Derek Owens - 02 Mar 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
CLO & General Counsel
Signature
/s/ Nicole Puza, POA for Derek Owens
Issuer symbol
CAT
Transactions as of
02 Mar 2026
Net transactions value
$0
Form type
4
Filing time
04 Mar 2026, 18:16:53 UTC
Previous filing
12 Feb 2026
Next filing
06 Mar 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Owens Derek CLO & General Counsel 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Derek Owens 04 Mar 2026 0002006879

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award +1,386 +19% $0.000000* 8,851 02 Mar 2026 Direct F1
transaction CAT Common Stock Tax liability -310 -3.5% $719.13* 8,541 03 Mar 2026 Direct 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 Award +3,865 $0.000000* 3,865 02 Mar 2026 Common Stock 3,865 $752.18 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustment for dividends accrued.
F2 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.