David W. MacLennan - 25 Nov 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
25 Nov 2025
Net transactions value
+$40,128
Form type
4
Filing time
26 Nov 2025, 13:10:36 UTC
Previous filing
13 Nov 2025
Next filing
08 Dec 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 26 Nov 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 Other $40,128 +72 +23% $557.34 389 25 Nov 2025 Common Stock 72 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 is equivalent to one share of Caterpillar Inc. common stock.
F2 Intra-plan transfer pursuant to the Director's Deferred Compensation Plan.
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.