Jason Kaiser - 11 Aug 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Jason Kaiser
Issuer symbol
CAT
Transactions as of
11 Aug 2025
Net transactions value
-$1,707,074
Form type
4
Filing time
13 Aug 2025, 12:59:23 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
Kaiser Jason Group President 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Jason Kaiser 13 Aug 2025 0002005183

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $804,700 +4,091 +47% $196.70 12,723 11 Aug 2025 Direct F1
transaction CAT Common Stock Tax liability $804,424 -1,930 -15% $416.80 10,793 11 Aug 2025 Direct
transaction CAT Common Stock Sale $902,650 -2,161 -20% $417.70 8,632 11 Aug 2025 Direct
holding CAT Common Stock 368 11 Aug 2025 Held by 401(k) Plan F2

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 Employee Stock Options Options Exercise $804,700 -4,091 -100% $196.70 0 11 Aug 2025 Common Stock 4,091 $196.70 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes dividends accrued.
F2 The information in this report is based on a 401(k) plan statement dated August 11, 2025.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan on March 7, 2022 and vest equally in 1/3 incrememnts on the first, second and third anniversaries of the grant date.