Caterpillar director James C. Fish Jr. buys 1,000 shares

Caterpillar Inc. (CAT) director James C. Fish Jr. purchased 1,000 shares of common stock on November 2, 2026, in multiple transactions at prices ranging from $620.33 to $620.42 per share.

Available on EDGAR 11/03/2026 - 11:43 AM EST Accepted by SEC EDGAR 11/03/2026 - 11:43 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Caterpillar Inc. (CAT) director James C. Fish Jr. purchased 1,000 shares of common stock on November 2, 2026, in multiple transactions at prices ranging from $620.33 to $620.42 per share. His reported direct holdings after the purchase were 4,714 shares, including adjustments for dividends accrued. No Rule 10b5-1 plan is reported for the purchase.

Insider Trade Summary

Net Buyer: 1,000 shares

Net Buy 1 txn

Insider Fish James C Jr

Role Director

Bought 1,000 shs ($620K)

Increase in Position 26.9%

Type	Security	Shares	Price	Value
Purchase	Common Stock F1, F2	1,000	$620.39	$620K
Holding	Common Stock	--	--	--
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 4,714 shares (Direct); Common Stock — 250 shares (Indirect, Held by The Nicole M. Fish GST Trust.); Common Stock — 250 shares (Indirect, Held by The Stephanie M. Fish GST Trust.)

Holdings Before and After: Common Stock, 3,714 to 4,714 shares (Direct)

Footnotes (2)

1. F1. Shares were purchased in multiple transactions at prices ranging from $620.33 to $620.42. Upon request, the reporting person will provide full information regarding the number of shares purchased at each separate price ot the issuer, any security holder of the issuer, or SEC staff.
2. F2. Includes adjustments for dividends accrued.

Key Figures

Common shares purchased: 1,000 shares Purchase price: $620.33 to $620.42 per share Direct shares held after purchase: 4,714 shares +2 more

5 metrics

Common shares purchased 1,000 shares November 2, 2026

Purchase price $620.33 to $620.42 per share Prices across multiple transactions on November 2, 2026

Direct shares held after purchase 4,714 shares Reported after the November 2, 2026 purchase; includes adjustments for dividends accrued

Shares held by The Nicole M. Fish GST Trust 250 shares Indirect holding reported November 2, 2026

Shares held by The Stephanie M. Fish GST Trust 250 shares Indirect holding reported November 2, 2026

Key Terms

dividends accrued

1 terms

dividends accrued financial

"Includes adjustments for dividends accrued."

FAQ

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

How many CAT shares did director James C. Fish Jr. buy, and at what price?

James C. Fish Jr., a Caterpillar director, purchased 1,000 shares of CAT common stock on November 2, 2026, in multiple transactions at $620.33 to $620.42 per share. His reported direct holdings after the purchase were 4,714 shares, including adjustments for dividends accrued; no Rule 10b5-1 plan is reported.

What CAT shares are held in trusts associated with James C. Fish Jr.?

The report lists 250 shares held by The Nicole M. Fish GST Trust and 250 shares held by The Stephanie M. Fish GST Trust as indirect holdings for James C. Fish Jr.

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

Form 4 Insider Transactions: What Each Field Means →

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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 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)
11/02/2026

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	11/02/2026		P		1,000	A	$620.39(1)	4,714(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. Shares were purchased in multiple transactions at prices ranging from $620.33 to $620.42. Upon request, the reporting person will provide full information regarding the number of shares purchased at each separate price ot the issuer, any security holder of the issuer, or SEC staff.

2. Includes adjustments for dividends accrued.

	/s/ Nicole M. Puza, POA for James Fish, Jr.	11/03/2026
	** 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)