Caterpillar director awarded 211 shares of stock

KEENE NAZZIC S reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

KEENE NAZZIC S reported acquisition or exercise transactions in this Form 4 filing.

Caterpillar Inc. director Nazzic S. Keene received a grant of 211 shares of Caterpillar common stock, recorded at a price of $0.00 per share as a compensation-related award. Following this Form 4 transaction, Keene directly holds 728 shares of Caterpillar common stock, including adjustments for dividends accrued.

Insider Trade Summary

Grant/Award: 211 shares

Grant/Award 1 txn

Insider KEENE NAZZIC S

Role Director

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

Holdings After Transaction: Common Stock — 728 shares (Direct)

Footnotes (1)

1. F1. Includes adjustments for dividends accrued.

Key Figures

Stock grant: 211 shares Grant price: $0.00 per share Post-transaction holdings: 728 shares

3 metrics

Stock grant 211 shares Common Stock grant to director Nazzic S. Keene

Grant price $0.00 per share Compensation-related award, not open-market purchase

Post-transaction holdings 728 shares Direct Caterpillar common stock held after grant, including dividend adjustments

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."

FAQ

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

What insider transaction did Nazzic S. Keene report at Caterpillar (CAT)?

Nazzic S. Keene reported receiving a grant of 211 shares of Caterpillar common stock. The Form 4 classifies this as a grant, award, or other acquisition, reflecting compensation rather than an open-market stock purchase or sale.

Was Nazzic S. Keene’s Caterpillar (CAT) transaction an open-market buy or sell?

The transaction was not an open-market trade. It is coded as an acquisition under a grant, award, or other acquisition at $0.00 per share, indicating a compensation-related stock grant instead of a market purchase or sale.

How many Caterpillar (CAT) shares does Nazzic S. Keene hold after this Form 4?

After the reported transaction, Nazzic S. Keene directly holds 728 shares of Caterpillar common stock. This total includes the newly granted 211 shares and reflects adjustments for dividends accrued as noted in the filing footnote.

What does the $0.00 per share price mean in Nazzic S. Keene’s Caterpillar grant?

The $0.00 per share price indicates the shares were received without cash payment by the director. It reflects a stock grant or award from Caterpillar, rather than an open-market transaction where the insider pays a market price for the shares.

Does Nazzic S. Keene’s Caterpillar Form 4 mention any special adjustments?

Yes. A footnote states the holdings include adjustments for dividends accrued. This means the reported share amount factors in additional shares or fractions resulting from dividend-related adjustments rather than only the originally granted quantity.

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

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Accepted by SEC EDGAR 06/11/2026 - 03:47 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^*

KEENE NAZZIC S

(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	728(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 Nazzic Keene	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)