Donald J. Umpleby III - Nov 28, 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Executive Chairman
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby III
Stock symbol
CAT
Transactions as of
Nov 28, 2025
Transactions value $
$0
Form type
4
Date filed
12/2/2025, 10:46 AM
Previous filing
Oct 14, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Umpleby III Donald J Executive Chairman 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Donald J. Umpleby III 2025-12-02 0001566320

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -2.35K -0.52% $0.00 446K Nov 28, 2025 Direct F1, F2
holding CAT Common Stock 59K Nov 28, 2025 Held by Irrevocable Trust for Descendants.
holding CAT Common Stock 36K Nov 28, 2025 Held by Children's Irrevocable Trust.
holding CAT Common Stock 1.03K Nov 28, 2025 Held by 401(k) Plan F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.
F2 Includes dividends accrued.
F3 The information in this report is based on a 401(k) plan dated as of November 30, 2025.