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Caterpillar Inc: The Vanguard Group filed Amendment No. 13 to a Schedule 13G/A reporting that, after an internal realignment effective January 12, 2026, certain Vanguard subsidiaries will report beneficial ownership separately. The filing states amount beneficially owned: 0 and percent of class: 0%.
The filing lists Vanguard's address and cites SEC Release No. 34-39538 as the basis for disaggregation. The form is signed by Ashley Grim, Head of Global Fund Administration, dated 03/26/2026. No proceeds, transactions, or holdings are reported for Vanguard in this excerpt.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. reported a compensation-related transaction for Chief Executive Officer Joseph E. Creed. He received a grant of 428 phantom stock units under a non-qualified deferred compensation plan, each generally equivalent in value to one share of Caterpillar common stock.
The award combined 214 units credited at a price of $693.99 per unit and 214 units contributed under the plan for no consideration. These phantom units are cash-settled upon retirement or separation and now total 11,433 units in his account, reflecting deferred, cash-based incentive compensation rather than open-market trading.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received a grant of 186 phantom stock units tied to Caterpillar common stock. These units were credited under the company’s non-qualified deferred compensation plan, with 93 units priced at $693.99 per unit and 93 units contributed for no consideration.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash when Kaiser retires or leaves the company, rather than in actual shares. After this award, Kaiser holds a total of 5,564 phantom stock units, which include accrued dividends and may fluctuate over time based on the mix of stock and cash in the underlying unitized fund.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received an award of 106 phantom stock units on Caterpillar common stock under the company’s non-qualified deferred compensation plan. The units are generally the economic equivalent of one share of Caterpillar stock each and increase his directly held phantom units to 5,520.
The phantom stock units will be settled 100% in cash when Kaiser retires or separates from service. They include accrued dividends and represent interests in an unfunded unitized company stock fund made up of both stock and cash, so the reported unit count may change over time as that mix shifts.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported an acquisition of 214 phantom stock units on March 6, 2026 under the company’s non-qualified deferred compensation plan. Following this grant, he holds 11,293 phantom stock units directly.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service. The footnotes explain that these units include accrued dividends and represent interests in an unfunded unitized company stock fund, so the number of units deemed owned can change over time as the mix of stock and cash in the fund shifts.
Caterpillar Inc. Executive Chairman Donald J. Umpleby III reported a tax-withholding share disposition tied to equity compensation. On March 4, 2026, 1,546 shares of common stock were withheld at $738.42 per share to satisfy taxes from restricted stock units granted March 4, 2024. After this, he directly owned 464,199 shares, with additional indirect holdings through descendant and children’s irrevocable trusts and a 401(k) plan.
Caterpillar Inc. group president Rodney Michael Shurman reported a small tax-related share disposition. On March 4, 2026, 117 shares of Caterpillar common stock were withheld at $738.42 per share to cover taxes from restricted stock units that vested from a grant dated March 4, 2024.
After this withholding, Shurman held 2,546 Caterpillar shares directly. He also had 6,745 shares held indirectly through a 401(k) plan, based on a plan statement as of February 28, 2026. The filing does not reflect an open-market purchase or sale, but primarily an administrative tax-withholding event related to equity compensation.
Caterpillar Inc. chief accounting officer William E. Schaupp reported a small share disposition tied to equity compensation taxes. On March 4, 2026, 19 shares of Caterpillar common stock at a value of $738.42 per share were withheld to satisfy tax obligations arising from the vesting of restricted stock units originally granted on March 4, 2024.
After this tax-withholding disposition, Schaupp directly owns 890 shares of Caterpillar common stock. The transaction was reported as a disposition for tax payment rather than an open-market sale.
Caterpillar Inc. Chief Legal Officer Derek Owens reported a disposition of company common stock tied to equity compensation. On the vesting of restricted stock units granted on March 4, 2024, 338 shares were withheld to satisfy his tax obligation at a price of $738.42 per share. After this tax-withholding transaction, Owens directly owned 8,203 shares of Caterpillar common stock.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported selling a total of 2,500 shares of Caterpillar common stock in open-market transactions on March 5, 2026. The sales were executed in several trades at reported weighted average prices of $717.01, $718.44, $719.39, $720.10, and $721.00 per share. After these sales, his directly held stake was 35,083 shares.
On March 4, 2026, 696 shares were disposed of at $738.42 per share to satisfy tax obligations from vesting restricted stock units granted on March 4, 2024. In addition to his direct holdings, he had 11,765 shares held indirectly through a 401(k) plan, based on a statement dated February 28, 2026.