SEC INSIDER TRANSACTIONS

CATERPILLAR INC (CAT) Insider Transactions

Explore official ownership filings, with every record linked to its source.

Reported data · not live

CAT · CATERPILLAR INC

Filing window SEC codes (comma separated) Security type Order

More transaction filters

Roles: director,officer,ten_percent_owner,otherOwner nameOfficer titleOwnership: D, I, unknownoriginal or amendedTransaction fromTransaction throughFiled fromFiled throughMinimum quantityMaximum quantityMinimum priceMaximum priceMinimum calculated valueMaximum calculated valueResults per page (1–100)

OR within codes/roles; AND between categories. Roles apply to buyers and sellers. Owner predicates match the same owner. Missing values fail numeric/date filters. Value is quantity × reported price for non-derivative rows only; derivative values are unknown. Amendments stay separate; joint owners do not duplicate rows.

Reset filters

Active filters: days=6m

Stale snapshot · Covered: filings 2026-05-14 to 2026-11-13 · 35 filings · fetched 2026-11-13T16:58:10Z

Recent reported activity

0purchase rows on this page

1sale rows on this page

67matching filing rows

Purchases and sales count original non-derivative P and S rows. Awards, gifts, exercises, derivatives and amendments are shown separately and are not described as market purchases.

Transaction / filed	Reporting owner(s)	Code / security	Quantity	Price as filed	Ownership	Source
2026-08-28Filed 2026-09-01	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 This transaction includes dividends accrued. F2 The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F6 The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F7 The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F8 The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F9 The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F10 The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F11 The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F12 The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F13 The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F14 The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F15 The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F16 The information in this report is based on a 401(k) plan statement dated as of July 31, 2026. F17 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. References: F2	S Sale (market/private)Common Stock · Non-derivative	480D	800.19	Direct	Form 4 ↗0001104659-26-104202
2026-08-28Filed 2026-09-01	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 This transaction includes dividends accrued. F2 The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F6 The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F7 The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F8 The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F9 The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F10 The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F11 The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F12 The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F13 The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F14 The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F15 The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F16 The information in this report is based on a 401(k) plan statement dated as of July 31, 2026. F17 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. References:	F WithholdingCommon Stock · Non-derivative	12,002D	812.98	Direct	Form 4 ↗0001104659-26-104202
2026-08-28Filed 2026-09-01	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 This transaction includes dividends accrued. F2 The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F6 The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F7 The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F8 The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F9 The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F10 The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F11 The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F12 The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F13 The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F14 The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F15 The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F16 The information in this report is based on a 401(k) plan statement dated as of July 31, 2026. F17 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. References: F1	M Exercise / conversionCommon Stock · Non-derivative	44,403A	219.76	Direct	Form 4 ↗0001104659-26-104202
2026-08-26Filed 2026-08-27	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.93 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F3, F4	A Award / grantPhantom Stock Units · Derivative	7A	821.93	Direct	Form 4 ↗0001104659-26-102420
2026-08-26Filed 2026-08-27	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.93 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	11A	821.93	Direct	Form 4 ↗0001104659-26-102420
2026-08-26Filed 2026-08-27	Kaiser JasonOfficer · Group President Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.93 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	11A	821.93	Direct	Form 4 ↗0001104659-26-102419
2026-08-26Filed 2026-08-27	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.93 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	19A	821.93	Direct	Form 4 ↗0001104659-26-102417
2026-07-24Filed 2026-07-27	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $888.73 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F3	A Award / grantPhantom Stock Units · Derivative	7A	888.73	Direct	Form 4 ↗0001104659-26-087156
2026-07-24Filed 2026-07-27	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $888.73 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	5A	888.73	Direct	Form 4 ↗0001104659-26-087156
2026-07-24Filed 2026-07-27	Kaiser JasonOfficer · Group President Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $888.73 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	10A	888.73	Direct	Form 4 ↗0001104659-26-087024
2026-07-24Filed 2026-07-27	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $888.73 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	18A	888.73	Direct	Form 4 ↗0001104659-26-087023
2026-06-30Filed 2026-07-01	MacLennan DavidDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 Phantom stock units awarded or acquired in lieu of director cash compensation. F3 The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	22A	1,055.33	Direct	Form 4 ↗0001104659-26-079826
2026-06-26Filed 2026-06-29	Kaiser JasonOfficer · Group President Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $997.47 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	5A	997.47	Direct	Form 4 ↗0001104659-26-078801
2026-06-26Filed 2026-06-29	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 8 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $997.47 and 8 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	16A	997.47	Direct	Form 4 ↗0001104659-26-078800
2026-06-26Filed 2026-06-29	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3	A Award / grantPhantom Stock Units · Derivative	6A	997.47	Direct	Form 4 ↗0001104659-26-078798
2026-06-10Filed 2026-06-11	WILKINS RAYFORD JRDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072911
2026-06-10Filed 2026-06-11	SCHWAB SUSAN CDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072910
2026-06-10Filed 2026-06-11	REED DEBRA LDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072907
2026-06-10Filed 2026-06-11	Marks Judith FranDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072902
2026-06-10Filed 2026-06-11	MacLennan DavidDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072898
2026-06-10Filed 2026-06-11	KEENE NAZZIC SDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072897
2026-06-10Filed 2026-06-11	Johnson GeraldDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072894
2026-06-10Filed 2026-06-11	Fish James C JrDirector Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Includes adjustments for dividends accrued. References: F1	A Award / grantCommon Stock · Non-derivative	211A	0	Direct	Form 4 ↗0001104659-26-072891
2026-05-26Filed 2026-05-27	Creed Joseph EOfficer · Chief Executive Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $908.55 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3, F4	A Award / grantPhantom Stock Units · Derivative	18A	908.55	Direct	Form 4 ↗0001104659-26-066860
2026-05-26Filed 2026-05-27	Epley Kyle JosephOfficer · Chief Financial Officer Filing context Reported filing row; may be amended. Do not sum filings blindly. F1 Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. References: F1, F2, F3	A Award / grantPhantom Stock Units · Derivative	6A	908.55	Direct	Form 4 ↗0001104659-26-066858

Imported instruments only. Joint owners do not multiply transactions. Amendments are separate filing rows, not additional trades. No aggregate trade totals are implied.