Caterpillar Inc. — SEC Form 4 Filings
SEC Form 4 Data
Track insider buying and selling activity for Caterpillar Inc. (CAT). Data sourced from SEC EDGAR Form 4 filings and analyzed by StoxPulse AI for significance.
3
$9.4M total
17
$41.7M total
0.2x
Bearish Signal
20
Form 4 transactions
Buy − Sell value
Sale · May 11, 2026
Johnson · Buy
Caterpillar Inc. insiders filed 20 Form 4 transactions in the period analyzed: 3 purchases totaling $9.4M and 17 sales totaling $41.7M. That puts the buy-to-sell ratio at 0.18, which we read as bearish on a directional basis.
The most active filer was Johnson Denise C with 14 transactions in this window. 8 of the 20 filings are flagged as routine — typically 10b5-1 scheduled trades rather than discretionary signals.
Form 4 filings are point-in-time disclosures and do not constitute investment advice. Routine sales under pre-arranged 10b5-1 plans should not be read as bearish.
| Insider | Title | Type | Shares | Price | Value | Date |
|---|---|---|---|---|---|---|
| Johnson Denise C | Group President | Buy | 16,078 | $196.70 | $3.2M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 3,473 | $910.55 | $3.2M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 1,787 | $904.70 | $1.6M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 2,259 | $905.73 | $2.0M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 1,491 | $906.73 | $1.4M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 1,191 | $907.98 | $1.1M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 2,302 | $908.76 | $2.1M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 1,568 | $909.70 | $1.4M | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 402 | $910.65 | $366K | 2026-05-14 |
| Johnson Denise C | Group President | Sale | 1,605 | $911.92 | $1.5M | 2026-05-14 |
| Johnson Denise C | Group President | Buy | 7,900 | $196.70 | $1.6M | 2026-05-13 |
| Johnson Denise C | Group President | Sale | 1,704 | $911.61 | $1.6M | 2026-05-13 |
| Johnson Denise C | Group President | Sale | 3,546 | $909.46 | $3.2M | 2026-05-13 |
| Johnson Denise C | Group President | Sale | 2,650 | $910.24 | $2.4M | 2026-05-13 |
| Schaupp William E | Chief Accounting Officer | Sale | 360 | $906.00 | $326K | 2026-05-13 |
| Creed Joseph E | Chief Executive Officer | Sale | 574 | $912.03 | $524K | 2026-05-11 |
| Pambianchi Christine M | Chief Human Resources Officer | Sale | 224 | $912.03 | $204K | 2026-05-11 |
| Fassino Anthony D. | Group President | Buy | 21,403 | $219.76 | $4.7M | 2026-05-11 |
| Fassino Anthony D. | Group President | Sale | 5,120 | $918.65 | $4.7M | 2026-05-11 |
| Fassino Anthony D. | Group President | Sale | 15,440 | $916.75 | $14.2M | 2026-05-11 |
Insider trading data for Caterpillar Inc. (CAT) is sourced directly from SEC Form 4 filings on the EDGAR database. Corporate insiders — including directors, officers, and shareholders owning more than 10% of the company — are legally required to report their transactions within two business days.
Insider purchases are often considered a bullish signal because executives are using their own money to buy shares, suggesting they believe the stock is undervalued. Insider sales, on the other hand, are more nuanced — they can reflect routine diversification plans (known as 10b5-1 plans), tax obligations, or genuine concerns about the company's outlook.
StoxPulse's AI system analyzes each CAT insider transaction to determine whether it appears routine or notable. We track the buy/sell ratio, total transaction values, and patterns over time to provide a clear picture of insider sentiment for Caterpillar Inc..
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Disclaimer: Insider trading data for Caterpillar Inc. (CAT) is sourced from SEC Form 4 filings and is provided for informational purposes only. Insider transactions should not be the sole basis for investment decisions. Always consult a qualified financial advisor.
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