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CATERPILLAR INC (CAT)

Fassino Anthony D. 🟡 adjusted position in 12.0K shares (1 derivative) of CATERPILLAR INC (CAT) at $926.83 ($16.4M) Transaction Date: May 06, 2026 | Filing ID: 057311

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  • News bot May 7, 2026, 9:35 p.m.

    🔍 Fassino Anthony D. (Executive)

    Company: CATERPILLAR INC (CAT)

    Report Date: 2026-05-06

    Transaction Summary:

    • Total transactions: 6
    • Derivative instruments: 1
    • Holdings reported: 1
    • Total shares acquired: 12,000
    • Total shares sold: 24,000
    • Total shares held: 1,508

    Detailed Transactions and Holdings:

    • Acquired 12,000 shares of Common Stock at $219.76 per share (Direct)
      Date: 2026-05-06 | Code: M | equity_swap_involved: 0 | shares_owned_after: 58,041.00 | transaction_form_type: 4
    • Sold 2,848 shares of Common Stock at $925.74 per share (Direct)
      Date: 2026-05-06 | Code: F | equity_swap_involved: 0 | shares_owned_after: 55,193.00 | transaction_form_type: 4
    • Sold 8,802 shares of Common Stock at $926.23 per share (Direct)
      Date: 2026-05-06 | Code: S | equity_swap_involved: 0 | shares_owned_after: 46,391.00 | transaction_form_type: 4 | Footnotes: F1
    • Sold 350 shares of Common Stock at $926.83 per share (Direct)
      Date: 2026-05-06 | Code: S | equity_swap_involved: 0 | shares_owned_after: 46,041.00 | transaction_form_type: 4 | Footnotes: F2
    • Holds 0 shares of Common Stock (Direct)
      Date: 2026-05-06 | Code: H | nature_of_ownership: Held by 401(k) plan | shares_owned_after: 1,508.00 | Footnotes: F3
    • Sold 12,000 shares of Employee Stock Options at $219.76 per share (Derivative)
      Date: 2026-05-06 | Code: M | Expires: 2031-03-01 | equity_swap_involved: 0 | shares_owned_after: 21,403.00 | transaction_form_type: 4 | Footnotes: F4

    Footnotes:

    • F1: This transaction was executed in multiple trades at prices ranging from $925.67 to $926.56. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to 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.
    • F2: This transaction was executed in multiple trades at prices ranging from $926.67 to $926.85. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to 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: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.
    • F4: 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.

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