=== SEC Form 4 — Statement of Changes in Beneficial Ownership ===
Document Type: 4
Period of Report: 2026-03-04
10b5-1 Pre-arranged Plan: Yes
--- Issuer ---
Name: CATERPILLAR INC (CAT)
CIK: 0000018230
--- Reporting Owner ---
Name: Creed Joseph E
CIK: 0001739859
Role: Officer (Chief Executive Officer)
--- Non-Derivative Transactions ---
[Transaction #1]
Security: Common Stock
Date: 2026-03-04 | Code: F (Payment of exercise/tax)
Shares: -696 | Price: $738.42
Total Value: $513,940.32
Shares Owned After: 37,583 | Ownership: D (Direct)
Footnotes:
[F1] Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024.
[Transaction #2]
Security: Common Stock
Date: 2026-03-05 | Code: S (Open market sale)
Shares: -420 | Price: $717.01
Total Value: $301,144.20
Shares Owned After: 37,163 | Ownership: D (Direct)
Footnotes:
[F2] This transaction was executed in multiple trades at prices ranging from $716.48 to $717.45. 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 #3]
Security: Common Stock
Date: 2026-03-05 | Code: S (Open market sale)
Shares: -800 | Price: $718.44
Total Value: $574,752.00
Shares Owned After: 36,363 | Ownership: D (Direct)
Footnotes:
[F3] This transaction was executed in multiple trades at prices ranging from $717.96 to $718.81. 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: 2026-03-05 | Code: S (Open market sale)
Shares: -585 | Price: $719.39
Total Value: $420,843.15
Shares Owned After: 35,778 | Ownership: D (Direct)
Footnotes:
[F4] This transaction was executed in multiple trades at prices ranging from $718.99 to $719.98. 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 #5]
Security: Common Stock
Date: 2026-03-05 | Code: S (Open market sale)
Shares: -575 | Price: $720.10
Total Value: $414,057.50
Shares Owned After: 35,203 | Ownership: D (Direct)
Footnotes:
[F5] This transaction was executed in multiple trades at prices ranging from $720.00 to $720.83. 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.
[Transaction #6]
Security: Common Stock
Date: 2026-03-05 | Code: S (Open market sale)
Shares: -120 | Price: $721.00
Total Value: $86,520.00
Shares Owned After: 35,083 | Ownership: D (Direct)
--- Holdings ---
[Holding #1]
Security: Common Stock
Ownership: I (Indirect)
Footnotes:
[F6] The information in this report is based on a 401(k) plan statement dated as of February 28, 2026.
--- Footnotes (Complete Index) ---
F1: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024.
F2: This transaction was executed in multiple trades at prices ranging from $716.48 to $717.45. 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: This transaction was executed in multiple trades at prices ranging from $717.96 to $718.81. 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.
F4: This transaction was executed in multiple trades at prices ranging from $718.99 to $719.98. 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.
F5: This transaction was executed in multiple trades at prices ranging from $720.00 to $720.83. 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.
F6: The information in this report is based on a 401(k) plan statement dated as of February 28, 2026.
--- Signature ---
/s/ /s/ Nicole Puza, POA for Joseph E. Creed (2026-03-06)
