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CATERPILLAR INC — Director's Dealing 2026
Feb 6, 2026
29780_dirs_2026-02-06_1029217b-4394-423a-a437-5ee7e4ed2d97.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2026-02-01
Reporting Person: Shurman Rodney Michael (Group President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 183 | Direct |
| Common Stock | 6727 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Options | $253.98 | 2033-03-06 | Common Stock (7917) | Direct | |
| Employee Stock Options | $338.65 | 2034-03-04 | Common Stock (2997) | Direct | |
| Employee Stock Options | $332.04 | 2035-03-03 | Common Stock (2509) | Direct |
Footnotes
F1: The information in this report is based on a 401(k) plan statement dated as of December 31, 2025.
F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/06/2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F3: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/04/2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/03/2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.