Caterpillar (CAT) director Susan Schwab receives 211-share stock grant

Rhea-AI Filing Summary

SCHWAB SUSAN C reported acquisition or exercise transactions in this Form 4 filing.

Caterpillar Inc. director Susan C. Schwab received a grant of 211 shares of Common Stock on June 10, 2026. The shares were awarded at $0.00 per share, reflecting a compensation-related grant rather than an open-market purchase. Following this award, she directly holds 6,197 Caterpillar shares, including adjustments for dividends accrued noted in the filing.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider SCHWAB SUSAN C

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	211	$0.00	--

Holdings After Transaction: Common Stock — 6,197 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares granted: 211 shares Grant price: $0.00 per share Shares owned after grant: 6,197 shares +1 more

4 metrics

Shares granted 211 shares Common Stock grant on June 10, 2026

Grant price $0.00 per share Reported transaction price for awarded shares

Shares owned after grant 6,197 shares Total direct holdings following the transaction

Acquire transactions 1 transaction Form 4 transactionSummary acquireCount

Key Terms

Grant, award, or other acquisition, Common Stock, dividends accrued

3 terms

Grant, award, or other acquisition financial

"transaction_code_description: "Grant, award, or other acquisition""

Common Stock financial

"security_title: "Common Stock" reported for the transaction"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

dividends accrued financial

"Footnote states: "Includes adjustments for dividends accrued.""

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Form 4 Insider Transactions: What Each Field Means →

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

SCHWAB SUSAN C

(Last) (First) (Middle)

5205 N. O'CONNOR BOULEVARD, SUITE 100

(Street)

IRVING TEXAS 75039

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [ CAT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/10/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/10/2026		A		211	A	$0	6,197(1)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Includes adjustments for dividends accrued.

	/s/ Nicole M. Puza, POA for Susan Schwab	06/11/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did CAT director Susan C. Schwab report?

Susan C. Schwab reported receiving 211 shares of Caterpillar common stock as a grant. The Form 4 classifies this as a “grant, award, or other acquisition,” indicating a compensation-related share award rather than an open-market purchase or sale.

How many Caterpillar (CAT) shares does Susan C. Schwab own after this grant?

After the 211-share grant, Susan C. Schwab directly holds 6,197 Caterpillar shares. This total reflects her post-transaction position as reported in the Form 4, giving investors a clear view of her current direct equity stake in the company.

What was the price for the Caterpillar (CAT) shares granted to Susan C. Schwab?

The 211 Caterpillar shares granted to Susan C. Schwab were reported at $0.00 per share. This indicates the shares were awarded at no cash cost to her, consistent with stock grants typically provided as part of director compensation programs.

Was Susan C. Schwab’s Caterpillar (CAT) transaction a buy or a grant?

The transaction was reported as a grant, not an open-market buy. The Form 4 uses transaction code “A” with the description “Grant, award, or other acquisition,” signaling that the shares were issued as part of an award rather than purchased on the market.

Does the Caterpillar (CAT) Form 4 mention dividend-related adjustments?

Yes. A footnote states that the reported holdings include adjustments for dividends accrued. This means the total 6,197 shares after the transaction already incorporates additional shares credited in connection with dividend accruals on previously held awards.