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. | The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. | The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. | Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.
Post-Transaction Holdings
Epley Kyle Joseph
Security
Shares
Change
Phantom Stock Units
6.24K
+6 (0.10%)
Original SEC Filing Textexpand_more
=== SEC Form 4 — Statement of Changes in Beneficial Ownership ===
Document Type: 4
Period of Report: 2026-06-26
10b5-1 Pre-arranged Plan: No
--- Issuer ---
Name: CATERPILLAR INC (CAT)
CIK: 0000018230
--- Reporting Owner ---
Name: Epley Kyle Joseph
CIK: 0002131716
Role: Officer (Chief Financial Officer)
--- Derivative Transactions ---
[Transaction #1]
Security: Phantom Stock Units
Date: 2026-06-26 | Code: A (Grant or award)
Shares: +6 | Price: $997.47
Shares Owned After: 6,242 | 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] The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
[F2] The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
[F3] Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.
--- 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: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
F3: Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.
--- Signature ---
/s/ /s/ Nicole Puza, POA for Kyle J. Epley (2026-06-29)
