CATERPILLAR INC 4

Caterpillar Inc. CFO Kyle Joseph Epley received a total of 18 phantom stock units tied to Caterpillar common stock under a deferred compensation plan, representing a small, routine cash-settled award rather than an open-market trade.

On August 26, 2026, Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley received a small award of phantom stock units under the company’s non-qualified deferred compensation plan, with 11 units credited at an implied value of $821.93 per unit pursuant to excess contributions and plan terms, followed by an additional 7 phantom stock units credited under the same plan at the same reference price. These phantom units, which are economically equivalent to Caterpillar common stock but settle 100% in cash upon retirement or separation, increased his phantom stock holdings from 5,862 to 5,869 units in one line and then to 5,869 again after the second credit (reflecting minor plan and dividend adjustments), and they are held indirectly as part of an unfunded unitized company stock fund whose unit count can fluctuate with the mix of stock and cash. No open-market purchases or sales of Caterpillar common stock occurred; instead, this filing reflects routine, low-dollar deferred compensation accruals and plan-related credits rather than a discretionary trading decision by the CFO.

Filing Facts

CIK

18230

Ticker

CAT

Form

4

Source Type

sec

Accession

0001104659-26-102420

Alert Tier

4