Anthony D. Fassino - 02 Feb 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Anthony Fassino
Issuer symbol
CAT
Transactions as of
02 Feb 2026
Net transactions value
-$10,211,079
Form type
4
Filing time
03 Feb 2026, 15:56:39 UTC
Previous filing
13 Jan 2026
Next filing
09 Feb 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Fassino Anthony D. Group President 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Anthony Fassino 03 Feb 2026 0001839757

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $2,950,500 +15,000 +36% $196.70 56,151 02 Feb 2026 Direct
transaction CAT Common Stock Tax liability $2,949,997 -4,329 -7.7% $681.45 51,822 02 Feb 2026 Direct
transaction CAT Common Stock Sale $7,261,082 -10,671 -21% $680.45 41,151 02 Feb 2026 Direct F1
holding CAT Common Stock 1,499 02 Feb 2026 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 $2,950,500 -15,000 -65% $196.70 8,228 02 Feb 2026 Common Stock 15,000 $196.70 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The transaction was executed in multiple trades at prices ranging from $680.16 to $681.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2 The information in this report is based on a 401(k) plan statement dated as of December 31, 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 increments in the first, second and third anniversaries of the grant date.