Anthony D. Fassino - 10 Nov 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Anthony D. Fassino
Issuer symbol
CAT
Transactions as of
10 Nov 2025
Transactions value $
-$7,124,574
Form type
4
Filing time
12 Nov 2025, 15:00:21
Previous filing
05 Mar 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Fassino Anthony D. Group President 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Anthony D. Fassino 12 Nov 2025 0001839757

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $2.46M +12.5K +30.11% $196.70 54K 10 Nov 2025 Direct F1
transaction CAT Common Stock Tax liability -$2.46M -4.32K -7.99% $569.56 49.7K 10 Nov 2025 Direct
transaction CAT Common Stock Sale -$4.67M -8.18K -16.47% $570.18 41.5K 10 Nov 2025 Direct
holding CAT Common Stock 1.5K 10 Nov 2025 Held by 401(k) Plan F2

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 Employee Stock Options Options Exercise -$2.46M -12.5K -34.93% $196.70 23.3K 10 Nov 2025 Common Stock 12.5K $196.70 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 The information in this report is based on a 401(k) plan statement dated as of October 31, 2025.
F3 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.