Caterpillar

=== SEC Form 4 — Statement of Changes in Beneficial Ownership === Document Type: 4 Period of Report: 2026-03-02 10b5-1 Pre-arranged Plan: No --- Issuer --- Name: CATERPILLAR INC (CAT) CIK: 0000018230 --- Reporting Owner --- Name: Creed Joseph E CIK: 0001739859 Role: Officer (CEO) --- Non-Derivative Transactions --- [Transaction #1] Security: Common Stock Date: 2026-03-02 | Code: A (Grant or award) Shares: +4,950 | Price: $0.00 Shares Owned After: 38,955 | Ownership: D (Direct) Footnotes: [F1] Includes adjustment for dividends accrued. [Transaction #2] Security: Common Stock Date: 2026-03-03 | Code: F (Payment of exercise/tax) Shares: -676 | Price: $719.13 Total Value: $486,131.88 Shares Owned After: 38,279 | Ownership: D (Direct) Footnotes: [F2] Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025. --- Derivative Transactions --- [Transaction #1] Security: Employee Stock options Date: 2026-03-02 | Code: A (Grant or award) Shares: +13,803 | Price: $0.00 Exercisable: N/A | Expires: 2036-03-02 Shares Owned After: 13,803 | Ownership: D (Direct) Footnotes: [F4] The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. --- Holdings --- [Holding #1] Security: Common Stock Ownership: I (Indirect) Footnotes: [F3] The information in this report is based on a 401 (k) plan statement dated as of February 28, 2026. --- Footnotes (Complete Index) --- F1: Includes adjustment for dividends accrued. F2: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025. F3: The information in this report is based on a 401 (k) plan statement dated as of February 28, 2026. F4: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan 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 Joseph Creed (2026-03-04)