Changes in Beneficial Ownership · 4
Caterpillar Inc.
CATNYSEEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
tm2624382-1_4seq1.xml
Filing details
- Report period
- 2026-08-28
- Issuer
- CATERPILLAR INC
- Issuer CIK
- 0000018230
- Trading symbol
- CAT
Reporting owner 1
- Name
- Creed Joseph E
- Reporting owner CIK
- 0001739859
- Relationship
- Officer
- Officer title
- Chief Executive Officer
- Address
- 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING, TX, 75039
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2026-08-28 | M · Form 4 | 44,403 | A | 219.76 | 78,958[F1] | D |
| Common Stock | 2026-08-28 | F · Form 4 | 12,002 | D | 812.98 | 66,956 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 480 | D | 800.19[F2] | 66,476 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 540 | D | 801.10[F3] | 65,936 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 280 | D | 802.10[F4] | 65,656 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 750 | D | 803.39[F5] | 64,906 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 520 | D | 803.86[F6] | 64,386 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 1,351 | D | 805.36[F7] | 63,035 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 3,382 | D | 806.31[F8] | 59,653 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 6,135 | D | 807.41[F9] | 53,518 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 2,639 | D | 808.20[F10] | 50,879 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 2,137 | D | 809.08[F11] | 48,742 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 3,041 | D | 810.31[F12] | 45,701 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 5,035 | D | 811.31[F13] | 40,666 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 1,280 | D | 812.09[F14] | 39,386 | D |
| Common Stock | 2026-08-28 | S · Form 4 | 4,831 | D | 813.72[F15] | 34,555 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- A
- Acquired
- D
- Direct
- F · Form 4
- Securities delivered or withheld for exercise price or tax liability under Rule 16b-3
- S · Form 4
- Sale on the market or privately
Non-derivative holdings
| Security | Amount owned | Ownership | Nature of ownership |
|---|---|---|---|
| Common Stock | 11,839 | I | Held by 401(k) Plan[F16] |
Table key
- I
- Indirect
Derivative transactions
| Security | Conversion / exercise price (USD) | Transaction date | Code | Amount | A / D | Price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Owned after | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock options | 219.76 | 2026-08-28 | M · Form 4 | 44,403 | D | 219.76 | [F17] | 2031-03-01 | Common Stock | 44,403 | 0 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- D
- Direct
Footnotes
- F1
- This transaction includes dividends accrued.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- F16
- The information in this report is based on a 401(k) plan statement dated as of July 31, 2026.↩ 1
- 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.↩ 1
Signature 1
- Signed
- /s/ Nicole Puza, POA for Joseph E. Creed
- Date
- 2026-09-01
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
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