CATERPILLAR INC 4

CEO Joseph E. Creed received 19 phantom stock units tied to Caterpillar Inc. common stock as a deferred compensation award.

On August 26, 2026, Caterpillar Inc. CEO Joseph E. Creed received an award of 19 phantom stock units under the company’s non-qualified Supplemental Deferred Compensation Plan, which are economically equivalent to Caterpillar common shares but will be settled 100% in cash upon his retirement or separation. The award consisted of 10 units credited at a reference price of approximately $821.93 per share and 9 additional units contributed for no consideration under the terms of the plan, and includes adjustments for accrued dividends within an unfunded, unitized company stock fund structure. Following this transaction, Creed’s deferred phantom stock holdings increased to 11,291 units, whose estimated value can be inferred using the current market price of Caterpillar shares, and the transaction appears to represent routine deferred compensation rather than an open-market trade.

Filing Facts

CIK

18230

Ticker

CAT

Form

4

Source Type

sec

Accession

0001104659-26-102417

Alert Tier

5