CATERPILLAR INC — Director's Dealing 2026

Feb 4, 2026

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2026-02-02

Reporting Person: Johnson Denise C (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2026-02-02	Common Stock	M	11810	$196.70	Acquired	55160	Direct
2026-02-02	Common Stock	F	3399	$683.39	Disposed	51761	Direct
2026-02-02	Common Stock	S	1000	$678.52	Disposed	50761	Direct
2026-02-02	Common Stock	S	7411	$680.11	Disposed	43350	Direct
2026-02-02	Common Stock	M	45291	$219.76	Acquired	86641	Direct
2026-02-02	Common Stock	F	14564	$683.39	Disposed	74077	Direct
2026-02-02	Common Stock	S	1431	$680.11	Disposed	72646	Direct
2026-02-02	Common Stock	S	20145	$680.76	Disposed	52501	Direct
2026-02-02	Common Stock	S	2994	$681.69	Disposed	49507	Direct
2026-02-02	Common Stock	S	2761	$682.84	Disposed	46746	Direct
2026-02-02	Common Stock	S	2258	$683.90	Disposed	44488	Direct
2026-02-02	Common Stock	S	1138	$684.93	Disposed	43350	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2026-02-02	Employee Stock Options	$196.70	M	11810	Disposed	2032-03-07	Common Stock (11810)	Direct
2026-02-02	Employee Stock Options	$219.76	M	45291	Disposed	2031-03-01	Common Stock (45291)	Direct

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $678.25 to $678.82. 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.

F2: This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. 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.

F3: This transaction was executed in multiple trades at prices ranging from $680.35 to $681.29. 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.

F4: This transaction was executed in multiple trades at prices ranging from $681.35 to $682.33. 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.

F5: This transaction was executed in multiple trades at prices ranging from $682.38 to $683.36. 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.

F6: This transaction was executed in multiple trades at prices ranging from $683.37 to $684.33. 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.

F7: This transaction was executed in a trade at a price of $684.93. 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.

F8: 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 in the first, second and third anniversaries of the grant date.

F9: The 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.