CATERPILLAR INC 4

Caterpillar CEO Joseph E. Creed exercised 44,403 stock options at $219.76 and sold or surrendered roughly 57,000 Caterpillar common shares around $800–$814 per share on August 28, 2026, leaving 34,555 shares held directly.

On August 28, 2026, Caterpillar Inc. CEO Joseph E. Creed exercised 44,403 employee stock options at a strike price of $219.76 per share, acquiring an equivalent number of Caterpillar common shares, and simultaneously disposed of shares through both tax withholding and open‐market sales. A portion of the newly acquired shares (12,002) was surrendered at an effective price of $812.98 per share to cover taxes or related obligations, and an additional series of open-market sales totaling approximately 45,144 shares was executed at weighted-average prices ranging from about $800.19 to $813.72 per share. After these transactions, Creed’s directly held stake in Caterpillar common stock decreased to 34,555 shares, supplemented by 11,839 shares held indirectly in a 401(k) plan, indicating a sizable monetization event primarily tied to stock option exercise and associated share sales rather than an outright new purchase or discretionary sale unconnected to equity compensation.

Filing Facts

CIK

18230

Ticker

CAT

Form

4

Source Type

sec

Accession

0001104659-26-104202

Alert Tier

7