CATERPILLAR INC 4

Caterpillar Inc. CFO Kyle Joseph Epley received 12 additional phantom stock units tied to Caterpillar common stock under a deferred compensation plan on July 24, 2026.

On July 24, 2026, Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley received additional phantom stock units under the company’s non-qualified Supplemental Deferred Compensation Plan, economically equivalent to Caterpillar common stock but payable 100% in cash upon retirement or separation. The filing indicates that 5 phantom units (including 3 units credited at $888.73 per unit due to excess contributions and 2 units contributed at no cost) were added in one line item, and 7 phantom units (with the same $888.73 reference price) in a second line item, for a total of 12 new phantom units and related dividend and plan adjustments. These grants increased his deemed phantom stock holdings to 5,954 units after the first award and 5,961 units after the second, with the number of units subject to ongoing small changes due to the unitized stock fund’s mix of cash and stock; at the current stock price, his post-transaction phantom stock holdings represent an economic interest of roughly $5.2 million.

Filing Facts

CIK

18230

Ticker

CAT

Form

4

Source Type

sec

Accession

0001104659-26-087156

Alert Tier

5