SEC Form 4 · accession 0001104659-26-078798
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kyle Joseph Epley
Officer — Chief Financial Officer
Period of report
Jun 26, 2026
Accepted (ET)
Jun 29, 2026 · 3:48 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000018230
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F1,F2 | — | Jun 26, 2026 | A | 6 | A | — | — | Common Stock | 6 | 6,242 | D |
Explanation of responses
- F1Each 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.
- F2The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
- F3Includes 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.