Rodney Michael Shurman - 01 Feb 2026 Form 3 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole M. Puza for Rodney M. Shurman
Issuer symbol
CAT
Transactions as of
01 Feb 2026
Net transactions value
$0
Form type
3
Filing time
06 Feb 2026, 15:50:14 UTC
Next filing
12 Feb 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Shurman Rodney Michael Group President 5205 N. O'CONNOR BLVD. STE. 100, IRVING /s/ Nicole M. Puza for Rodney M. Shurman 06 Feb 2026 0002110101

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CAT Common Stock 183 01 Feb 2026 Direct
holding CAT Common Stock 6,727 01 Feb 2026 Held by 401(k) Plan F1

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
holding CAT Employee Stock Options 01 Feb 2026 Common Stock 7,917 $253.98 Direct F2
holding CAT Employee Stock Options 01 Feb 2026 Common Stock 2,997 $338.65 Direct F3
holding CAT Employee Stock Options 01 Feb 2026 Common Stock 2,509 $332.04 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The information in this report is based on a 401(k) plan statement dated as of December 31, 2025.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/06/2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/04/2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F4 The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/03/2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

Remarks:

Exhibit 24 - Power of Attorney