Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. | Phantom stock units awarded or acquired in lieu of director cash compensation. | The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. | The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. | Includes adjustments for dividends accrued.
Post-Transaction Holdings
MacLennan David
Security
Shares
Change
Phantom Stock Units
476
+22 (4.85%)
Original SEC Filing Textexpand_more
=== SEC Form 4 — Statement of Changes in Beneficial Ownership ===
Document Type: 4
Period of Report: 2026-06-30
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: 2026-06-30 | Code: A (Grant or award)
Shares: +22 | Price: $1,055.33
Shares Owned After: 476 | Ownership: D (Direct)
Footnotes:
[F1] Each phantom stock unit under the company's non-qualified deferred compensation plan 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. Directors' 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. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
[F4] Includes adjustments for dividends accrued.
--- Footnotes (Complete Index) ---
F1: Each phantom stock unit under the company's non-qualified deferred compensation plan 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. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4: Includes adjustments for dividends accrued.
--- Signature ---
/s/ /s/ Nicole M. Puza, POA for David MacLennan (2026-07-01)
