Form 4: Caterpillar Exec Sells Shares for Tax Obligations
Insider Transaction Report
Caterpillar Group President Anthony D. Fassino disposed of 473 shares of common stock to cover tax obligations related to RSU vesting.
Summary
- Anthony D. Fassino, Group President of Caterpillar Inc., reported a transaction involving the company's common stock.
- On January 12, 2026, 473 shares of common stock were disposed of at a price of $621.97 per share.
- This disposal was to satisfy tax obligations arising from the vesting of Restricted Stock Units (RSUs) that were granted on January 12, 2024.
- Following this transaction, Mr. Fassino directly beneficially owns 41,151 shares of common stock, which includes adjustments for accrued dividends.
- Additionally, Mr. Fassino indirectly beneficially owns 1,499 shares held by a 401(k) Plan, based on a statement dated December 31, 2025.
Sentiment
Score: 5
Explanation: The filing reports a routine, non-discretionary transaction (shares withheld for tax) related to executive compensation, which is neutral in sentiment.
Future Outlook
This filing does not contain any forward-looking statements or guidance.
Industry Context
This is a routine insider transaction related to executive compensation and does not provide broader industry context or trends.
Stakeholder Impact
- Shareholders: Minimal impact, as this is a routine, non-discretionary transaction by an executive to cover tax liabilities from RSU vesting, not a discretionary sale indicating a change in confidence.
Key Dates
| Date | Description |
|---|---|
| 01/12/2024 | Date Restricted Stock Units (RSUs) were granted to the reporting person. |
| 12/31/2025 | Date of the 401(k) plan statement on which indirect beneficial ownership information is based. |
| 01/12/2026 | Transaction date when shares were withheld to satisfy tax obligations from RSU vesting. |
| 01/13/2026 | Date the Form 4 filing was signed. |
Keywords
Caterpillar, CAT, Form 4, insider transaction, stock sale, RSU, executive compensation
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