CATERPILLAR INC (CAT) executive donates 294 shares in Form 4 filing

Rhea-AI Filing Summary

CATERPILLAR INC Group President Jason Kaiser reported a gift of company stock. He made a bona fide gift transfer of 294 shares of Caterpillar common stock at a stated price of $0.00 per share, which represents a donation to a Donor Advised Fund.

After this gift, Kaiser directly holds 9,300 shares of Caterpillar common stock. He also has an indirect holding of 368 shares through a 401(k) plan, based on a plan statement dated as of April 30, 2026.

Insider Trade Summary

294 shares gifted

Mixed 2 txns

Insider Kaiser Jason

Role Group President

Type	Security	Shares	Price	Value
Gift	Common Stock	294	$0.00	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 9,300 shares (Direct, null); Common Stock — 368 shares (Indirect, Held by 401(k) plan)

Footnotes (1)

1. Represents a donation of ordinary shares to a Donor Advised Fund. The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.

Key Figures

Shares gifted: 294 shares Direct holdings after gift: 9,300 shares 401(k) plan holdings: 368 shares +3 more

6 metrics

Shares gifted 294 shares Bona fide gift of Caterpillar common stock

Direct holdings after gift 9,300 shares Common stock held directly following transaction

401(k) plan holdings 368 shares Indirect holdings in 401(k) plan as of April 30, 2026

Gift price per share $0.00 per share Reported value for bona fide gift transfer

Gift transactions 1 transaction TransactionSummary giftCount for this Form 4

Gifted share count (summary) 294 shares TransactionSummary giftShares total

Key Terms

bona fide gift, Donor Advised Fund, 401(k) plan, Common Stock

4 terms

bona fide gift financial

"transaction_code_description: "Bona fide gift" for the 294-share transfer"

A bona fide gift is a genuine, voluntary transfer of money, property, or benefits from one party to another made without expectation of repayment, services, or hidden conditions. Investors care because such gifts can affect company disclosures, related‑party transaction rules, tax treatment, and perceived conflicts of interest; think of it like someone giving you a present with no strings attached — but on a corporate scale, auditors and regulators need to verify it really is unconditional.

Donor Advised Fund financial

"Footnote states the shares were donated to a Donor Advised Fund"

A donor advised fund is a charitable savings account you fund with cash or assets (including stocks) that lets you take an immediate tax benefit while recommending when and which charities receive grants over time. Think of it like a dedicated piggy bank for giving: you get tax relief when you put money in, can avoid selling appreciated securities and triggering capital gains, and still control the timing and recipients of donations, which affects tax planning, portfolio decisions, and public giving signals.

401(k) plan financial

"Nature of ownership notes shares are "Held by 401(k) plan""

A 401(k) plan is a workplace retirement account that lets employees set aside part of their pay into a tax-advantaged savings pot, often with employers adding matching contributions — like a workplace piggy bank for future income. It matters to investors because the amount people save and how employers fund these plans influence consumer spending, corporate payroll costs and the flow of money into financial markets, which can affect stock prices and company valuations.

Common Stock financial

"security_title is listed as "Common Stock" for the transactions"

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.

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^*

Kaiser Jason

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/06/2026

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	05/06/2026		G		294(1)	D	$0	9,300	D
Common Stock								368	I	Held by 401(k) plan(2)

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. Represents a donation of ordinary shares to a Donor Advised Fund.

2. The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.

	/s/ Nicole Puza, POA for Jason Kaiser	05/06/2026
	** 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 Jason Kaiser report for CATERPILLAR INC (CAT)?

Jason Kaiser reported a bona fide gift of 294 shares of Caterpillar common stock. The filing describes this as a donation of ordinary shares to a Donor Advised Fund, rather than an open-market sale or purchase transaction affecting trading volume.

How many CATERPILLAR INC (CAT) shares does Jason Kaiser hold after the reported gift?

After the gift, Jason Kaiser directly holds 9,300 shares of Caterpillar common stock. In addition, he has an indirect position of 368 shares held through a 401(k) plan, according to a plan statement dated April 30, 2026, giving context to his overall ownership.

Was the CATERPILLAR INC (CAT) insider transaction a sale or a gift?

The transaction was a bona fide gift, not a sale. The Form 4 lists transaction code G and describes it as a bona fide gift, with 294 shares transferred at a price of $0.00 per share as a donation to a Donor Advised Fund.

Does the Form 4 show any open-market buying or selling of CATERPILLAR INC (CAT) shares?

The Form 4 does not show any open-market purchases or sales. It reports a bona fide gift transfer of 294 shares and an updated holding entry for 368 shares in a 401(k) plan, without recording any transactions coded as open-market buys or sells.

What does the 401(k) plan entry mean in Jason Kaiser’s CATERPILLAR INC (CAT) filing?

The 401(k) entry reflects 368 Caterpillar shares held indirectly in a retirement plan. The filing notes that this information is based on a 401(k) plan statement dated April 30, 2026, indicating updated plan holdings rather than a new market transaction in the company’s stock.