CATERPILLAR INC — Director's Dealing 2026

Feb 3, 2026

SEC Form 4 — Statement of Changes in Beneficial Ownership

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

Reporting Person: Fassino Anthony D. (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2026-02-02	Common Stock	M	15000	$196.70	Acquired	56151	Direct
2026-02-02	Common Stock	F	4329	$681.45	Disposed	51822	Direct
2026-02-02	Common Stock	S	10671	$680.45	Disposed	41151	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2026-02-02	Employee Stock options	$196.70	M	15000	Disposed	2032-03-07	Common Stock (15000)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1499	Indirect

Footnotes

F1: The transaction was executed in multiple trades at prices ranging from $680.16 to $681.09. 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: The information in this report is based on a 401(k) plan statement dated as of December 31, 2025.

F3: 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.