Caterpillar Form 4 Filings

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.

Caterpillar Executive Chairman Donald J. Umpleby III reported a tax-related share disposition. On this Form 4, 1,591 shares of Caterpillar common stock were withheld at $719.13 per share to cover tax obligations from restricted stock units that vested from a grant dated March 3, 2025.

After this tax-withholding disposition, he directly owned 465,745 Caterpillar shares. He also reported indirect holdings, including shares held by irrevocable trusts for descendants and children and by a 401(k) plan.

Caterpillar Inc. Chief Accounting Officer William E. Schaupp reported routine equity compensation and related tax withholding transactions. On March 2, 2026, he acquired 285 employee stock options and 102 shares of common stock at a price per share of $0.0000 as grant/award acquisitions. The stock options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third increments on each of the first, second and third anniversaries of the grant date.

On March 3, 2026, 18 shares of common stock at $719.13 per share were disposed of through a tax-withholding transaction to satisfy obligations arising from the vesting of restricted stock units granted on March 3, 2025. After these transactions, he directly holds 909 shares of common stock and 285 employee stock options.

Caterpillar Inc. Group President Rodney Michael Shurman reported equity compensation changes. On March 2, 2026, he received a grant of 1,320 shares of common stock and 3,681 employee stock options under the 2023 Long Term Incentive Plan. On March 3, 2026, 100 shares of common stock were withheld to cover taxes from previously granted restricted stock units.

Pambianchi Christine M reported acquisition or exercise transactions in this Form 4 filing.

Caterpillar Inc. awarded Chief Human Resources Officer Christine M. Pambianchi 3,221 employee stock options on March 2, 2026. The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan.

She also received a grant of 1,155 shares of common stock, which includes an adjustment for dividends accrued. The stock options vest in equal one-third installments on the first, second, and third anniversaries of the grant date.

Caterpillar Inc. CLO & General Counsel Derek Owens reported equity compensation changes. On March 2, 2026, he received 1,386 shares of common stock and 3,865 employee stock options at $0.00 per share, described as grant or award acquisitions.

The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in three equal installments on the first, second and third anniversaries of the grant date. On March 3, 2026, 310 common shares valued at $719.13 per share were withheld to cover tax obligations from previously granted restricted stock units, leaving Owens with 8,541 common shares held directly.

Caterpillar Inc. Group President Denise C. Johnson reported routine equity compensation activity. On March 2, she received 4,601 employee stock options and 1,650 shares of common stock as grants at a stated price of $0.00 per share. The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third increments on the first, second and third anniversaries of the grant date. On March 3, 337 common shares at $719.13 per share were withheld to cover tax obligations from the vesting of restricted stock units granted March 3, 2025. After these transactions, she directly held 50,171 shares of common stock and 4,601 stock options.

Caterpillar Group President Jason Kaiser reported new equity awards and a small tax-related share withholding. On March 2, 2026, he received 4,601 employee stock options and 1,650 shares of common stock at no cost as grants. The options were issued under Caterpillar’s 2023 Long Term Incentive Plan and vest in equal one-third portions on each of the first three anniversaries of the grant date. On March 3, 2026, 358 shares of common stock were withheld to cover taxes from the vesting of restricted stock units originally granted March 3, 2025, leaving him with 9,962 directly held shares, plus 401(k) holdings reported separately.

Caterpillar Group President Anthony D. Fassino reported a tax-related share disposition. On March 3, 2026, 337 shares of Caterpillar common stock were withheld at $719.13 per share to cover taxes from vesting restricted stock units granted March 3, 2025. After this tax-withholding disposition, he directly owned 46,387 shares, and indirectly held 1,501 shares through a 401(k) plan based on a statement as of February 28, 2026.

Caterpillar Inc. Group President Bob De Lange reported routine equity compensation activity. He received a grant of 4,601 employee stock options at an exercise price of $0.0000 per share, which vest in equal one-third installments on the first, second and third anniversaries of the grant date under the 2023 Long Term Incentive Plan.

He also acquired 1,650 shares of common stock as a grant or award, at a stated price of $0.0000 per share, with the position including an adjustment for dividends accrued. To cover tax obligations from the vesting of restricted stock units granted on March 3, 2025, 382 common shares were withheld and disposed of at $719.13 per share. After these transactions, he directly holds 86,422 shares of Caterpillar common stock and 4,601 stock options.

Caterpillar Inc. Chief Financial Officer Andrew R. J. Bonfield reported equity-related transactions in company securities. He received a grant of 4,877 employee stock options and 1,749 shares of common stock, both at a stated price of $0.0000 per share, as awards dated March 2, 2026.

The stock options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third installments on the first, second, and third anniversaries of the grant date. On March 3, 2026, 445 shares of common stock were disposed of in a tax-withholding transaction at $719.13 per share to satisfy tax obligations from the vesting of restricted stock units. Following these transactions, he directly owned 53,384 shares of common stock and 4,877 stock options.

Caterpillar Inc. CEO Joseph E. Creed reported equity compensation and related tax withholding transactions. On March 2, 2026, he received a grant of 13,803 employee stock options and 4,950 shares of common stock at no cost, as awards under the 2023 Long Term Incentive Plan.

Footnotes state the options vest in equal one-third installments on the first, second and third anniversaries of the grant date. On March 3, 2026, 676 common shares valued at $719.13 per share were withheld to cover tax obligations from restricted stock units vesting. The filing also updates indirect holdings in a 401(k) plan based on a statement dated February 28, 2026.

Caterpillar Group President Rodney Michael Shurman reported option exercises and share sales in company stock. On the derivative side, he exercised 2,278 employee stock options at $253.98 per share, leaving 5,639 options held directly. This exercise delivered 2,278 shares of Caterpillar common stock, increasing his direct common holdings to 3,721 shares before any sales.

On the same date, he sold 2,278 shares of common stock in an open-market transaction at a weighted average price of $759.61 per share in multiple trades, reducing his direct common stock position to 1,443 shares. In addition, 6,748 shares are held indirectly in a 401(k) plan as of a statement dated January 31, 2026, which includes dividends accrued. The stock options were granted under the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest in three equal annual installments.

Caterpillar Inc. Group President Rodney Michael Shurman sold 1,764 shares of common stock in an open-market transaction. The sale occurred on February 17, 2026 at a price of $763.39 per share. After this transaction, he directly owns 1,440 Caterpillar shares.

In addition to his direct holdings, Shurman has an indirect interest in 6,748 shares held through a 401(k) plan, based on a plan statement dated as of January 31, 2026. This filing highlights a net decrease of 1,764 shares in his directly held Caterpillar stake.

Caterpillar Inc.'s Chief Accounting Officer, William E. Schaupp, sold 972 shares of common stock in an open-market transaction at a weighted average price of $764.20 per share. After this sale, he directly owned 824 shares of Caterpillar common stock.

Caterpillar Inc. Group President Anthony D. Fassino reported multiple share transactions on February 13, 2026. He exercised 11,000 employee stock options at $219.76 per share, receiving the same number of Caterpillar common shares.

On the same day, he disposed of 3,109 shares to cover taxes at $777.41 per share and completed an open-market sale of 7,891 shares at a weighted average price of $776.90, with individual trades ranging from $776.69 to $777.13. After these transactions, he directly owned 46,643 common shares and indirectly held 1,502 shares through a 401(k) plan as of a statement dated January 31, 2026.

Caterpillar Group President Bob De Lange reported several equity transactions in Caterpillar Inc. common stock. On February 11, 2026, he exercised 15,000 employee stock options at an exercise price of $127.60 per share, converting them into an equal number of common shares. To cover taxes related to the transaction, 2,493 shares of common stock were disposed of at a price reported as $767.64 per share. He also completed an open-market sale of 12,507 shares at a weighted average price of $767.08 per share, with individual trades ranging from $766.95 to $767.66. Following these transactions, De Lange directly held 84,997 shares of Caterpillar common stock and 56,210 employee stock options.

Caterpillar Group President Jason Kaiser reported an open-market sale of company stock. On February 12, 2026, he sold 1,690 shares of Caterpillar common stock at a price of $776.70 per share.

After this transaction, Kaiser directly owned 8,661 shares of Caterpillar common stock. He also had an additional 368 shares held indirectly through a 401(k) plan, with that information based on a statement dated January 31, 2026.

Caterpillar Inc. group president Bob De Lange reported equity compensation activity in company common stock. On February 10, 2026, he acquired 9,055 shares at $0 per share through a grant or award. The same day, 4,011 shares were disposed of at $744.83 per share to satisfy tax obligations from vesting performance-based restricted stock units granted March 6, 2023. After these transactions, he directly owned 84,997 Caterpillar common shares.

Caterpillar Inc. Group President Denise C. Johnson reported stock transactions involving company common shares. On February 10, 2026, she acquired 9,055 shares of Caterpillar common stock in a grant or award at a stated price of $0 per share, increasing her direct holdings.

On the same date, 3,563 shares were disposed of at $744.83 per share, representing shares withheld to satisfy tax obligations from the vesting of performance-based restricted stock units granted March 6, 2023. After these transactions, she directly owned 48,842 common shares of Caterpillar.

Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported equity compensation and related tax withholding transactions. On February 10, 2026, he acquired 9,055 shares of common stock at $0 per share as a grant or award, increasing his directly held shares to 37,346, including adjustments for dividends accrued.

On the same date, 3,366 shares were disposed of at $744.83 per share to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted March 6, 2023, leaving 33,980 directly owned shares. He also has 11,758 shares held indirectly through a 401(k) plan based on a statement dated January 31, 2026.

Caterpillar Inc. Chief Financial Officer Andrew Bonfield reported equity compensation activity in company common stock. On February 10, 2026, he acquired 10,907 shares of Caterpillar common stock in a grant priced at $0 per share, increasing his direct holdings.

On the same date, 4,299 shares were disposed of at $744.83 per share to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2023. After these transactions, Bonfield directly owned 52,069 Caterpillar shares.

Caterpillar Inc.’s Executive Chairman Donald J. Umpleby III reported equity compensation and related tax withholding. On February 10, 2026, he received a grant of 34,986 shares of common stock at $0 per share, described as a grant, award, or other acquisition.

On the same date, 13,571 shares of common stock at $744.83 per share were withheld to satisfy tax obligations from vesting performance-based restricted stock units granted March 6, 2023. After these transactions, he directly held 467,294 common shares, with additional indirect holdings of 59,000 shares in an irrevocable trust for descendants, 36,060 shares in a children’s irrevocable trust, and 1,031 shares held in a 401(k) plan based on a January 31, 2026 statement.

Caterpillar Inc. Group President Rodney Michael Shurman reported equity compensation activity involving company common stock. On February 10, 2026 he acquired 2,469 shares of Caterpillar common stock at $0 per share as a grant or award, bringing his directly held stake after that transaction to 4,091 shares.

On the same date, 887 shares were disposed of at $744.83 per share to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2023, leaving him with 3,204 directly owned shares. In addition, he has 6,748 shares held indirectly through a 401(k) plan, with that information based on a plan statement dated January 31, 2026.

Caterpillar Inc. Chief Accounting Officer William E. Schaupp reported equity compensation activity on February 10, 2026. He acquired 638 shares of common stock at $0 per share as a grant or award, increasing his direct holdings to 1,962 shares before tax withholding. On the same date, 165 shares were disposed of at $744.83 per share to satisfy tax obligations from the vesting of performance-based restricted stock units granted on March 6, 2023, leaving him with 1,796 directly held shares of Caterpillar common stock.

Caterpillar Inc.'s Chief Legal Officer Derek Owens reported routine equity compensation activity. On February 10, 2026, he acquired 514 shares of common stock at $0 per share as a grant, increasing his direct holdings to 7,590 shares. On the same day, 134 shares were withheld at $744.83 per share to cover taxes tied to vesting performance-based restricted stock units granted March 6, 2023, leaving him with 7,457 shares held directly.

Caterpillar Inc. Group President Jason Kaiser reported equity-related transactions in company stock. On 02/10/2026, he acquired 2,469 shares of common stock at $0 through a grant or award. On the same date, 779 shares were withheld at $744.83 per share to cover tax obligations from the vesting of performance-based restricted stock units granted March 6, 2023.

After these transactions, Kaiser directly beneficially owned 10,351 shares of Caterpillar common stock and indirectly held 368 shares through a 401(k) plan based on a statement dated as of January 31, 2026.

Caterpillar Group President Anthony D. Fassino reported equity compensation activity involving the company’s common stock. On February 10, 2026, he acquired 9,055 shares of Caterpillar common stock as a grant or award at $0 per share. On the same date, 3,563 shares were disposed of at $744.83 per share to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted March 6, 2023. After these transactions, Fassino directly beneficially owned 46,643 shares of Caterpillar common stock and indirectly held 1,502 shares through a 401(k) plan based on a plan statement dated January 31, 2026.

Caterpillar Inc. Group President Bob De Lange reported several equity transactions involving company stock. On February 6, 2026, he exercised 28,034 employee stock options at $138.35 per share, receiving the same number of Caterpillar common shares.

On the same day, De Lange had 5,378 shares withheld in a transaction coded "F" at a price of $721.12 per share, typically used to cover taxes on equity awards. He also sold 22,656 shares of common stock in a market transaction coded "S" at a weighted average price of $720.11 per share, with individual trades ranging from $720.02 to $721.01. After these transactions, he directly owned 79,953 Caterpillar shares.

Caterpillar Inc. Group President Anthony D. Fassino reported several share transactions dated February 6, 2026. He exercised employee stock options for 8,288 shares of common stock at $196.7 per share, increasing his directly held common stock before subsequent transactions.

On the same date, he disposed of 2,255 shares in a transaction coded “F” at $722.8 per share and separately sold 6,033 shares in a transaction coded “S” at $722.15 per share, leaving 41,151 common shares held directly. He also has 1,502 shares held indirectly through a 401(k) plan based on a statement dated January 31, 2026. Following the option exercise, the reported employee stock option position is 0 derivatives remaining.

Caterpillar Inc. Group President Denise C. Johnson reported an intra-plan transfer of phantom stock units tied to Caterpillar common stock. On 02/04/2026, she moved 10,946 phantom stock units within the company's Supplemental Deferred Compensation Plan at a reported derivative price of $691.82 per unit. According to the plan terms, each unit generally tracks one share of Caterpillar common stock economically and will be settled 100% in cash upon her retirement or separation from service, rather than in actual shares.

Caterpillar Group President Bob De Lange reported multiple equity transactions in company stock. On February 4, 2026, he exercised 20,000 employee stock options at an exercise price of $138.35 per share, acquiring the same number of Caterpillar common shares.

He then disposed of 3,930 shares in an F-coded transaction at $704.04 per share and reported S-coded sales of 9,223 shares at $704.42, 6,817 shares at $705.70, and 30 shares at $706.28, with some trades executed in multiple lots at prices within stated ranges. After these transactions, he directly owned 79,953 shares of common stock and 28,034 employee stock options.

Caterpillar Group President Denise C. Johnson reported multiple stock transactions dated February 2, 2026. She exercised employee stock options covering 11,810 shares at $196.70 and 45,291 shares at $219.76, converting them into Caterpillar common stock.

To cover tax obligations, she had 3,399 and 14,564 shares withheld at $683.39 per share. She also completed several open-market sales of Caterpillar common stock in separate blocks, including 7,411 shares at a weighted average price of $680.11 and 20,145 shares at $680.76. After these transactions, she directly owned 43,350 shares of Caterpillar common stock and 23,978 employee stock options.

Caterpillar Inc. Group President Anthony D. Fassino reported several transactions in company stock on February 2, 2026. He exercised 15,000 employee stock options at an exercise price of $196.70 per share, receiving an equal number of common shares.

On the same date, 4,329 shares of common stock were disposed of at $681.45 per share in a transaction coded "F", typically used for shares withheld to cover taxes. He also sold 10,671 shares at a weighted average price of $680.45 per share in a transaction coded "S".

After these transactions, Fassino directly held 41,151 shares of Caterpillar common stock and had 8,228 stock options remaining. In addition, 1,499 shares were held indirectly through a 401(k) plan, based on a statement dated as of December 31, 2025.

Caterpillar Inc. Group President Bob De Lange reported multiple stock transactions on February 2, 2026. He exercised 20,512 employee stock options at $151.12

To cover taxes, 4,535 shares were withheld in a transaction coded “F” at a weighted price of $683.41sold 15,977 shares of common stock in an open-market sale at a weighted average price of $682.99$682.93 and $683.49. After these transactions, De Lange directly owned 79,953 shares of Caterpillar common stock.

Caterpillar Inc. executive Bob De Lange reported a tax-related share withholding. As Group President, he filed a Form 4 showing that on 01/12/2026, 473 shares of Caterpillar common stock were withheld at a price of $621.97 per share. The footnotes state these shares were retained by the company to cover tax obligations arising from the vesting of Restricted Stock Units granted on January 12, 2024, and that the figures include an adjustment for dividends accrued. After this transaction, De Lange beneficially owned 79,953 shares directly.

Caterpillar Inc. Group President Denise C. Johnson reported a routine tax-related share withholding. On 01/12/2026, 473 shares of Caterpillar common stock were withheld at a price of $621.97 per share to cover tax obligations arising from the vesting of Restricted Stock Units that were granted on January 12, 2024.

After this transaction, Johnson beneficially owned 43,350 shares of Caterpillar common stock in direct form. The filing describes a non-market transaction associated with equity compensation rather than an open-market purchase or sale.

Caterpillar Inc. Group President Anthony D. Fassino reported a routine tax-related share withholding. On 01/12/2026, 473 shares of Caterpillar common stock were withheld at $621.97 per share to satisfy tax obligations arising from the vesting of Restricted Stock Units granted on January 12, 2024.

After this transaction, Fassino beneficially owned 41,151 shares of Caterpillar common stock directly. He also had an additional 1,499 shares held indirectly through a 401(k) plan, based on a plan statement dated as of December 31, 2025.

Caterpillar Inc. director David W. MacLennan reported a new grant of derivative securities tied to the company’s common stock. On 12/31/2025, he acquired 30 phantom stock units under a director compensation arrangement at a price of $575.49 per unit, bringing his total holdings of these derivative securities to 419 units.

Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and was awarded or acquired in lieu of director cash compensation. The units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon his retirement or separation from service.

Caterpillar Inc.'s chief financial officer, as a reporting person, disclosed several open-market sales of Caterpillar common stock dated 12/31/2025. The transactions were coded as sales and executed in multiple blocks, including 812 shares at a weighted average price of $572.71, 2,628 shares at $573.61, 1,431 shares at $574.77, 3,016 shares at $575.77, 1,473 shares at $576.56, 600 shares at $577.79, and 40 shares at $578.41.

For each group of trades, the filing notes that the price shown is a weighted average sale price, with underlying individual trades occurring in narrow price ranges around each reported figure. Following these sales, the reporting person directly and beneficially owns 45,460 shares of Caterpillar common stock.

Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported a Form 4 transaction involving phantom stock units under the company’s non-qualified deferred compensation plan. On 12/26/2025, he acquired 26 phantom stock units, each generally the economic equivalent of one share of Caterpillar common stock. This total includes 13 units credited at a price of $583.00 per unit and 13 units contributed to his account for no consideration under the plan’s terms.

After this transaction, Creed beneficially holds 10,699 phantom stock units in the plan. These units are designed to be settled 100% in cash upon his retirement or separation from service. The number of units can change over time due to dividend adjustments and changes in the mix of stock and cash in the underlying unitized company stock fund.

Caterpillar Inc. executive Jason E. Kaiser, a Group President, reported acquiring additional deferred equity-linked compensation. On 12/26/2025, he received 13 phantom stock units under a non-qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock each.

The total includes 7 units credited to his plan account at a price of $583.00 per unit and 6 units contributed for no consideration under plan terms. Following this transaction, Kaiser beneficially owned 5,228 phantom stock units in total. These units are to be settled 100% in cash upon his retirement or separation from service and are held in an unfunded unitized company stock fund that adjusts over time for dividends and changes in the mix of stock and cash.

Caterpillar Inc. director James Fish Jr. reported a charitable stock transfer of company shares. On 12/19/2025, he made a gift of 1,000 shares of Caterpillar common stock, recorded at a price of $0 per share, reflecting that it was a donation rather than a sale, to a Donor Advised Fund.

After this transaction, he beneficially owns 3,475 shares of Caterpillar common stock directly, and an additional 250 shares held indirectly by The Nicole M. Fish GST Trust and 250 shares held indirectly by The Stephanie M. Fish GST Trust.

Caterpillar Inc.'s Chief Financial Officer reported multiple open-market sales of company common stock. On 12/01/2025, the officer sold several blocks of shares at weighted average prices ranging from $568.57 to $574.52, with underlying trade prices spanning from $567.93 to $575.13. Each line represents a separate sale, including transactions such as 1,378 shares at $568.57 and 2,360 shares at $569.35, all classified as dispositions. Following these sales, the officer beneficially owned 55,460 shares of Caterpillar common stock directly, reflecting adjustments for accrued dividends where noted.

Caterpillar Inc.'s Executive Chairman Donald J. Umpleby III reported a charitable transfer of company stock. On 11/28/2025, he donated 2,350 shares of Caterpillar common stock to The Ayco Charitable Foundation, described as a Donor Advised Fund. The shares were transferred at a reported price of $0, reflecting the nature of the donation rather than a market sale.

After this transaction, Umpleby reported 445,879 shares of Caterpillar common stock held directly, plus indirect holdings of 59,000 shares in an irrevocable trust for descendants, 36,040 shares in a children's irrevocable trust, and 1,030 shares held through a 401(k) plan based on information dated as of November 30, 2025.

Caterpillar Inc. officer Jason E. Kaiser, a Group President, reported a deferred compensation transaction involving phantom stock units tied to Caterpillar common stock. On 11/26/2025, he acquired 13 phantom stock units under the company’s non-qualified deferred compensation plan, at a referenced price of $573.73 per share for 7 of those units, with 6 additional units contributed for no consideration under plan terms. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash upon his retirement or separation from service. Following this transaction, Kaiser beneficially owned 5,132 phantom stock units, which are held in an unfunded unitized company stock fund where the number of units can change over time due to dividends and shifts between stock and cash in the fund.

Caterpillar Inc. reported an insider equity transaction involving its Chief Executive Officer, Joseph E. Creed. On 11/26/2025, Creed acquired 26 phantom stock units under Caterpillar’s non-qualified deferred compensation plan at a reference price of $573.73 per unit. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock.

The 26 units include 13 units credited at $573.73 and 13 units contributed under the plan for no consideration. After this transaction, Creed beneficially holds 10,503 phantom stock units, which will be settled 100% in cash upon his retirement or separation from service. The total also reflects adjustments for dividends accrued and changes in the mix of stock and cash in the underlying unitized company stock fund.

Caterpillar Inc. director David W. MacLennan reported a Form 4 transaction involving phantom stock units under the company’s Director's Deferred Compensation Plan.

On 11/25/2025, 72 phantom stock units, each equivalent to one share of Caterpillar common stock, were acquired at a reference price of $557.34, bringing his beneficially owned phantom stock units to 389. These units were acquired under the Director's Deferred Compensation Plan, are to be settled 100% in cash upon his retirement or separation from service, and include adjustments for dividends accrued.

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.