CATERPILLAR INC 4

Group President Jason Kaiser received 10 Caterpillar Inc. phantom stock units (economic equivalent of common stock) as a deferred compensation award.

On July 24, 2026, Caterpillar Inc. Group President Jason Kaiser received a small award of 10 phantom stock units under the company’s non-qualified deferred compensation plan, economically equivalent to 10 shares of Caterpillar common stock, at a reference price of $888.73 per unit. The award consists of 5 units credited at $888.73 and 5 units contributed for no consideration, with additional adjustments reflecting accrued dividends, and will be settled 100% in cash upon his retirement or separation from service. Following this routine compensation-related transaction, his deferred phantom stock balance increased modestly to 5,567 units, representing a meaningful but not unusually large economic exposure to Caterpillar’s share price through the unitized company stock fund.

Filing Facts

CIK

18230

Ticker

CAT

Form

4

Source Type

sec

Accession

0001104659-26-087024

Alert Tier

5