Caterpillar director receives 211-share stock award

Fish James C Jr reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Fish James C Jr reported acquisition or exercise transactions in this Form 4 filing.

Caterpillar Inc. director James C. Fish Jr. reported a compensation-related equity award rather than an open-market trade. He received 211 shares of Caterpillar common stock with a per-share price of $0.00 under a grant or award, bringing his direct holdings to 3,687 shares.

The filing also shows indirect holdings of 250 shares in The Stephanie M. Fish GST Trust and 250 shares in The Nicole M. Fish GST Trust, both referenced as trust-held common stock. A footnote notes these figures include adjustments for dividends accrued.

Insider Trade Summary

Grant/Award: 211 shares

Grant/Award 3 txns

Insider Fish James C Jr

Role Director

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

Holdings After Transaction: Common Stock — 3,687 shares (Direct); Common Stock — 250 shares (Indirect, Held by The Nicole M. Fish GST Trust.); Common Stock — 250 shares (Indirect, Held by The Stephanie M. Fish GST Trust.)

Footnotes (1)

1. F1. Includes adjustments for dividends accrued.

Key Figures

Shares acquired via grant: 211 shares Direct holdings after grant: 3,687 shares Stephanie M. Fish GST Trust holdings: 250 shares +2 more

5 metrics

Shares acquired via grant 211 shares Common Stock grant coded as acquisition (A) on 2026-06-10

Direct holdings after grant 3,687 shares Caterpillar common stock directly owned following the transaction

Stephanie M. Fish GST Trust holdings 250 shares Indirect Caterpillar common stock held by The Stephanie M. Fish GST Trust

Nicole M. Fish GST Trust holdings 250 shares Indirect Caterpillar common stock held by The Nicole M. Fish GST Trust

Grant price per share $0.00 per share Reported price for the 211-share grant or award

Key Terms

Grant, award, or other acquisition, Common Stock, GST Trust, indirect ownership, +1 more

5 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.

GST Trust financial

"Held by The Stephanie M. Fish GST Trust."

indirect ownership financial

"ownership_type: indirect"

Includes adjustments for dividends accrued. financial

"Footnote: Includes adjustments for dividends accrued."

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did James C. Fish Jr report in this Caterpillar (CAT) Form 4?

James C. Fish Jr reported receiving 211 shares of Caterpillar common stock as a grant or award. This non-market acquisition increased his direct holdings to 3,687 shares, alongside separate indirect holdings through two GST trusts noted in the filing.

How many Caterpillar shares did James C. Fish Jr acquire in this transaction?

He acquired 211 shares of Caterpillar common stock in a single grant or award transaction. The shares were reported at a price of $0.00 per share, indicating a compensation-related award rather than a purchase on the open market.

What are James C. Fish Jr’s direct Caterpillar share holdings after the Form 4 transaction?

After the reported grant, his direct Caterpillar common stock holdings total 3,687 shares. This figure reflects the 211-share award and includes adjustments described in the filing, giving a snapshot of his direct ownership position as of the transaction date.

What indirect Caterpillar holdings are reported for the GST trusts linked to James C. Fish Jr?

The filing lists 250 Caterpillar common shares held by The Stephanie M. Fish GST Trust and 250 shares held by The Nicole M. Fish GST Trust. These positions are classified as indirect ownership interests associated with James C. Fish Jr in the report.

Does this Caterpillar (CAT) Form 4 show any stock sales by James C. Fish Jr?

The Form 4 does not report any sales; it shows one acquisition coded as a grant or award and two holding entries. Transaction summary data indicate zero sell transactions and no open-market dispositions recorded for this reporting period.

What does the dividend-related footnote in the Caterpillar Form 4 indicate?

A footnote explains that the reported share amounts include adjustments for dividends accrued. This means the holdings counts, both direct and indirect, have been updated to reflect additional shares credited due to accrued dividend-related adjustments under the applicable plans.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/11/2026 - 03:43 PM EDT Learn about SEC filing dates

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^*

Fish James C Jr

(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	3,687(1)	D
Common Stock								250	I	Held by The Nicole M. Fish GST Trust.
Common Stock								250	I	Held by The Stephanie M. Fish GST Trust.

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 James Fish, Jr.	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)