Caterpillar SEC Filings

Denise C. Johnson, Group President and officer of Caterpillar Inc. (CAT), reported a transaction dated 09/26/2025 involving 21 phantom stock units under the companys non-qualified deferred compensation plan. The filing states 11 of those units were credited at a price of $465.76 per share and 10 units were contributed for no consideration. The phantom units are economic equivalents of common stock, are held in an unfunded unitized stock fund (mix of stock and cash) that can change in number due to dividend adjustments, and are payable 100% in cash upon retirement or separation. The report shows the reporting person beneficially owns 21,762 phantom stock units following the transaction. The Form 4 was signed by a power of attorney on 09/29/2025.

Joseph E. Creed, Chief Executive Officer of Caterpillar Inc. (CAT), was credited with 32 phantom stock units on 09/26/2025 under the company's non-qualified deferred compensation plan. The filing states 16 of the units were purchased at a price of $465.76 per share and 16 were contributed for no consideration. Following the transaction the reporting person is deemed to beneficially own 10,553 phantom stock units. The units represent economic equivalents of common stock, accrue dividends, are held in an unfunded unitized stock fund that can vary between cash and stock, and will be settled 100% in cash upon retirement or separation from service.

Donald J. Umpleby III, Executive Chairman of Caterpillar Inc. (CAT), reported the sale of 17,166 shares of Caterpillar common stock on 09/22/2025 at a weighted average sale price of $462.65. After the transaction he directly beneficially owns 465,339 shares. The filing also discloses indirect holdings of 59,000 shares held by an irrevocable trust for descendants, 36,040 shares held by a childrens irrevocable trust, and 1,030 shares held via a 401(k) plan statement dated September 22, 2025. The registrant certified the sale met Rule 10b5-1(c) plan conditions and noted the reported weighted average price reflects multiple trades executed between $460.62 and $466.98. The Form 4 was signed by a power of attorney on 09/23/2025.

Form 144 notice for Caterpillar Inc. (CAT) indicates a proposed sale of 17,166 common shares through Goldman Sachs & Co. LLC on the NYSE with an aggregate market value of $8,104,068.60. The filing lists two acquisition lots: 8,135 shares received 02/13/2024 as performance awards and 9,031 shares from a 12/18/2023 stock option cashless exercise and same-day sale. The filing also reports a sale by the Donald James Umpleby, III Revocable Trust of 17,168 shares on 09/02/2025 for gross proceeds of $7,088,124.69. The filer affirms no undisclosed material adverse information and includes signature/attestation language required by the form.

D. James Umpleby III reported a sale of 17,168 shares of Caterpillar Inc. (CAT) on 09/02/2025 at a weighted average price of $412.87, executed as multiple trades. After the sale the reporting person beneficially owns 482,505 shares directly. The filing discloses indirect holdings of 59,000 shares held by an irrevocable trust for descendants, 36,040 shares held by a children\'s irrevocable trust, and 1,028 shares held via a 401(k) plan (401(k) info dated August 31, 2025). The form indicates the transaction was made pursuant to a 10b5-1 plan and is signed by a POA on 09/03/2025.

Caterpillar Inc. filed an 8-K reporting entry into material definitive credit agreements and the creation of direct financial obligations. The filing references a 364-Day Credit Agreement and multi-year facilities, including a Fourth Amended and Restated Credit Agreement structured as a three-year facility and a five-year facility. Each facility includes local currency addenda for CIF and CIF LUX and Japan-specific addenda. The filing lists these agreements as exhibits and states the cover page is provided in Inline XBRL. The filing is signed by Derek Owens, Chief Legal Officer and General Counsel.

Caterpillar Inc. (CAT) Form 144 filed to notify a proposed sale of 17,168 common shares through Goldman Sachs & Co. LLC on the NYSE with an aggregate market value of $7,142,746.40. The shares represent a small fraction of the 468,478,923 shares outstanding and the planned sale date is 09/02/2025. The securities were acquired on 12/18/2023 as compensation through stock options and were exercised via a cashless exercise/same-day sale. No securities were reported sold by the filer in the past three months. The filer certifies they are not aware of undisclosed material adverse information.

Joseph E. Creed, Chief Executive Officer of Caterpillar Inc. (CAT), reported receipt of 35 phantom stock units under the companynon-qualified deferred compensation arrangements on 08/26/2025. Each unit is treated as the economic equivalent of one share of Caterpillar common stock and the transaction used a price of $431.26 per share for 18 credited shares; 17 additional shares were contributed for no consideration. The units are payable 100% in cash upon Creeds retirement or separation and the filing shows he beneficially owns 10,600 phantom stock units following the transaction. The filing was signed by a power of attorney on Creeds behalf.