Is the Caterpillar (CAT) insider transaction related to dividends?

The filing’s footnote states that the reported holdings include adjustments for dividends accrued. This means the total of 1,938 shares for Judith Fran Marks factors in share adjustments tied to dividend accruals, in addition to the 211-share award.

Caterpillar (CAT) director Judith Marks awarded 211 shares in stock grant

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Caterpillar Inc. director Judith Fran Marks received an award of 211 shares of common stock on June 10, 2026 at no cash cost, as a grant or other acquisition. Following this award, she directly holds 1,938 Caterpillar shares, reflecting routine equity-based director compensation.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Marks Judith Fran

Role null

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

Holdings After Transaction: Common Stock — 1,938 shares (Direct, null)

Footnotes (1)

[object Object]

Key Figures

Shares granted: 211 shares Post-transaction holdings: 1,938 shares Grant price: $0.0000 per share

3 metrics

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

Post-transaction holdings 1,938 shares Total common stock directly held after grant

Grant price $0.0000 per share Indicates no cash paid for awarded shares

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"

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

"Includes adjustments for dividends accrued."

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Form 4 Insider Transactions: What Each Field Means →

06/11/2026 - 03:50 PM

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^*

Marks Judith Fran

(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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	06/10/2026		A		211	A	$0	1,938⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Includes adjustments for dividends accrued.

	/s/ Nicole M. Puza, POA for Judith Marks	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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Caterpillar (CAT) disclose for Judith Fran Marks?

Caterpillar reported that director Judith Fran Marks received an award of 211 shares of common stock. The transaction was coded as a grant or other acquisition, indicating equity-based compensation rather than an open-market purchase.

How many Caterpillar (CAT) shares does Judith Fran Marks now hold?

After the June 10, 2026 award, Judith Fran Marks directly holds 1,938 shares of Caterpillar common stock. This total incorporates the 211-share grant and includes adjustments for dividends accrued as referenced in the filing footnote.

Was cash paid for the Caterpillar (CAT) shares granted to Judith Fran Marks?

No cash was paid per share for this transaction. The Form 4 lists a transaction price of $0.0000 per share, confirming that the 211 Caterpillar common shares were received as a grant or award rather than purchased in the market.

What does transaction code "A" mean in the Caterpillar (CAT) Form 4?

Transaction code "A" on the Caterpillar Form 4 indicates a grant, award, or other acquisition of securities. For Judith Fran Marks, it reflects compensation-related issuance of 211 common shares, not an open-market buy or sell decision.