David MacLennan - 30 Sep 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
/s/ Nicole Puza, POA for David W. MacLennan
Issuer symbol
CAT
Transactions as of
30 Sep 2025
Transactions value $
$17,532
Form type
4
Filing time
01 Oct 2025, 20:24:05 UTC
Previous filing
19 Aug 2025
Next filing
06 Nov 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
MacLennan David Director 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for David W. MacLennan 01 Oct 2025 0001498535

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 Award $17.5K +37 +13.31% $473.84 315 30 Sep 2025 Common Stock 37 Direct F1, F2, F3, F4
* 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 plans 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. Director's 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.