Donald James Umpleby III - 10 Feb 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Executive Chairman
Signature
/s/ Nicole Puza, POA for Donald James Umpleby III
Issuer symbol
CAT
Transactions as of
10 Feb 2026
Net transactions value
-$10,108,088
Form type
4
Filing time
12 Feb 2026, 19:52:47 UTC
Previous filing
02 Dec 2025
Next filing
04 Mar 2026
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 James Umpleby III 12 Feb 2026 0001566320

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +34,986 +7.8% $0.000000 480,865 10 Feb 2026 Direct
transaction CAT Common Stock Tax liability $10,108,088 -13,571 -2.8% $744.83 467,294 10 Feb 2026 Direct F1
holding CAT Common Stock 59,000 10 Feb 2026 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 36,060 10 Feb 2026 Held by Children's Irrevocable Trust
holding CAT Common Stock 1,031 10 Feb 2026 Held by 401(k) Plan F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 6, 2023.
F2 The information in this report is based on a 401(k) plan statement dated as of January 31, 2026.