Written from the filing's own figures. OQRO describes what was reported and never tells you what to buy or sell
View the official recordSEC Form 4 — Statement of Changes in Beneficial OwnershipAll the details
Dates, kept separate
Transaction date
Nov 12, 2025
Reporting period
Not applicable
Filed with the SEC
Nov 14, 2025
OfficerOther
Context
Classification
other
Code J — not an open-market trade
Planned / mechanical clue
None found in footnotes
Only flagged when a footnote says so; never inferred
Source receipt
Record ID
0001104659-25-112198
Filed / recorded
Nov 14, 2025, 5:56 PM UTC
Added to OQRO
Oct 2, 2026, 3:52 AM UTC
Parser
form4-xml-v1
Data quality
Verified: identifiers matched exactly
Issuer
CATERPILLAR INC
Issuer CIK
18230
Ticker
CAT
Reporting person
Denise C Johnson
Relationship
Officer
Officer title
Group President
Security
Phantom Stock Units
Table
Derivative (Table II)
Transaction date
Nov 12, 2025
Transaction code
J
Shares / units
10,944
Price per share
$573.02
Acquired / disposed
Disposed (D)
Shares owned after
10,752
Ownership form
Direct
Amendment
No
Footnotes from the filing
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.
Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan").
The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
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.
