Denise C. Johnson - 07 Aug 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Denise C. Johnson
Issuer symbol
CAT
Transactions as of
07 Aug 2025
Net transactions value
-$3,542,600
Form type
4
Filing time
08 Aug 2025, 16:18:06 UTC
Previous filing
28 Jul 2025
Next filing
27 Aug 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Johnson Denise C Group President 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Denise C. Johnson 08 Aug 2025 0001608229

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CAT Phantom Stock Units Other $3,542,600 -8,493 -27% $417.12 22,597 07 Aug 2025 Common Stock 8,493 Direct F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan").
F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's separation from service.