David MacLennan - 31 Mar 2026 Form 4 Insider Report for CATERPILLAR INC (CAT)

Reporting relationship: Director
Issuer ticker: CAT
Reported as of: 31 Mar 2026
Net transaction value: $0
SEC form: 4
Accepted by SEC: 01 Apr 2026, 13:23:01 UTC
Prior SEC filing: 05 Jan 2026
Next SEC filing: 05 May 2026
Source filing: View source filing
Reporting owner signature: /s/ Nicole Puza, POA for David W. MacLennan

Key filing fact

David MacLennan filed Form 4 for CATERPILLAR INC (CAT) on 01 Apr 2026.

Key facts

This page summarizes David MacLennan's Form 4 filing for CATERPILLAR INC (CAT).
1 reported transaction and 1 derivative row are listed below.
Accepted by SEC: 01 Apr 2026, 13:23.

Change

Previous filing in this sequence was filed on 05 Jan 2026.
Current net transaction value: $0.

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 0001498535 Primary reporting owner

MacLennan David

Relationship: Director
Address: 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING
Signature: /s/ Nicole Puza, POA for David W. MacLennan
Signature date: 01 Apr 2026

Reported derivative securities

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

CAT transaction Derivative

Phantom Stock Units

Award

Transaction value
Shares: +33
Change %: +7.9%
Price: $690.44^*
Shares after: 453
Date: 31 Mar 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 33
Exercise price
Footnotes: F1, F2, F3, F4

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

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

Footnote F2

Phantom stock units awarded or acquired in lieu of director cash compensation.

Footnote F3

The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

Footnote F4

Includes adjustments for dividends accrued.