Transactions
31
Insider / CATERPILLAR INC
Fassino Anthony D.
Group President at CATERPILLAR INC
- Company
- CATERPILLAR INC
- Ticker
- CAT
- First filing on record
- November 12, 2025
- Latest trade on record
- May 11, 2026
- SEC filings
- EDGAR ↗
Fassino Anthony D., Group President at CATERPILLAR INC, has disclosed 31 transactions in CAT since November 12, 2025: 0 purchases (0 open-market buys) and 18 sales, worth about $99.7M at the reported prices. The latest was filed May 12, 2026, 1 day after the trade.
Open-market buys
0
Sales
18
Avg. disclosure lag
1.9d
Trading in charts
Trade timeline
When does this person trade, how big, and in which direction? Every trade in the last 12 months.
Bought (above the line)Sold (below the line)Other transaction
In the last 12 months Fassino Anthony D. made no purchases and 18 sales worth $66M, plus 13 other transactions. Dot size is the dollar amount.
Portfolio mix
Which stocks does this person trade most? Tile size is dollars traded, all time on record.
Fassino Anthony D. has traded 1 stock on record; the largest by dollars is CAT.
Reporting lag
Does this person report on time? One bar per filing against the Form 4 deadline.
On timeLate
0 of 10 filings on record were reported after the Form 4 deadline (two business days, counted here as 4 calendar days).
What kind of transactions
Most Form 4 rows are pay arriving or tax being withheld, not a decision to buy or sell. Only code P is an open-market purchase and code S an open-market sale. What each code means: Form 4 transaction codes.
| Code | Meaning | Rows | Shares | Value |
|---|---|---|---|---|
| M | Option exercise or conversion | 12 | 160,382 | $33.6M |
| F | Shares withheld for tax | 10 | 26,696 | $20.2M |
| S | Open-market sale | 8 | 58,214 | $45.8M |
| A | Grant or award | 1 | 9,055 | — |
| Year | Rows | Bought | Sold |
|---|---|---|---|
| 2026 | 27 | 0 | 16 · $58.9M |
| 2025 | 4 | 0 | 2 · $7.1M |
Transactions
| Security | Side | Trade date | Disclosed | Lag | Shares | Price | Value | Flags | Source | Share |
|---|---|---|---|---|---|---|---|---|---|---|
| CAT | Option / conversion M | May 11, 2026 | May 12, 2026 | 1d | 21,403 | $220 | $4.7M | derivative | Form 4 ↗ | |
| CAT | Sell S | May 11, 2026 | May 12, 2026 | 1d | 843 | $918 | $774K | Form 4 ↗ | ||
| CAT | Sell S | May 11, 2026 | May 12, 2026 | 1d | 15,440 | $917 | $14.2M | Form 4 ↗ | ||
| CAT | Sell F | May 11, 2026 | May 12, 2026 | 1d | 5,120 | $919 | $4.7M | Form 4 ↗ | ||
| CAT | Option / conversion M | May 11, 2026 | May 12, 2026 | 1d | 21,403 | $220 | $4.7M | Form 4 ↗ | ||
| CAT | Option / conversion M | May 6, 2026 | May 7, 2026 | 1d | 12,000 | $220 | $2.6M | derivative | Form 4 ↗ | |
| CAT | Sell S | May 6, 2026 | May 7, 2026 | 1d | 350 | $927 | $324K | Form 4 ↗ | ||
| CAT | Sell S | May 6, 2026 | May 7, 2026 | 1d | 8,802 | $926 | $8.2M | Form 4 ↗ | ||
| CAT | Sell F | May 6, 2026 | May 7, 2026 | 1d | 2,848 | $926 | $2.6M | Form 4 ↗ | ||
| CAT | Option / conversion M | May 6, 2026 | May 7, 2026 | 1d | 12,000 | $220 | $2.6M | Form 4 ↗ | ||
| CAT | Sell F | March 4, 2026 | March 6, 2026 | 2d | 346 | $738 | $255K | Form 4 ↗ | ||
| CAT | Sell F | March 3, 2026 | March 4, 2026 | 1d | 337 | $719 | $242K | Form 4 ↗ | ||
| CAT | Option / conversion M | February 13, 2026 | February 17, 2026 | 4d | 11,000 | $220 | $2.4M | derivative | Form 4 ↗ | |
| CAT | Sell S | February 13, 2026 | February 17, 2026 | 4d | 7,891 | $777 | $6.1M | Form 4 ↗ | ||
| CAT | Sell F | February 13, 2026 | February 17, 2026 | 4d | 3,109 | $777 | $2.4M | Form 4 ↗ | ||
| CAT | Option / conversion M | February 13, 2026 | February 17, 2026 | 4d | 11,000 | $220 | $2.4M | Form 4 ↗ | ||
| CAT | Sell F | February 10, 2026 | February 12, 2026 | 2d | 3,563 | $745 | $2.7M | Form 4 ↗ | ||
| CAT | Other A | February 10, 2026 | February 12, 2026 | 2d | 9,055 | — | — | Form 4 ↗ | ||
| CAT | Option / conversion M | February 6, 2026 | February 9, 2026 | 3d | 8,288 | $197 | $1.6M | derivative | Form 4 ↗ | |
| CAT | Sell S | February 6, 2026 | February 9, 2026 | 3d | 6,033 | $722 | $4.4M | Form 4 ↗ | ||
| CAT | Sell F | February 6, 2026 | February 9, 2026 | 3d | 2,255 | $723 | $1.6M | Form 4 ↗ | ||
| CAT | Option / conversion M | February 6, 2026 | February 9, 2026 | 3d | 8,288 | $197 | $1.6M | Form 4 ↗ | ||
| CAT | Option / conversion M | February 2, 2026 | February 3, 2026 | 1d | 15,000 | $197 | $3.0M | derivative | Form 4 ↗ | |
| CAT | Sell S | February 2, 2026 | February 3, 2026 | 1d | 10,671 | $680 | $7.3M | Form 4 ↗ | ||
| CAT | Sell F | February 2, 2026 | February 3, 2026 | 1d | 4,329 | $681 | $2.9M | Form 4 ↗ | ||
| CAT | Option / conversion M | February 2, 2026 | February 3, 2026 | 1d | 15,000 | $197 | $3.0M | Form 4 ↗ | ||
| CAT | Sell F | January 12, 2026 | January 13, 2026 | 1d | 473 | $622 | $294K | Form 4 ↗ | ||
| CAT | Option / conversion M | November 10, 2025 | November 12, 2025 | 2d | 12,500 | $197 | $2.5M | derivative | Form 4 ↗ | |
| CAT | Sell S | November 10, 2025 | November 12, 2025 | 2d | 8,184 | $570 | $4.7M | Form 4 ↗ | ||
| CAT | Sell F | November 10, 2025 | November 12, 2025 | 2d | 4,316 | $570 | $2.5M | Form 4 ↗ | ||
| CAT | Option / conversion M | November 10, 2025 | November 12, 2025 | 2d | 12,500 | $197 | $2.5M | Form 4 ↗ |
Filings
| Filed | Form | Accession | Rows | Status | Source |
|---|---|---|---|---|---|
| May 12, 2026 | Form 4 | 0001104659-26-059243 | 5 | published | EDGAR ↗ |
| May 7, 2026 | Form 4 | 0001104659-26-057311 | 5 | published | EDGAR ↗ |
| March 6, 2026 | Form 4 | 0001104659-26-024556 | 1 | published | EDGAR ↗ |
| March 4, 2026 | Form 4 | 0001104659-26-023598 | 1 | published | EDGAR ↗ |
| February 17, 2026 | Form 4 | 0001104659-26-016072 | 4 | published | EDGAR ↗ |
| February 12, 2026 | Form 4 | 0001104659-26-014511 | 2 | published | EDGAR ↗ |
| February 9, 2026 | Form 4 | 0001104659-26-011941 | 4 | published | EDGAR ↗ |
| February 3, 2026 | Form 4 | 0001104659-26-009707 | 4 | published | EDGAR ↗ |
| January 13, 2026 | Form 4 | 0001104659-26-003275 | 1 | published | EDGAR ↗ |
| November 12, 2025 | Form 4 | 0001104659-25-110257 | 4 | published | EDGAR ↗ |
Other insiders at CATERPILLAR INC
- Creed Joseph E Chief Executive Officer 41 rows
- Johnson Denise C Group President 40 rows
- Kaiser Jason Group President 40 rows
- De Lange Bob Group President 34 rows
- BONFIELD ANDREW R J Chief Financial Officer 28 rows
- MacLennan David Director 26 rows
- Marks Judith Fran Director 18 rows
- Shurman Rodney Michael Group President 14 rows
- Johnson Gerald Director 11 rows
- Epley Kyle Joseph Chief Financial Officer 10 rows
Everyone on file, with contracts and lobbying under the company's name: CATERPILLAR INC.
Guides for this page
- What is SEC Form 4? Who files: officers, directors and owners of more than 10% of a class of the company's shares.
- Form 4 transaction codes P = purchase. S = sale. These are the two market trades.
- Insider buying vs insider selling Selling outweighs buying by a wide margin in normal times.
- Options and derivatives on Form 4 Table I = shares. Table II = options and other derivatives.
- What disclosure data cannot tell you Filings are late by design: up to 45 days for Congress, two business days for insiders.
Sources and method
| Source | Filings | Rows | First filed | Newest filed | Read the originals |
|---|---|---|---|---|---|
| SEC EDGAR, Form 4 | 10 | 31 | November 12, 2025 | May 12, 2026 | Form 4 list on EDGAR |
Site built October 27, 2026. Every row in the tables above links to its own filing. To quote a figure, use the Cite button at the top of the page; see how to cite and reuse.
Every row comes from the reporting owner's Form 4 as filed with the SEC (EDGAR ownership XML), read daily. "Value" is shares × the reported price; code P is an open-market purchase, S a sale, M an option exercise, A a grant. The lag is the filing date minus the trade date; Form 4 is due within two business days. Amendments (4/A) are not merged. Details on the methodology page; report an error on corrections.
Not investment advice. Figures are public disclosures shown as filed; they may lag the trade and may be amended later. No recommendation is made or implied.