Caterpillar

=== SEC Form 4 — Statement of Changes in Beneficial Ownership === Document Type: 4 Period of Report: 2026-05-04 10b5-1 Pre-arranged Plan: No --- Issuer --- Name: CATERPILLAR INC (CAT) CIK: 0000018230 --- Reporting Owner --- Name: Kaiser Jason CIK: 0002005183 Role: Officer (Group President) --- Non-Derivative Transactions --- [Transaction #1] Security: Common Stock Date: 2026-05-04 | Code: M (Exercise of derivative) Shares: +7,917 | Price: $253.98 Total Value: $2,010,759.66 Shares Owned After: 17,511 | Ownership: D (Direct) [Transaction #2] Security: Common Stock Date: 2026-05-04 | Code: F (Payment of exercise/tax) Shares: -2,275 | Price: $883.50 Total Value: $2,009,962.50 Shares Owned After: 15,236 | Ownership: D (Direct) [Transaction #3] Security: Common Stock Date: 2026-05-04 | Code: S (Open market sale) Shares: -5,642 | Price: $883.03 Total Value: $4,982,055.26 Shares Owned After: 9,594 | Ownership: D (Direct) --- Derivative Transactions --- [Transaction #1] Security: Employee Stock Options Date: 2026-05-04 | Code: M (Exercise of derivative) Shares: -7,917 | Price: $253.98 Exercisable: N/A | Expires: 2033-03-06 Shares Owned After: 0 | Ownership: D (Direct) Footnotes: [F2] The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. [F2] The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. --- Holdings --- [Holding #1] Security: Common Stock Ownership: I (Indirect) Footnotes: [F1] The information in this report is based on a 401(k) plan statement dated as of April 30, 2026. --- Footnotes (Complete Index) --- F1: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026. F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. --- Signature --- /s/ /s/ Nicole Puza, POA for Jason Kaiser (2026-05-05)