Changes in Beneficial Ownership · 4
Caterpillar Inc.
CATNYSEEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
tm2624211-3_4seq1.xml
Filing details
- Report period
- 2026-08-26
- Issuer
- CATERPILLAR INC
- Issuer CIK
- 0000018230
- Trading symbol
- CAT
Reporting owner 1
- Name
- Epley Kyle Joseph
- Reporting owner CIK
- 0002131716
- Relationship
- Officer
- Officer title
- Chief Financial Officer
- Address
- 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING, TX, 75039
Derivative transactions
| Security | Conversion / exercise price (USD) | Transaction date | Code | Amount | A / D | Price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Owned after | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units | [F1] | 2026-08-26 | A · Form 4 | 11[F2] | A | 821.93 | [F3] | [F3] | Common Stock | 11 | 5,862[F4] | D |
| Phantom Stock Units | [F1] | 2026-08-26 | A · Form 4 | 7 | A | 821.93 | [F3] | [F3] | Common Stock | 7 | 5,869[F4] | D |
Table key
- A · Form 4
- Acquisition by grant, award or otherwise under Rule 16b-3(d)
- A
- Acquired
- D
- Direct
Footnotes
- F1
- Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.↩ 1↩ 2
- F2
- This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.93 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.↩ 1
- F3
- The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.↩ 1↩ 2↩ 3↩ 4
- F4
- Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.↩ 1↩ 2
Signature 1
- Signed
- /s/ Nicole Puza, POA for Kyle J. Epley
- Date
- 2026-08-27
Company context
For more than a century, Caterpillar has built a better, more sustainable world. With 2025 sales and revenues of $67.6 billion, Caterpillar Inc. is shaping the future as the world’s leading manufacturer of construction and mining equipment, off-highway diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. Backed by one of the largest independent global dealer networks and financing services through Cat Financial, the company’s primary business segments: Power & Energy, Construction Industries and Resource Industries are solving customers’ toughest challenges through commercial excellence and advanced technology, driven by a highly skilled, dedicated global team. Learn more at www.caterpillar.com.
Current securities
Recent company filings
- 10-Q filingNov 4, 2026
- Results of Operations and Financial Condition · Regulation FD DisclosureOct 29, 2026
- Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements · Other EventsOct 15, 2026
- 4 filingSep 1, 2026
- Entry into a Material Definitive Agreement · Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet ArrangementSep 1, 2026