Joseph E. Creed - 04 Mar 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Executive Officer
Signature
/s/ Nicole Puza, POA for Joseph E. Creed
Issuer symbol
CAT
Transactions as of
04 Mar 2026
Net transactions value
-$1,797,317
Form type
4
Filing time
06 Mar 2026, 12:41:19 UTC
Previous filing
04 Mar 2026
Next filing
10 Mar 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Creed Joseph E Chief Executive Officer 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Joseph E. Creed 06 Mar 2026 0001739859

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Tax liability -696 -1.8% $738.42* 37,583 04 Mar 2026 Direct F1
transaction CAT Common Stock Sale $301,144 -420 -1.1% $717.01 37,163 05 Mar 2026 Direct F2
transaction CAT Common Stock Sale $574,752 -800 -2.2% $718.44 36,363 05 Mar 2026 Direct F3
transaction CAT Common Stock Sale $420,843 -585 -1.6% $719.39 35,778 05 Mar 2026 Direct F4
transaction CAT Common Stock Sale $414,058 -575 -1.6% $720.10 35,203 05 Mar 2026 Direct F5
transaction CAT Common Stock Sale $86,520 -120 -0.34% $721.00 35,083 05 Mar 2026 Direct
holding CAT Common Stock 11,765 04 Mar 2026 Held by 401(k) plan F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024.
F2 This transaction was executed in multiple trades at prices ranging from $716.48 to $717.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3 This transaction was executed in multiple trades at prices ranging from $717.96 to $718.81. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4 This transaction was executed in multiple trades at prices ranging from $718.99 to $719.98. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F5 This transaction was executed in multiple trades at prices ranging from $720.00 to $720.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F6 The information in this report is based on a 401(k) plan statement dated as of February 28, 2026.