Denise C. Johnson - Nov 12, 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: Nov 12, 2025
Transactions value $: -$6,271,131
Form type: 4
Date filed: 11/14/2025, 12:56 PM
Previous filing: Oct 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	2025-11-14	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	-$6.27M	-10.9K	-50.44%	$573.02	10.8K	Nov 12, 2025	Common Stock	10.9K		Direct	F1, F2, F3, F4

* 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 retirement or separation from service.
F4	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.