Caterpillar (CAT) director Gerald Johnson receives 211-share stock grant

Rhea-AI Filing Summary

Caterpillar Inc. director Gerald Johnson received a grant of 211 shares of Common Stock on June 10, 2026, classified as a “grant, award, or other acquisition” with no purchase price. Following this award, he directly holds 3,907 shares. The position includes adjustments for dividends accrued.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Johnson Gerald

Role null

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

Holdings After Transaction: Common Stock — 3,907 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares granted: 211 shares Post-transaction holdings: 3,907 shares Grant price per share: $0.0000 per share

3 metrics

Shares granted 211 shares Common Stock grant on June 10, 2026

Post-transaction holdings 3,907 shares Direct ownership after grant

Grant price per share $0.0000 per share Equity award, non-cash compensation

Key Terms

Grant, award, or other acquisition, Common Stock, Includes adjustments for 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.

Includes adjustments for dividends accrued financial

"Includes adjustments for dividends accrued."

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

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^*

Johnson Gerald

(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	3,907(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 Gerald Johnson	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)

FAQ

What insider transaction did Caterpillar (CAT) director Gerald Johnson report?

Gerald Johnson reported receiving a grant of 211 shares of Caterpillar Common Stock as a compensation award. The transaction carried a zero per-share price, reflecting a non-cash equity grant rather than an open-market purchase or sale.

Was Gerald Johnson’s Caterpillar (CAT) share transaction a purchase or sale?

The filing classifies the transaction as an acquisition through a grant or award, not a market purchase or sale. It is coded as a Form 4 “A” transaction, representing equity-based compensation rather than trading activity in the open market.

How many Caterpillar (CAT) shares does Gerald Johnson hold after this Form 4?

After the reported grant, Gerald Johnson directly holds 3,907 shares of Caterpillar Common Stock. This total reflects his updated direct ownership position immediately following the 211-share award transaction disclosed in the Form 4 filing.

What was the price per share for Gerald Johnson’s Caterpillar (CAT) grant?

The reported price per share for the 211-share grant is $0.0000, indicating it was an equity award rather than a cash purchase. Such grants typically represent compensation and do not involve Johnson paying cash to acquire the shares.

Does Gerald Johnson’s Caterpillar (CAT) filing mention dividends on his shares?

A footnote states the holdings include adjustments for dividends accrued. This means the reported share balance of 3,907 shares incorporates changes tied to dividend-related adjustments, providing a more accurate picture of his current equity position.