Caterpillar CAO sells 1,200 shares at $572.22; 1,323 remain

Caterpillar Inc. (CAT) reported an insider transaction by its Chief Accounting Officer, William E. Schaupp.

Rhea-AI Filing Summary

Caterpillar Inc. (CAT) reported an insider transaction by its Chief Accounting Officer, William E. Schaupp. On 11/05/2025, he sold 1,200 shares of common stock at a price of $572.22 per share (transaction code S). After the sale, he beneficially owns 1,323 shares directly. The filing notes that the remaining share figure includes adjustments for dividends accrued.

Insider Trade Summary

Net Seller: 1,200 shares

Net Sell 1 txn

Insider Schaupp William E

Role Chief Accounting Officer

Sold 1,200 shs ($687K)

Type	Security	Shares	Price	Value
Sale	Common Stock	1,200	$572.22	$687K

Holdings After Transaction: Common Stock — 1,323 shares (Direct)

Footnotes (1)

1. F1. Includes adjustments for dividends accrued.

FAQ

What insider transaction did CAT report?

The Chief Accounting Officer, William E. Schaupp, sold 1,200 CAT common shares on 11/05/2025 at $572.22 per share.

How many CAT shares does the insider hold after the transaction?

Following the sale, he beneficially owns 1,323 shares directly.

What was the transaction code on the Form 4 for CAT?

The transaction was coded S, indicating a sale of securities.

What role does the reporting person hold at CAT?

The reporting person is CAT’s Chief Accounting Officer.

Does the Form 4 mention dividend adjustments?

Yes. The filing notes the remaining share amount includes adjustments for dividends accrued.

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Accepted by SEC EDGAR 11/06/2025 - 03:14 PM 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^*

Schaupp William E

(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)
	Chief Accounting Officer

3. Date of Earliest Transaction (Month/Day/Year)
11/05/2025

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	11/05/2025		S		1,200	D	$572.22	1,323(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 Puza, POA for William E. Schaupp	11/06/2025
	** 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.