Denise C. Johnson - 04 Feb 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Group President
Signature: /s/ Nicole Puza, POA for Denise C. Johnson
Issuer symbol: CAT
Transactions as of: 04 Feb 2026
Net transactions value: -$7,572,662
Form type: 4
Filing time: 06 Feb 2026, 12:44:06 UTC
Previous filing: 04 Feb 2026
Next filing: 12 Feb 2026
SEC: View on sec.gov

Reporting Owners (1)

Name	Relationship	Address	Signature	Signature date	CIK
Johnson Denise C	Group President	5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING	/s/ Nicole Puza, POA for Denise C. Johnson	06 Feb 2026	0001608229

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	$7,572,662	-10,946	-100%	$691.82	0	04 Feb 2026	Common Stock	10,946		Direct	F1, F2, F3

* 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 plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F2	Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan").
F3	The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.