, 2026Insider · 2 peopleInsiders: 2 sales (~$20.7M)
13. Feb 11, 2026InsiderOfficer sold ~$9.59M of CAT shares in the open market
14. Feb 12, 2026InsiderOfficer sold ~$1.31M of CAT shares in the open market
15. Feb 13, 2026InsiderOfficer sold ~$6.13M of CAT shares in the open market
16. Feb 17, 2026Insider · 2 peopleInsiders: 2 sales (~$2.1M)
17. Feb 23, 2026InsiderOfficer sold ~$1.73M of CAT shares in the open market
18. Mar 5, 2026 · this disclosureInsiderCEO sold ~$575K of CAT shares in the open market

What came next

1. Mar 5, 20265% stakeThe Vanguard Group reported a passive stake (13G) of 10.1%
2. Mar 5, 2026Insider · 1 personInsiders: 4 sales (~$1.2M)
3. Mar 26, 20265% stakeThe Vanguard Group reported a passive stake (13G)
4. Mar 31, 2026CongressDisclosed partial sale of CAT — reported range $1,001 - $15,000
5. Apr 7, 2026Company filing · Form 8-K · Executive changeChanged a top executive or board member“On April 8, 2026, Caterpillar Inc. (the “Company”) announced that, on April 7, 2026, the Board of Directors (the “Board”) of the Company appointed Kyle Epley as the Company’s Chief Financial Officer, effective May 1, 2026, succeeding Andrew R.J. Bonfield.”
6. Apr 8, 2026Federal contract · $2.8M obligatedDepartment of Defense awarded Caterpillar: $2.79M obligated to date
7. Apr 13, 2026Federal contract · $3.4M obligatedDepartment of Defense awarded Caterpillar: $3.38M obligated to date
8. Apr 28, 2026Federal contract · $4.6M obligatedDepartment of Defense awarded Caterpillar: $4.58M obligated to date
9. Apr 29, 20265% stakeVanguard Capital Management reported a passive stake (13G) of 7.5%
10. Apr 30, 2026Company filing · Form 8-K · Results, Reg FDReported its results, and shared information with investors
11. May 4, 2026Insider · 2 peopleInsiders: 1 purchase (~$219K), 1 sale (~$5.0M)
12. May 5, 2026Insider · 1 personInsiders: 2 sales (~$5.1M)
13. May 6, 2026Insider · 3 peopleInsiders: 5 sales (~$45.2M)
14. May 11, 2026Insider · 1 personInsiders: 2 sales (~$14.9M)
15. May 13, 2026Insider · 2 peopleInsiders: 3 sales (~$6.0M)
16. May 14, 2026Federal contract · $3.3M obligatedDepartment of Defense awarded Caterpillar: $3.31M obligated to date
17. May 14, 2026Insider · 1 personInsiders: 8 sales (~$11.4M)
18. May 15, 2026Federal contract · $2.7M obligatedDepartment of Defense awarded Caterpillar: $2.69M obligated to date
19. May 27, 2026Federal contract · $6.5M obligatedDepartment of Defense awarded Caterpillar: $6.48M obligated to date
20. May 29, 2026Government · Federal Register noticeNotice of Receipt of Complaint; Solicitation of Comments Relating to the Public Interest

How to read SEC Form 4

Form 4 is the filing that officers, directors and owners of more than 10% of a US-listed company must send to the SEC within two business days after they buy, sell or otherwise change their holding of the company's stock.

Full guide: What is an SEC Form 4?

What else is on file for Caterpillar

For Caterpillar, OQRO holds 17 insider filings (SEC Form 4 or Form 144), 1 Congress trade report, 5 fund holdings reports (13F) and 4 federal contract awards dated in the last 90 days.

These are records OQRO holds, counted by their date, not a measure of how much trading took place. Routine paperwork such as option exercises and tax withholding is left out. Everything for the company is on its CAT page.

Other recent filings by Joseph E Creed, Chief Executive Officer

• SEC Form 4 at Caterpillar (CAT)Sep 1, 2026
• SEC Form 4 at Caterpillar (CAT)Sep 1, 2026
• SEC Form 4 at Caterpillar (CAT)Sep 1, 2026
• SEC Form 4 at Caterpillar (CAT)Sep 1, 2026
• SEC Form 4 at Caterpillar (CAT)Sep 1, 2026

The full history of Joseph E Creed, Chief Executive Officer is on the profile page.

How this filing works

• SEC Form 4
• Open-market purchase
• Rule 10b5-1 trading plans

Other disclosures at Caterpillar

• SEC Form 13F-HRNov 13, 2026
• SEC Form 4Nov 13, 2026
• SEC Form 4Nov 3, 2026
• USAspending.gov award recordNov 2, 2026
• USAspending.gov award recordNov 2, 2026
• USAspending.gov award recordNov 2, 2026

Everything OQRO holds on this company is on its CAT page.