Caterpillar SEC Filings

Caterpillar (CAT) Executive Chairman D. James Umpleby III reported an open-market sale of 17,166 shares of common stock on 10/10/2025. The weighted average sale price was $505.29, with individual trades executed between $501.40 and $506.98, as noted in the filing’s explanation.

Following the transaction, Umpleby directly holds 448,173 shares. He also reports indirect holdings of 59,000 shares held by an Irrevocable Trust for Descendants, 36,040 shares held by a Children’s Irrevocable Trust, and 1,029 shares held by a 401(k) plan based on a statement dated as of September 30, 2025.

Caterpillar Inc. filed a Form 144 notifying the proposed sale of 17,166 common shares through Goldman Sachs & Co. LLC with an aggregate market value of $8,433,655.80 and an approximate sale date of 10/10/2025. The shares were acquired as compensation (performance awards) on 02/13/2024.

The filing discloses prior related sales during the past three months: 17,168 shares sold on 09/02/2025 for $7,088,124.69 and 17,166 shares sold on 09/22/2025 for $7,941,875.65, totaling $15,030,000.34 and aggregate shares of 34,334. The filing reports 468,478,923 shares outstanding for the issuer and includes the seller's representation about lacking undisclosed material information.

Reporting person: Jason Kaiser, Group President of Caterpillar Inc. This Form 4 shows a non-derivative/derivative reporting of phantom stock units under the companys non-qualified deferred compensation plans. On 09/26/2025 the reporting person was credited with 16 phantom stock units, treated as the economic equivalent of 16 shares of Caterpillar common stock at a stated price of $465.76 per share. The filing explains 8 of the units were credited at that price and 8 were contributed for no consideration. The phantom units will be settled 100% in cash upon retirement or separation and include dividend accrual adjustments, with the unit count varying with the funds cash/stock composition.

Denise C. Johnson, Group President and officer of Caterpillar Inc. (CAT), reported a transaction dated 09/26/2025 involving 21 phantom stock units under the companys non-qualified deferred compensation plan. The filing states 11 of those units were credited at a price of $465.76 per share and 10 units were contributed for no consideration. The phantom units are economic equivalents of common stock, are held in an unfunded unitized stock fund (mix of stock and cash) that can change in number due to dividend adjustments, and are payable 100% in cash upon retirement or separation. The report shows the reporting person beneficially owns 21,762 phantom stock units following the transaction. The Form 4 was signed by a power of attorney on 09/29/2025.

Joseph E. Creed, Chief Executive Officer of Caterpillar Inc. (CAT), was credited with 32 phantom stock units on 09/26/2025 under the company's non-qualified deferred compensation plan. The filing states 16 of the units were purchased at a price of $465.76 per share and 16 were contributed for no consideration. Following the transaction the reporting person is deemed to beneficially own 10,553 phantom stock units. The units represent economic equivalents of common stock, accrue dividends, are held in an unfunded unitized stock fund that can vary between cash and stock, and will be settled 100% in cash upon retirement or separation from service.

Donald J. Umpleby III, Executive Chairman of Caterpillar Inc. (CAT), reported the sale of 17,166 shares of Caterpillar common stock on 09/22/2025 at a weighted average sale price of $462.65. After the transaction he directly beneficially owns 465,339 shares. The filing also discloses indirect holdings of 59,000 shares held by an irrevocable trust for descendants, 36,040 shares held by a childrens irrevocable trust, and 1,030 shares held via a 401(k) plan statement dated September 22, 2025. The registrant certified the sale met Rule 10b5-1(c) plan conditions and noted the reported weighted average price reflects multiple trades executed between $460.62 and $466.98. The Form 4 was signed by a power of attorney on 09/23/2025.

Form 144 notice for Caterpillar Inc. (CAT) indicates a proposed sale of 17,166 common shares through Goldman Sachs & Co. LLC on the NYSE with an aggregate market value of $8,104,068.60. The filing lists two acquisition lots: 8,135 shares received 02/13/2024 as performance awards and 9,031 shares from a 12/18/2023 stock option cashless exercise and same-day sale. The filing also reports a sale by the Donald James Umpleby, III Revocable Trust of 17,168 shares on 09/02/2025 for gross proceeds of $7,088,124.69. The filer affirms no undisclosed material adverse information and includes signature/attestation language required by the form.

D. James Umpleby III reported a sale of 17,168 shares of Caterpillar Inc. (CAT) on 09/02/2025 at a weighted average price of $412.87, executed as multiple trades. After the sale the reporting person beneficially owns 482,505 shares directly. The filing discloses indirect holdings of 59,000 shares held by an irrevocable trust for descendants, 36,040 shares held by a children\'s irrevocable trust, and 1,028 shares held via a 401(k) plan (401(k) info dated August 31, 2025). The form indicates the transaction was made pursuant to a 10b5-1 plan and is signed by a POA on 09/03/2025.

Caterpillar Inc. filed an 8-K reporting entry into material definitive credit agreements and the creation of direct financial obligations. The filing references a 364-Day Credit Agreement and multi-year facilities, including a Fourth Amended and Restated Credit Agreement structured as a three-year facility and a five-year facility. Each facility includes local currency addenda for CIF and CIF LUX and Japan-specific addenda. The filing lists these agreements as exhibits and states the cover page is provided in Inline XBRL. The filing is signed by Derek Owens, Chief Legal Officer and General Counsel.