Caterpillar (CAT) director gifts 990 shares in Form 4 filing

Caterpillar Inc. (CAT) director reports charitable stock donation A Caterpillar Inc. director reported a transaction involving the company’s common stock on a Form 4.

Rhea-AI Filing Summary

Caterpillar Inc. (CAT) director reports charitable stock donation

A Caterpillar Inc. director reported a transaction involving the company’s common stock on a Form 4. On 11/19/2025, the reporting person donated 990 shares of Caterpillar common stock to a 501(c)(3) foundation account, with the transaction coded as a gift and a reported price of $0 per share. After this donation, the director beneficially owns 5,948 shares of Caterpillar common stock, and this balance includes dividends that have accrued. The filing is made as an individual Form 4 for one reporting person in their capacity as a director of Caterpillar.

Insider Trade Summary

990 shares gifted

Gift 1 txn

Insider SCHWAB SUSAN C

Role Director

Type	Security	Shares	Price	Value
Gift	Common Stock	990	$0.00	$0.00

Holdings After Transaction: Common Stock — 5,948 shares (Direct)

Footnotes (2)

1. F1. Represents a donation of ordinary shares to a 501(c)(3) Foundation account.
2. F2. Includes dividends accrued.

FAQ

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

What insider transaction did CAT report in this Form 4?

The Form 4 reports that a Caterpillar Inc. (CAT) director donated 990 shares of Caterpillar common stock as a gift on 11/19/2025.

Was the Caterpillar (CAT) Form 4 transaction a sale or a gift?

The transaction is coded as "G", which indicates a gift, and the explanation states it represents a donation of ordinary shares to a 501(c)(3) foundation account.

How many Caterpillar (CAT) shares does the reporting director own after the gift?

Following the reported donation, the director beneficially owns 5,948 shares of Caterpillar common stock, which the filing notes includes dividends accrued.

Did the Caterpillar (CAT) director receive any proceeds from the reported transaction?

The Form 4 lists the price for the 990 gifted shares as $0 per share, consistent with a charitable donation where the reporting person does not receive sale proceeds.

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

The reporting person is identified as a Director of Caterpillar Inc., with the applicable box for director status checked on the Form 4.

Does this Caterpillar (CAT) Form 4 involve any derivative securities?

The section for Table II - Derivative Securities is present but contains no listed derivative transactions, indicating only non-derivative common stock is reported.

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

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Accepted by SEC EDGAR 11/20/2025 - 03:04 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^*

SCHWAB SUSAN C

(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)
11/19/2025

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	11/19/2025		G		990(1)	D	$0	5,948(2)	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. Represents a donation of ordinary shares to a 501(c)(3) Foundation account.

2. Includes dividends accrued.

	/s/ Nicole Puza, POA for Susan C. Schwab	11/20/2025
	** 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.