CAT insider buying and SEC filings, explained
Caterpillar Inc. · CIK 18230
Tracked: Forms 3/4/5, 8-K, NT · All filings on sec.gov
Insider activity in the last 12 months
Bought
$1.0M
Insiders who bought
2
Sold (not marked 10b5-1)
$3.1M
Planned sales (10b5-1)
$20.6M
Insider purchases and sales, last 12 months
| Traded | Type | What was filed | Source |
|---|---|---|---|
| Nov 2, 2026 | Purchase (code P) | James C Fish Jr (Director) bought 1,000 shares at $620.39 ($620K), reported as a purchase (code P). Holdings up 27% to 4,714 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Nov 3, 2026, 11:43 AM ET |
| May 13, 2026 | Sale | William E Schaupp (Chief Accounting Officer) sold 360 shares at $906.00 ($326K). Holdings down 40% to 530 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed May 14, 2026 |
| May 4, 2026 | Purchase (code P) | David MacLennan (Director) bought 250 shares at $876.84 ($219K), reported as a purchase (code P). Holdings up 3% to 8,206 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed May 5, 2026 |
| Mar 5, 2026 | Planned (10b5-1) | Joseph E Creed (CEO) sold 2,500 shares at about $718.93 ($1.8M), marked as a 10b5-1 plan trade. Holdings down 7% to 35,083 shares. | SEC filing Filed Mar 6, 2026 |
| Feb 17, 2026 | Sale | Rodney Michael Shurman (President / COO) sold 1,764 shares at $763.39 ($1.3M). Holdings down 55% to 1,440 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 18, 2026 |
| Feb 17, 2026 | Sale | William E Schaupp (Chief Accounting Officer) sold 972 shares at about $764.20 ($743K). Holdings down 54% to 824 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 18, 2026 |
| Feb 12, 2026 | Planned (10b5-1) | Jason Kaiser (President / COO) sold 1,690 shares at $776.70 ($1.3M), marked as a 10b5-1 plan trade. Holdings down 16% to 8,661 shares. | SEC filing Filed Feb 13, 2026 |
| Dec 31, 2025 | Planned (10b5-1) | Andrew R. J. Bonfield (CFO) sold 10,000 shares at about $575.06 ($5.8M), marked as a 10b5-1 plan trade. Holdings down 18% to 45,460 shares. | SEC filing Filed Jan 5, 2026 |
| Dec 1, 2025 | Planned (10b5-1) | Andrew R. J. Bonfield (CFO) sold 10,000 shares at about $571.44 ($5.7M), marked as a 10b5-1 plan trade. Holdings down 15% to 55,460 shares. | SEC filing Filed Dec 2, 2025 |
| Nov 11, 2025 | Planned (10b5-1) | Jason Kaiser (President / COO) sold 10,707 shares at about $563.60 ($6.0M), marked as a 10b5-1 plan trade. Holdings down 55% to 8,649 shares. | SEC filing Filed Nov 13, 2025 |
| Nov 6, 2025 | Purchase (code P) | David MacLennan (Director) bought 300 shares at $568.86 ($171K), reported as a purchase (code P). Holdings up 4% to 7,947 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Nov 6, 2025 |
| Nov 5, 2025 | Sale | William E Schaupp (Chief Accounting Officer) sold 1,200 shares at $572.22 ($687K). Holdings down 48% to 1,323 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Nov 6, 2025 |
125 routine transactions (such as grants, option exercises or tax withholding) are not listed.
Cluster buys
No cluster buys in the last 12 months.
Red flags
No red flags in the last 12 months.
Key events
No key events in the last 12 months.
8-K filings, last 12 months
No 8-K filings in the last 12 months.
Red flags are objective triggers only: the item or form filed, never an opinion.
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