CATERPILLAR INC — Director's Dealing 2026

Feb 9, 2026

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2026-02-06

Reporting Person: Fassino Anthony D. (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2026-02-06	Common Stock	M	8288	$196.70	Acquired	49439	Direct
2026-02-06	Common Stock	F	2255	$722.80	Disposed	47184	Direct
2026-02-06	Common Stock	S	6033	$722.15	Disposed	41151	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2026-02-06	Employee Stock Options	$196.70	M	8288	Disposed	2032-03-07	Common Stock (8288)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1502	Indirect

Footnotes

F1: 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 thired anniversaries of the grant date.

F2: The information in this report is based on a 401(k) plan statement dated as of January 31, 2026.