Caterpillar

=== 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)