CATERPILLAR INC 4

Group President Jason Kaiser received an 11-unit phantom stock award under Caterpillar Inc.’s deferred compensation plan, bringing his total phantom stock holdings to 5,476 units.

On August 26, 2026, Caterpillar Inc. Group President Jason Kaiser acquired 11 phantom stock units under the company’s non-qualified Supplemental Deferred Compensation Plan, with 6 units credited at a reference price of approximately $821.93 per unit and 5 additional units contributed to his account at no consideration, reflecting routine deferred compensation and dividend-related adjustments. Each phantom unit is economically equivalent to a share of Caterpillar common stock but will be settled 100% in cash upon his retirement or separation from service, and the reported holdings may fluctuate over time due to changes in the cash/stock mix of the underlying unitized fund. Following this award, Kaiser’s deemed interest in Caterpillar phantom stock units increased to 5,476 units, which, using the contemporaneous unit price, represents an economic exposure of roughly $4.5 million to Caterpillar’s equity through the deferred compensation plan.

Filing Facts

CIK

18230

Ticker

CAT

Form

4

Source Type

sec

Accession

0001104659-26-102419

Alert Tier

5