Caterpillar director granted 211 common shares

WILKINS RAYFORD JR reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

WILKINS RAYFORD JR reported acquisition or exercise transactions in this Form 4 filing.

Caterpillar Inc. director Rayford Wilkins Jr reported a stock award of 211 shares of Caterpillar common stock. The shares were granted at a price of $0.00 per share, indicating a compensation-related award rather than an open-market purchase. Following this grant, his directly held position increased to 8,416 shares. A footnote notes that this total includes adjustments for dividends that have accrued, which slightly alters the share count over time.

Insider Trade Summary

Grant/Award: 211 shares

Grant/Award 1 txn

Insider WILKINS RAYFORD JR

Role Director

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

Holdings After Transaction: Common Stock — 8,416 shares (Direct)

Footnotes (1)

1. F1. Includes adjustments for dividends accrued.

Key Figures

Stock award size: 211 shares Grant price: $0.00 per share Shares held after grant: 8,416 shares +1 more

4 metrics

Stock award size 211 shares Common Stock grant to director on 2026-06-10

Grant price $0.00 per share Indicates compensation-related stock award, not market purchase

Shares held after grant 8,416 shares Total direct Caterpillar holdings following the 211-share award

Acquisition transactions 1 transaction Form 4 shows one acquisition-type entry (code A)

Key Terms

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

4 terms

Common Stock financial

"reported a stock award of 211 shares of Caterpillar 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.

Grant, award, or other acquisition financial

"transaction code “A,” described as a grant, award, or other acquisition"

direct holdings financial

"raising his direct holdings to 8,416 shares"

accrued dividends financial

"includes adjustments for dividends that have accrued over time"

Accrued dividends are payments a company owes to shareholders that have been earned or officially declared but not yet paid; think of them as an IOU the company has for past dividend obligations. They matter to investors because they represent a near-term claim on a company’s cash, affect the company’s reported liabilities and value, and can be especially important when assessing income reliability or priority in a payout situation.

FAQ

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

What insider transaction did Caterpillar (CAT) director Rayford Wilkins Jr report?

Director Rayford Wilkins Jr reported receiving a grant of 211 shares of Caterpillar common stock. The award was recorded at a price of $0.00 per share, reflecting compensation rather than an open-market purchase, and increased his directly held stake in the company.

How many Caterpillar (CAT) shares does Rayford Wilkins Jr hold after this Form 4?

After the reported grant, Rayford Wilkins Jr directly holds 8,416 shares of Caterpillar common stock. This total includes prior holdings plus the new 211-share award and reflects adjustments for dividends that have accrued over time, as noted in the filing footnote.

Was the Caterpillar (CAT) insider transaction a stock purchase or an award?

The Caterpillar transaction was a stock award, not an open-market purchase. The Form 4 shows transaction code “A,” described as a grant, award, or other acquisition, with 211 shares received at $0.00 per share as part of the director’s compensation package.

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 shares. In this case, it reflects a 211-share stock award to director Rayford Wilkins Jr at no cash cost, rather than a voluntary market trade in Caterpillar stock.

Is the Caterpillar (CAT) stock award to Rayford Wilkins Jr a direct holding?

Yes, the 211-share award is reported as a direct holding. The Form 4 lists ownership type as direct, coded “D,” meaning the shares belong directly to Rayford Wilkins Jr rather than through a trust, fund, or other indirect ownership structure.

Do accrued dividends affect Rayford Wilkins Jr’s Caterpillar (CAT) share count?

The Form 4 notes that his share total includes adjustments for dividends accrued. This means dividend-related share credits slightly change his Caterpillar holdings over time, and the reported 8,416 shares already incorporates those dividend-based adjustments in the disclosed total.

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

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Accepted by SEC EDGAR 06/11/2026 - 03:53 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^*

WILKINS RAYFORD 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	8,416(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 Rayford Wilkins 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)