Donald J. Umpleby III - 28 Nov 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Executive Chairman
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby III
Issuer symbol
CAT
Transactions as of
28 Nov 2025
Transactions value $
$0
Form type
4
Filing time
02 Dec 2025, 10:46:33 UTC
Previous filing
14 Oct 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Umpleby III Donald J Executive Chairman 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Donald J. Umpleby III 02 Dec 2025 0001566320

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -2.35K -0.52% $0.00 446K 28 Nov 2025 Direct F1, F2
holding CAT Common Stock 59K 28 Nov 2025 Held by Irrevocable Trust for Descendants.
holding CAT Common Stock 36K 28 Nov 2025 Held by Children's Irrevocable Trust.
holding CAT Common Stock 1.03K 28 Nov 2025 Held by 401(k) Plan F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.
F2 Includes dividends accrued.
F3 The information in this report is based on a 401(k) plan dated as of November 30, 2025.