CATERPILLAR INC (CAT) · Insider Trading (Form 4) SEC Filing

=== SEC Form 4 — Statement of Changes in Beneficial Ownership === Document Type: 4 Period of Report: 2026-05-13 10b5-1 Pre-arranged Plan: No --- Issuer --- Name: CATERPILLAR INC (CAT) CIK: 0000018230 --- Reporting Owner --- Name: Johnson Denise C CIK: 0001608229 Role: Officer (Group President) --- Non-Derivative Transactions --- [Transaction #1] Security: Common Stock Date: 2026-05-13 | Code: M (Exercise of derivative) Shares: +7,900 | Price: $196.70 Total Value: $1,553,930.00 Shares Owned After: 57,725 | Ownership: D (Direct) [Transaction #2] Security: Common Stock Date: 2026-05-13 | Code: F (Payment of exercise/tax) Shares: -1,704 | Price: $911.61 Total Value: $1,553,383.44 Shares Owned After: 56,021 | Ownership: D (Direct) [Transaction #3] Security: Common Stock Date: 2026-05-13 | Code: S (Open market sale) Shares: -3,546 | Price: $909.46 Total Value: $3,224,945.16 Shares Owned After: 52,475 | Ownership: D (Direct) Footnotes: [F1] This transaction was executed in multiple trades at prices ranging from $909.10 to $910.08. 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. [Transaction #4] Security: Common Stock Date: 2026-05-13 | Code: S (Open market sale) Shares: -2,650 | Price: $910.24 Total Value: $2,412,136.00 Shares Owned After: 49,825 | Ownership: D (Direct) Footnotes: [F2] This transaction was executed in multiple trades at prices ranging from $910.17 to $910.47. 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. --- Derivative Transactions --- [Transaction #1] Security: Employee Stock Options Date: 2026-05-13 | Code: M (Exercise of derivative) Shares: -7,900 | Price: $196.70 Exercisable: N/A | Expires: 2032-03-07 Shares Owned After: 16,078 | Ownership: D (Direct) Footnotes: [F3] The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. --- Footnotes (Complete Index) --- F1: This transaction was executed in multiple trades at prices ranging from $909.10 to $910.08. 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. F2: This transaction was executed in multiple trades at prices ranging from $910.17 to $910.47. 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: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. --- Signature --- /s/ /s/ Nicole Puza, POA for Denise Johnson (2026-05-14)