Caterpillar 4: MacLennan David bought 30 shares of Phantom Stock Units at… (Jan 5, 2026)

=== SEC Form 4 — Statement of Changes in Beneficial Ownership === Document Type: 4 Period of Report: 2025-12-31 10b5-1 Pre-arranged Plan: No --- Issuer --- Name: CATERPILLAR INC (CAT) CIK: 0000018230 --- Reporting Owner --- Name: MacLennan David CIK: 0001498535 Role: Director --- Derivative Transactions --- [Transaction #1] Security: Phantom Stock Units Date: 2025-12-31 | Code: A (Grant or award) Shares: +30 | Price: $575.49 Shares Owned After: 419 | Ownership: D (Direct) Footnotes: [F1] Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. [F2] Phantom stock units awarded or acquired in lieu of director cash compensation. [F3] The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. [F3] The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. --- Footnotes (Complete Index) --- F1: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2: Phantom stock units awarded or acquired in lieu of director cash compensation. F3: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. --- Signature --- /s/ /s/ Nicole Puza, POA for David W. MacLennan (2026-01-05)