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Caterpillar (NYSE: CAT) director donates 1,000 shares of stock

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Caterpillar Inc. director James Fish Jr. reported a charitable stock transfer of company shares. On 12/19/2025, he made a gift of 1,000 shares of Caterpillar common stock, recorded at a price of $0 per share, reflecting that it was a donation rather than a sale, to a Donor Advised Fund.

After this transaction, he beneficially owns 3,475 shares of Caterpillar common stock directly, and an additional 250 shares held indirectly by The Nicole M. Fish GST Trust and 250 shares held indirectly by The Stephanie M. Fish GST Trust.

Positive

  • None.

Negative

  • None.
Insider Fish James C Jr
Role Director
Type Security Shares Price Value
Gift Common Stock 1,000 $0.00 --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 3,475 shares (Direct); Common Stock — 250 shares (Indirect, Held by The Nicole M. Fish GST Trust.)
Footnotes (1)
  1. Represents a donation of ordinary shares to a Donor Advised Fund. Includes adjustments for dividends accrued.
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*
Fish James C Jr
(Last) (First) (Middle)
5205 N. O'CONNOR BOULEVARD, SUITE 100
(Street)
IRVING TX 75039
(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
12/19/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 12/19/2025 G 1,000(1) D $0 3,475(2) 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. Represents a donation of ordinary shares to a Donor Advised Fund.
2. Includes adjustments for dividends accrued.
/s/ Nicole M. Puza, POA for James Fish, Jr. 12/22/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Caterpillar (CAT) report in this filing?

The filing reports that director James Fish Jr. made a gift of 1,000 shares of Caterpillar common stock on 12/19/2025, recorded as a donation to a Donor Advised Fund.

How many Caterpillar (CAT) shares did the director donate?

Director James Fish Jr. donated 1,000 shares of Caterpillar common stock, reported with a transaction code G, which denotes a gift transaction.

How many Caterpillar (CAT) shares does the director own after this transaction?

Following the reported transaction, James Fish Jr. beneficially owns 3,475 shares of Caterpillar common stock directly.

What indirect holdings in Caterpillar (CAT) are reported for the director?

In addition to his direct holdings, the filing shows 250 shares held indirectly by The Nicole M. Fish GST Trust and 250 shares held indirectly by The Stephanie M. Fish GST Trust.

What is the relationship of the reporting person to Caterpillar (CAT)?

The reporting person, James Fish Jr., is identified as a Director of Caterpillar Inc. in the filing.

Was this Caterpillar (CAT) insider transaction a sale for value or a gift?

The transaction is reported with code G and a price of $0 per share, and the notes state it represents a donation of ordinary shares to a Donor Advised Fund, indicating it was a gift, not a sale for cash.