Anthony D. Fassino - 06 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
06 Feb 2026
Net transactions value
-$5,986,645
Form type
4
Filing time
09 Feb 2026, 12:51:02 UTC
Previous filing
03 Feb 2026
Next filing
12 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 09 Feb 2026 0001839757

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $1,630,250 +8,288 +20% $196.70 49,439 06 Feb 2026 Direct
transaction CAT Common Stock Tax liability $1,629,914 -2,255 -4.6% $722.80 47,184 06 Feb 2026 Direct
transaction CAT Common Stock Sale $4,356,731 -6,033 -13% $722.15 41,151 06 Feb 2026 Direct
holding CAT Common Stock 1,502 06 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 $1,630,250 -8,288 -100% $196.70 0 06 Feb 2026 Common Stock 8,288 $196.70 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 thired anniversaries of the grant date.
F2 The information in this report is based on a 401(k) plan statement dated as of January 31, 2026.