Caterpillar CFO reports 449-share tax withholding

Caterpillar Inc. Chief Financial Officer Andrew R. J. Bonfield reported a tax-related share disposition.

Accepted by SEC EDGAR 03/06/2026 - 12:38 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Caterpillar Inc. Chief Financial Officer Andrew R. J. Bonfield reported a tax-related share disposition. On March 4, 2026, 449 shares of Caterpillar common stock were withheld at $738.42 per share to satisfy tax obligations from restricted stock units that vested from a grant made on March 4, 2024. After this withholding, Bonfield directly owned 52,935 shares of Caterpillar common stock.

Insider Trade Summary

Exercise Price or Tax Liability: 449 shares

Exercise Price or Tax Liability 1 txn

Insider BONFIELD ANDREW R J

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	449	$738.42	$332K

Holdings After Transaction: Common Stock — 52,935 shares (Direct)

Holdings Before and After: Common Stock, 53,384 to 52,935 shares (Direct)

Footnotes (1)

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.

FAQ

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What did Caterpillar (CAT) CFO Andrew Bonfield report in this Form 4?

Caterpillar CFO Andrew Bonfield reported a tax-related share disposition. 449 shares of common stock were withheld to cover taxes from vesting restricted stock units, leaving him with 52,935 directly owned shares afterward.

Was the Caterpillar (CAT) CFO’s Form 4 transaction an open-market sale?

No, the transaction was a tax-withholding disposition, not an open-market sale. Shares were withheld by the company to satisfy tax obligations arising from vesting restricted stock units granted on March 4, 2024.

How many Caterpillar (CAT) shares were withheld from the CFO for taxes?

A total of 449 shares of Caterpillar common stock were withheld. These shares covered the tax obligation triggered by the vesting of previously granted restricted stock units, according to the Form 4 disclosure and accompanying footnote.

At what price were the withheld Caterpillar (CAT) shares valued in the Form 4?

The withheld Caterpillar shares were valued at $738.42 per share. This price was used to calculate the value of the 449 shares withheld to satisfy the Chief Financial Officer’s tax obligation upon RSU vesting.

How many Caterpillar (CAT) shares does the CFO hold after this tax withholding?

Following the tax-withholding disposition, Caterpillar’s CFO directly owned 52,935 shares of common stock. This figure reflects his direct holdings after the company withheld 449 shares to satisfy his associated tax liability.

What triggered the tax-withholding disposition reported by Caterpillar (CAT) CFO?

The disposition was triggered by the vesting of restricted stock units granted on March 4, 2024. Shares were withheld from Andrew Bonfield to cover the resulting tax obligation, as described in the Form 4 footnote.

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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^*

BONFIELD ANDREW R J

(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 Financial Officer

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		449(1)	D	$738.42	52,935	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 shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024.

	/s/ Nicole Puza, POA for Andrew Bonfield	03/06/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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