SEC Form 4 · accession 0001104659-26-104202
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph E Creed
Officer — Chief Executive Officer
Period of report
Aug 28, 2026
Accepted (ET)
Sep 1, 2026 · 12:32 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000018230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 28, 2026 | M | 44,403 | $219.76 | A | 78,958 | D | |
| Common Stock | Aug 28, 2026 | F | 12,002 | $812.98 | D | 66,956 | D | |
| Common StockF2 | Aug 28, 2026 | S | 480 | $800.19 | D | 66,476 | D | |
| Common StockF3 | Aug 28, 2026 | S | 540 | $801.10 | D | 65,936 | D | |
| Common StockF4 | Aug 28, 2026 | S | 280 | $802.10 | D | 65,656 | D | |
| Common StockF5 | Aug 28, 2026 | S | 750 | $803.39 | D | 64,906 | D | |
| Common StockF6 | Aug 28, 2026 | S | 520 | $803.86 | D | 64,386 | D | |
| Common StockF7 | Aug 28, 2026 | S | 1,351 | $805.36 | D | 63,035 | D | |
| Common StockF8 | Aug 28, 2026 | S | 3,382 | $806.31 | D | 59,653 | D | |
| Common StockF9 | Aug 28, 2026 | S | 6,135 | $807.41 | D | 53,518 | D | |
| Common StockF10 | Aug 28, 2026 | S | 2,639 | $808.20 | D | 50,879 | D | |
| Common StockF11 | Aug 28, 2026 | S | 2,137 | $809.08 | D | 48,742 | D | |
| Common StockF12 | Aug 28, 2026 | S | 3,041 | $810.31 | D | 45,701 | D | |
| Common StockF13 | Aug 28, 2026 | S | 5,035 | $811.31 | D | 40,666 | D | |
| Common StockF14 | Aug 28, 2026 | S | 1,280 | $812.09 | D | 39,386 | D | |
| Common StockF15 | Aug 28, 2026 | S | 4,831 | $813.72 | D | 34,555 | D | |
| Common StockF16 | holding | — | — | — | 11,839 | I | Held by 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock optionsF17 | $219.76 | Aug 28, 2026 | M | 44,403 | D | — | Mar 1, 2031 | Common Stock | 44,403 | 0 | D |
Explanation of responses
- F1This transaction includes dividends accrued.
- F10The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F11The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F12The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F13The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F14The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F15The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F16The information in this report is based on a 401(k) plan statement dated as of July 31, 2026.
- F17The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date.
- F2The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F6The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F7The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F8The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F9The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.