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CAT

CATERPILLAR INC

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Tapewire entity
2808
SEC CIK
0000018230
Parsed reports
3,597

Last 12 months

Inside the activity.

2 purchase rows · 91 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025116
Dec 2025014
Jan 202600
Feb 2026021
Mar 202605
Apr 202600
May 2026121
Jun 202600
Jul 202600
Aug 2026014
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 30, 2026 Filed Oct 2, 2026 01:14 UTC GrantPhantom Stock Units · Derivative 28 $821.01 $22,988.28
Disclosure

SEC source: 0001104659-26-112891 · tm2626848-1_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 505

Underlying: Common Stock · 28 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: 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 · derivative.expiration_date: 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 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
September 30, 2026 Filed Oct 2, 2026 01:15 UTC
GOOD LYNN JDirector
GrantPhantom Stock Units · Derivative 30 $821.01 $24,630.30
Disclosure

SEC source: 0001104659-26-112893 · tm2626848-2_4seq1.xml · derivative · entry 1

GOOD LYNN J · CIK 0001230175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30

Underlying: Common Stock · 30 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

Read SEC document
September 25, 2026 Filed Sep 28, 2026 19:01 UTC
Kaiser JasonGroup President
GrantPhantom Stock Units · Derivative 11 $821.58 $9,037.38
Disclosure

SEC source: 0001104659-26-111315 · tm2626483-3_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,449

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.58 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
September 25, 2026 Filed Sep 28, 2026 19:00 UTC
Creed Joseph EChief Executive Officer
GrantPhantom Stock Units · Derivative 19 $821.58 $15,610.02
Disclosure

SEC source: 0001104659-26-111312 · tm2626483-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,234

Underlying: Common Stock · 19 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.58 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
September 25, 2026 Filed Sep 28, 2026 19:00 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 7 $821.58 $5,751.06
Disclosure

SEC source: 0001104659-26-111313 · tm2626483-2_4seq1.xml · derivative · entry 2

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,846

Underlying: Common Stock · 7 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
September 25, 2026 Filed Sep 28, 2026 19:00 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 11 $821.58 $9,037.38
Disclosure

SEC source: 0001104659-26-111313 · tm2626483-2_4seq1.xml · derivative · entry 1

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,839

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.58 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
Exercise / conversionEmployee Stock options · Derivative 44,403 $219.76 Strike: $219.76 $9,758,003.28
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · derivative · entry 18

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,403 shares

Expires 2031-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F17 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 4,831 $813.72 $3,931,081.32
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 16

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,555

F15 · price: The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 1,280 $812.09 $1,039,475.20
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 15

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,386

F14 · price: The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 5,035 $811.31 $4,084,945.85
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 14

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,666

F13 · price: The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 3,041 $810.31 $2,464,152.71
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 13

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,701

F12 · price: The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 2,137 $809.08 $1,729,003.96
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 12

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,742

F11 · price: The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 2,639 $808.20 $2,132,839.80
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 11

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,879

F10 · price: The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 6,135 $807.41 $4,953,460.35
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 10

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,518

F9 · price: The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 3,382 $806.31 $2,726,940.42
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 9

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,653

F8 · price: The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 1,351 $805.36 $1,088,041.36
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 8

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,035

F7 · price: The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 520 $803.86 $418,007.20
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 7

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,386

F6 · price: The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 750 $803.39 $602,542.50
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 6

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,906

F5 · price: The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 280 $802.10 $224,588.00
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 5

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,656

F4 · price: The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 540 $801.10 $432,594.00
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 4

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,936

F3 · price: The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
SaleCommon Stock 480 $800.19 $384,091.20
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 3

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,476

F2 · price: The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
Tax withholdingCommon Stock 12,002 $812.98 $9,757,385.96
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,956

Read SEC document
August 28, 2026 Filed Sep 1, 2026 16:32 UTC
Creed Joseph EChief Executive Officer
Exercise / conversionCommon Stock 44,403 $219.76 $9,758,003.28
Disclosure

SEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,958

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: This transaction includes dividends accrued.

Read SEC document
August 26, 2026 Filed Aug 27, 2026 19:46 UTC
Kaiser JasonGroup President
GrantPhantom Stock Units · Derivative 11 $821.93 $9,041.23
Disclosure

SEC source: 0001104659-26-102419 · tm2624211-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,476

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.93 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
August 26, 2026 Filed Aug 27, 2026 19:45 UTC
Creed Joseph EChief Executive Officer
GrantPhantom Stock Units · Derivative 19 $821.93 $15,616.67
Disclosure

SEC source: 0001104659-26-102417 · tm2624211-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,291

Underlying: Common Stock · 19 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.93 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
August 26, 2026 Filed Aug 27, 2026 19:47 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 7 $821.93 $5,753.51
Disclosure

SEC source: 0001104659-26-102420 · tm2624211-3_4seq1.xml · derivative · entry 2

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,869

Underlying: Common Stock · 7 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
August 26, 2026 Filed Aug 27, 2026 19:47 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 11 $821.93 $9,041.23
Disclosure

SEC source: 0001104659-26-102420 · tm2624211-3_4seq1.xml · derivative · entry 1

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,862

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.93 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
July 24, 2026 Filed Jul 27, 2026 18:41 UTC
Creed Joseph EChief Executive Officer
GrantPhantom Stock Units · Derivative 18 $888.73 $15,997.14
Disclosure

SEC source: 0001104659-26-087023 · tm2621393-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,483

Underlying: Common Stock · 18 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $888.73 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
July 24, 2026 Filed Jul 27, 2026 18:43 UTC
Kaiser JasonGroup President
GrantPhantom Stock Units · Derivative 10 $888.73 $8,887.30
Disclosure

SEC source: 0001104659-26-087024 · tm2621393-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,567

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $888.73 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
July 24, 2026 Filed Jul 27, 2026 21:42 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 7 $888.73 $6,221.11
Disclosure

SEC source: 0001104659-26-087156 · tm2621393-3_4seq1.xml · derivative · entry 2

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,961

Underlying: Common Stock · 7 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

Read SEC document
July 24, 2026 Filed Jul 27, 2026 21:42 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 5 $888.73 $4,443.65
Disclosure

SEC source: 0001104659-26-087156 · tm2621393-3_4seq1.xml · derivative · entry 1

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,954

Underlying: Common Stock · 5 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $888.73 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
June 30, 2026 Filed Jul 1, 2026 18:53 UTC GrantPhantom Stock Units · Derivative 22 $1,055.33 $23,217.26
Disclosure

SEC source: 0001104659-26-079826 · tm2619554-1_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 476

Underlying: Common Stock · 22 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: 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 · derivative.expiration_date: 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 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 26, 2026 Filed Jun 29, 2026 19:48 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 6 $997.47 $5,984.82
Disclosure

SEC source: 0001104659-26-078798 · tm2619309-3_4seq1.xml · derivative · entry 1

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,242

Underlying: Common Stock · 6 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F2 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · balance_after: 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.

Read SEC document
June 26, 2026 Filed Jun 29, 2026 19:50 UTC
Creed Joseph EChief Executive Officer
GrantPhantom Stock Units · Derivative 16 $997.47 $15,959.52
Disclosure

SEC source: 0001104659-26-078800 · tm2619309-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,028

Underlying: Common Stock · 16 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 8 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $997.47 and 8 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
June 26, 2026 Filed Jun 29, 2026 19:52 UTC
Kaiser JasonGroup President
GrantPhantom Stock Units · Derivative 5 $997.47 $4,987.35
Disclosure

SEC source: 0001104659-26-078801 · tm2619309-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,831

Underlying: Common Stock · 5 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $997.47 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:43 UTC GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072891 · tm2617695-1_4seq1.xml · nonDerivative · entry 1

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,687

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:46 UTC GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072894 · tm2617695-2_4seq1.xml · nonDerivative · entry 1

Johnson Gerald · CIK 0001772226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,907

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:47 UTC GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072897 · tm2617695-3_4seq1.xml · nonDerivative · entry 1

KEENE NAZZIC S · CIK 0001579223 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 728

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:48 UTC GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072898 · tm2617695-4_4seq1.xml · nonDerivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,420

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:50 UTC GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072902 · tm2617695-5_4seq1.xml · nonDerivative · entry 1

Marks Judith Fran · CIK 0001665490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,938

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:52 UTC
REED DEBRA LDirector
GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072907 · tm2617695-6_4seq1.xml · nonDerivative · entry 1

REED DEBRA L · CIK 0001225947 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,204

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:52 UTC GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072910 · tm2617695-7_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,197

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
June 10, 2026 Filed Jun 11, 2026 19:53 UTC GrantCommon Stock 211 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-072911 · tm2617695-8_4seq1.xml · nonDerivative · entry 1

WILKINS RAYFORD JR · CIK 0001184395 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,416

F1 · balance_after: Includes adjustments for dividends accrued.

Read SEC document
May 26, 2026 Filed May 27, 2026 19:09 UTC
Epley Kyle JosephChief Financial Officer
GrantPhantom Stock Units · Derivative 6 $908.55 $5,451.30
Disclosure

SEC source: 0001104659-26-066858 · tm2615789-2_4seq1.xml · derivative · entry 1

Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,711

Underlying: Common Stock · 6 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F2 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · balance_after: 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.

Read SEC document
May 26, 2026 Filed May 27, 2026 19:11 UTC
Creed Joseph EChief Executive Officer
GrantPhantom Stock Units · Derivative 18 $908.55 $16,353.90
Disclosure

SEC source: 0001104659-26-066860 · tm2615789-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,001

Underlying: Common Stock · 18 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · shares: This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $908.55 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: 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.

Read SEC document
May 14, 2026 Filed May 15, 2026 21:29 UTC
Johnson Denise CGroup President
Exercise / conversionEmployee Stock Options · Derivative 16,078 $196.70 Strike: $196.70 $3,162,542.60
Disclosure

SEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · derivative · entry 11

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,078 shares

Expires 2032-03-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

Read SEC document
May 14, 2026 Filed May 15, 2026 21:29 UTC
Johnson Denise CGroup President
SaleCommon Stock 1,605 $911.92 $1,463,631.60
Disclosure

SEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 10

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,825

F8 · price: This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected

Read SEC document
May 14, 2026 Filed May 15, 2026 21:29 UTC
Johnson Denise CGroup President
SaleCommon Stock 402 $910.65 $366,081.30
Disclosure

SEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 9

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,430

F7 · price: This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected

Read SEC document
May 14, 2026 Filed May 15, 2026 21:29 UTC
Johnson Denise CGroup President
SaleCommon Stock 1,568 $909.70 $1,426,409.60
Disclosure

SEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 8

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,832

F6 · price: This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected

Read SEC document
May 14, 2026 Filed May 15, 2026 21:29 UTC
Johnson Denise CGroup President
SaleCommon Stock 2,302 $908.76 $2,091,965.52
Disclosure

SEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 7

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,400

F5 · price: This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.