Denise C. Johnson - Aug 7, 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Denise C. Johnson
Stock symbol
CAT
Transactions as of
Aug 7, 2025
Transactions value $
-$3,542,600
Form type
4
Date filed
8/8/2025, 04:18 PM
Previous filing
Jul 28, 2025
Next filing
Aug 27, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Johnson Denise C Group President 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Denise C. Johnson 2025-08-08 0001608229

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CAT Phantom Stock Units Other -$3.54M -8.49K -27.32% $417.12 22.6K Aug 7, 2025 Common Stock 8.49K Direct F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan").
F3 The phantom stock units are to be settled for 100% in cash upon the reporting person's separation from service.