Joseph E. Creed - 28 Aug 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Reporting relationship: Chief Executive Officer
Issuer ticker: CAT
Reported as of: 28 Aug 2026
Net transaction value: -$26,211,764
SEC form: 4
Accepted by SEC: 01 Sep 2026, 12:32:37 UTC
Prior SEC filing: 27 Aug 2026
Next SEC filing: 28 Sep 2026
Source filing: View source filing
Reporting owner signature: /s/ Nicole Puza, POA for Joseph E. Creed

Filing notes and source

Key filing fact

Joseph E. Creed filed Form 4 for CATERPILLAR INC (CAT) on 01 Sep 2026.

Key facts

This page summarizes Joseph E. Creed's Form 4 filing for CATERPILLAR INC (CAT).
17 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 01 Sep 2026, 12:32.

Change

Previous filing in this sequence was filed on 27 Aug 2026.
Current net transaction value: -$26,211,764.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001739859 Primary reporting owner

Creed Joseph E

Relationship: Chief Executive Officer
Address: 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING
Signature: /s/ Nicole Puza, POA for Joseph E. Creed
Signature date: 01 Sep 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CAT transaction

Common Stock

Options Exercise

Transaction value
Shares: +44,403
Change %: +128%
Price: $219.76^*
Shares after: 78,958
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F1

CAT transaction

Common Stock

Tax liability

Transaction value
Shares: -12,002
Change %: -15%
Price: $812.98^*
Shares after: 66,956
Date: 28 Aug 2026
Ownership: Direct

CAT transaction

Common Stock

Sale

Transaction value: $384,091
Shares: -480
Change %: -0.72%
Price: $800.19
Shares after: 66,476
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F2

CAT transaction

Common Stock

Sale

Transaction value: $432,594
Shares: -540
Change %: -0.81%
Price: $801.10
Shares after: 65,936
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F3

CAT transaction

Common Stock

Sale

Transaction value: $224,588
Shares: -280
Change %: -0.42%
Price: $802.10
Shares after: 65,656
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F4

CAT transaction

Common Stock

Sale

Transaction value: $602,542
Shares: -750
Change %: -1.1%
Price: $803.39
Shares after: 64,906
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F5

CAT transaction

Common Stock

Sale

Transaction value: $418,007
Shares: -520
Change %: -0.8%
Price: $803.86
Shares after: 64,386
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F6

CAT transaction

Common Stock

Sale

Transaction value: $1,088,041
Shares: -1,351
Change %: -2.1%
Price: $805.36
Shares after: 63,035
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F7

CAT transaction

Common Stock

Sale

Transaction value: $2,726,940
Shares: -3,382
Change %: -5.4%
Price: $806.31
Shares after: 59,653
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F8

CAT transaction

Common Stock

Sale

Transaction value: $4,953,460
Shares: -6,135
Change %: -10%
Price: $807.41
Shares after: 53,518
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F9

CAT transaction

Common Stock

Sale

Transaction value: $2,132,840
Shares: -2,639
Change %: -4.9%
Price: $808.20
Shares after: 50,879
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F10

CAT transaction

Common Stock

Sale

Transaction value: $1,729,004
Shares: -2,137
Change %: -4.2%
Price: $809.08
Shares after: 48,742
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F11

CAT transaction

Common Stock

Sale

Transaction value: $2,464,153
Shares: -3,041
Change %: -6.2%
Price: $810.31
Shares after: 45,701
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F12

CAT transaction

Common Stock

Sale

Transaction value: $4,084,946
Shares: -5,035
Change %: -11%
Price: $811.31
Shares after: 40,666
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F13

CAT transaction

Common Stock

Sale

Transaction value: $1,039,475
Shares: -1,280
Change %: -3.1%
Price: $812.09
Shares after: 39,386
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F14

CAT transaction

Common Stock

Sale

Transaction value: $3,931,081
Shares: -4,831
Change %: -12%
Price: $813.72
Shares after: 34,555
Date: 28 Aug 2026
Ownership: Direct
Footnotes: F15

CAT holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 11,839
Date: 28 Aug 2026
Ownership: Held by 401(k) Plan
Footnotes: F16

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CAT transaction Derivative

Employee Stock options

Options Exercise

Transaction value
Shares: -44,403
Change %: -100%
Price: $219.76^*
Shares after: 0
Date: 28 Aug 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 44,403
Exercise price: $219.76
Footnotes: F17

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 17 footnotes

Footnote F1

This transaction includes dividends accrued.

Footnote F2

The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. 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.

Footnote F3

The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. 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.

Footnote F4

The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. 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.

Footnote F5

The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. 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.

Footnote F6

The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. 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.

Footnote F7

The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. 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.

Footnote F8

The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. 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.

Footnote F9

The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. 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.

Footnote F10

The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. 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.

Footnote F11

The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. 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.

Footnote F12

The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. 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.

Footnote F13

The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. 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.

Footnote F14

The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. 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.

Footnote F15

The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. 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.

Footnote F16

The information in this report is based on a 401(k) plan statement dated as of July 31, 2026.

Footnote F17

The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date.