Caterpillar

=== SEC Form 4 — Statement of Changes in Beneficial Ownership === Document Type: 4 Period of Report: 2026-05-08 10b5-1 Pre-arranged Plan: No --- Issuer --- Name: CATERPILLAR INC (CAT) CIK: 0000018230 --- Reporting Owner --- Name: Epley Kyle Joseph CIK: 0002131716 Role: Officer (Chief Financial Officer) --- Non-Derivative Transactions --- [Transaction #1] Security: Common Stock Date: 2026-05-08 | Code: A (Grant or award) Shares: +515 | Price: $0.00 Shares Owned After: 17,705 | Ownership: D (Direct) --- Derivative Transactions --- [Transaction #1] Security: Employee Stock Options Date: 2026-05-08 | Code: A (Grant or award) Shares: +1,394 | Price: $0.00 Exercisable: N/A | Expires: 2036-05-08 Shares Owned After: 1,394 | Ownership: D (Direct) Footnotes: [F2] The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan and vest equally in 1/3 increments. 1/3 vests on the first anniversary of the grant date; 1/3 vests on March 2, 2028 and 1/3 vests on March 2, 2029. --- 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. 2023 Long-Term Incentive Plan and vest equally in 1/3 increments. 1/3 vests on the first anniversary of the grant date; 1/3 vests on March 2, 2028 and 1/3 vests on March 2, 2029. --- Signature --- /s/ /s/ Nicole Puza, POA for Kyle J. Epley (2026-05-12)