Caterpillar executive reports tax share withholding

Caterpillar Inc. Group President Anthony D. Fassino reported a tax-related share withholding tied to vesting equity awards.

Rhea-AI Filing Summary

Caterpillar Inc. Group President Anthony D. Fassino reported a tax-related share withholding tied to vesting equity awards. On March 4, 2026, 346 shares of Caterpillar common stock were disposed of at $738.42 per share to satisfy tax obligations from restricted stock units that vested from a March 4, 2024 grant.

After this withholding transaction, Fassino directly held 46,041 shares of Caterpillar common stock. The filing also notes an additional 1,501 shares held indirectly through a 401(k) plan based on a statement dated February 28, 2026.

Insider Trade Summary

Exercise Price or Tax Liability: 346 shares

Exercise Price or Tax Liability 2 txns

Insider Fassino Anthony D.

Role Group President

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	346	$738.42	$255K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 46,041 shares (Direct); Common Stock — 1,501 shares (Indirect, Held by 401(k) Plan)

Footnotes (2)

1. F1. Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024.
2. F2. The information in this report is based on a 401(k) plan statement as of February 28, 2026.

FAQ

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

What insider transaction did Caterpillar (CAT) report for Anthony D. Fassino?

Caterpillar reported that Group President Anthony D. Fassino had 346 common shares withheld on March 4, 2026 to cover tax obligations from vesting restricted stock units granted on March 4, 2024, rather than an open market sale.

How many Caterpillar shares were disposed of for taxes in this Form 4?

The Form 4 shows a disposition of 346 Caterpillar common shares at a price of $738.42 per share. These shares were withheld to satisfy tax obligations arising from the vesting of restricted stock units granted on March 4, 2024.

How many Caterpillar shares does Anthony D. Fassino hold after this Form 4?

Following the March 4, 2026 tax-withholding disposition, Anthony D. Fassino directly holds 46,041 Caterpillar common shares. The filing also reports an additional 1,501 shares held indirectly through a 401(k) plan, based on a plan statement dated February 28, 2026.

Was the Caterpillar Form 4 transaction an open market sale by Anthony D. Fassino?

No, the Form 4 describes a tax-withholding disposition, not an open market sale. Shares were withheld from Fassino to satisfy tax obligations triggered by the vesting of restricted stock units that were originally granted on March 4, 2024.

What does the 401(k) information in Anthony D. Fassino’s Caterpillar Form 4 mean?

The Form 4 notes that 1,501 Caterpillar shares are held indirectly for Anthony D. Fassino in a 401(k) plan. This figure is based on a 401(k) plan statement as of February 28, 2026 and reflects retirement-plan holdings, not a new transaction.

What is the transaction code F in the Caterpillar Form 4 for Anthony D. Fassino?

Transaction code F indicates payment of a tax liability or exercise price by delivering securities. In this case, 346 Caterpillar shares were withheld from Anthony D. Fassino to cover tax obligations from vesting restricted stock units granted on March 4, 2024.

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

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Accepted by SEC EDGAR 03/06/2026 - 12:40 PM EST 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^*

Fassino Anthony D.

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Group President

3. Date of Earliest Transaction (Month/Day/Year)
03/04/2026

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	03/04/2026		F		346(1)	D	$738.42	46,041	D
Common Stock								1,501	I	Held by 401(k) Plan(2)

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 shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024.

2. The information in this report is based on a 401(k) plan statement as of February 28, 2026.

	/s/ Nicole Puza, POA for Anthony Fassino	03/06/2026
	** 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.
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