CATERPILLAR INC — Director's Dealing 2026

Feb 6, 2026

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2026-02-04

Reporting Person: Johnson Denise C (Group President)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2026-02-04	Phantom Stock Units	$	J	10946	Disposed		Common Stock (10946)	Direct

Footnotes

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.