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[Form 4] Caterpillar Inc. Insider Trading Activity

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
4
Rhea-AI Filing Summary

Caterpillar Inc. (CAT) reporting person Denise C. Johnson, Group President, filed a Form 4 disclosing an intra-plan transfer of 8,493 phantom stock units on 08/07/2025. Each phantom unit is stated to be the economic equivalent of one share of Caterpillar common stock and, per the filing, will be settled 100% in cash upon the reporting person鈥檚 separation from service. Following the reported transaction the filing shows 22,597 phantom units beneficially owned directly. The transaction was executed under the company鈥檚 Supplemental Deferred Compensation Plan and the form was signed by POA Nicole Puza on 08/08/2025.

Caterpillar Inc. (CAT) la persona che effettua la segnalazione, Denise C. Johnson, Group President, ha presentato un Modulo 4 che rende noto un trasferimento intra-piano di 8,493 phantom stock units in data 08/07/2025. Ciascuna unit脿 phantom 猫 dichiarata equivalente, dal punto di vista economico, a una azione ordinaria di Caterpillar e, secondo il deposito, sar脿 liquidata 100% in contanti al momento della cessazione del rapporto di lavoro della persona segnalante. Dopo la transazione riportata, il deposito indica il possesso diretto di 22,597 unit脿 phantom. L鈥檕perazione 猫 stata eseguita nell鈥檃mbito del Supplemental Deferred Compensation Plan della societ脿 e il modulo 猫 stato firmato per delega da Nicole Puza il 08/08/2025.

Caterpillar Inc. (CAT) la persona que informa, Denise C. Johnson, Group President, present贸 un Formulario 4 que revela una transferencia intra-plan de 8,493 phantom stock units el 08/07/2025. Cada unidad phantom se indica como el equivalente econ贸mico de una acci贸n ordinaria de Caterpillar y, seg煤n la presentaci贸n, se liquidar谩 100% en efectivo cuando la persona informante se separe del servicio. Tras la operaci贸n informada, la presentaci贸n muestra la titularidad directa de 22,597 unidades phantom. La transacci贸n se ejecut贸 en el marco del Supplemental Deferred Compensation Plan de la compa帽铆a y el formulario fue firmado por apoderada Nicole Puza el 08/08/2025.

Caterpillar Inc. (CAT) 氤搓碃鞚� Denise C. Johnson(攴鸽９ 靷灔)電� 08/07/2025鞛愲 雮措秬 頂岆灉 雮� 鞚挫爠(intra-plan transfer)鞙茧 8,493臧滌潣 韺厐 鞀ろ啞 鞙犽嫑鞚� 瓿店皽頃橂姅 Form 4毳� 鞝滌稖頄堨姷雼堧嫟. 臧� 韺厐 鞙犽嫑鞚� Caterpillar 氤错喌欤� 1欤检檧 瓴届牅鞝侅溂搿� 霃欕摫頃� 瓴冹溂搿� 氇呾嫓霅橃柎 鞛堨溂氅�, 鞝滌稖靹滌棎 霐半ゴ氅� 氤搓碃鞚胳澊 韲挫頃� 瓴届毎 100% 順勱笀鞙茧 鞝曥偘霅╇媹雼�. 氤搓碃霅� 瓯半灅 鞚错泟 鞝滌稖靹滌棎電� 氤搓碃鞚胳澊 歆侅爲 鞁れ鞝侅溂搿� 氤挫湢頃� 22,597臧滌潣 韺厐 鞙犽嫑鞚� 旮办灛霅橃柎 鞛堨姷雼堧嫟. 鞚� 瓯半灅電� 須岇偓鞚� Supplemental Deferred Compensation Plan鞐� 霐半澕 鞁ろ枆霅橃棃鞙茧┌, 頃措嫻 靹滊電� 雽�毽澑 Nicole Puza鞐� 鞚橅暣 08/08/2025鞐� 靹滊獏霅橃棃鞀惦媹雼�.

Caterpillar Inc. (CAT) la personne d茅clarante, Denise C. Johnson, Group President, a d茅pos茅 un Formulaire 4 divulguant un transfert intra-plan de 8,493 phantom stock units le 08/07/2025. Chaque unit茅 phantom est indiqu茅e comme l鈥櫭﹒uivalent 茅conomique d鈥檜ne action ordinaire Caterpillar et, d鈥檃pr猫s le d茅p么t, sera r茅gl茅e 脿 100% en esp猫ces lors de la cessation de service de la personne d茅clarante. 脌 la suite de la transaction signal茅e, le d茅p么t fait appara卯tre 22,597 unit茅s phantom d茅tenues directement. La transaction a 茅t茅 r茅alis茅e dans le cadre du Supplemental Deferred Compensation Plan de la soci茅t茅 et le formulaire a 茅t茅 sign茅 par procuration par Nicole Puza le 08/08/2025.

Caterpillar Inc. (CAT) meldende Person Denise C. Johnson, Group President, reichte ein Formular 4 ein, das eine innerplanm盲脽ige 脺bertragung von 8,493 Phantom Stock Units am 08/07/2025 offenlegt. Jede Phantom-Einheit wird als wirtschaftliches 脛quivalent einer Caterpillar-Stammaktie angegeben und soll laut Einreichung bei Ausscheiden der meldenden Person zu 100% in bar abgewickelt werden. Nach der gemeldeten Transaktion weist die Einreichung 22,597 Phantom-Einheiten als direkt wirtschaftlich gehalten aus. Die Transaktion erfolgte im Rahmen des Supplemental Deferred Compensation Plan des Unternehmens und das Formular wurde am 08/08/2025 von der Bevollm盲chtigten Nicole Puza unterzeichnet.

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Insights

TL;DR: Routine deferred-compensation intra-plan transfer of phantom units; no direct equity issuance reported.

The Form 4 documents a non-derivative-equivalent transfer of 8,493 phantom stock units under Caterpillar鈥檚 Supplemental Deferred Compensation Plan on 08/07/2025. The filing explicitly states these units are economic equivalents of common shares and will be settled 100% in cash at separation, which limits immediate dilution or share-count impact. The post-transaction balance is 22,597 units held directly. This is a disclosure of compensation-related movement rather than an open-market purchase or sale.

TL;DR: Disclosure aligns with Section 16 reporting for officer compensation; transaction appears plan-driven and administrative.

The reporting person is identified as Group President Denise C. Johnson and the Form 4 indicates the transfer was an intra-plan reallocation under the company鈥檚 non-qualified deferred compensation arrangement. The filing clarifies settlement terms (cash at separation) and quantifies ownership post-transfer (22,597 phantom units). The form was executed by a power of attorney, consistent with administrative filings for insiders.

Caterpillar Inc. (CAT) la persona che effettua la segnalazione, Denise C. Johnson, Group President, ha presentato un Modulo 4 che rende noto un trasferimento intra-piano di 8,493 phantom stock units in data 08/07/2025. Ciascuna unit脿 phantom 猫 dichiarata equivalente, dal punto di vista economico, a una azione ordinaria di Caterpillar e, secondo il deposito, sar脿 liquidata 100% in contanti al momento della cessazione del rapporto di lavoro della persona segnalante. Dopo la transazione riportata, il deposito indica il possesso diretto di 22,597 unit脿 phantom. L鈥檕perazione 猫 stata eseguita nell鈥檃mbito del Supplemental Deferred Compensation Plan della societ脿 e il modulo 猫 stato firmato per delega da Nicole Puza il 08/08/2025.

Caterpillar Inc. (CAT) la persona que informa, Denise C. Johnson, Group President, present贸 un Formulario 4 que revela una transferencia intra-plan de 8,493 phantom stock units el 08/07/2025. Cada unidad phantom se indica como el equivalente econ贸mico de una acci贸n ordinaria de Caterpillar y, seg煤n la presentaci贸n, se liquidar谩 100% en efectivo cuando la persona informante se separe del servicio. Tras la operaci贸n informada, la presentaci贸n muestra la titularidad directa de 22,597 unidades phantom. La transacci贸n se ejecut贸 en el marco del Supplemental Deferred Compensation Plan de la compa帽铆a y el formulario fue firmado por apoderada Nicole Puza el 08/08/2025.

Caterpillar Inc. (CAT) 氤搓碃鞚� Denise C. Johnson(攴鸽９ 靷灔)電� 08/07/2025鞛愲 雮措秬 頂岆灉 雮� 鞚挫爠(intra-plan transfer)鞙茧 8,493臧滌潣 韺厐 鞀ろ啞 鞙犽嫑鞚� 瓿店皽頃橂姅 Form 4毳� 鞝滌稖頄堨姷雼堧嫟. 臧� 韺厐 鞙犽嫑鞚� Caterpillar 氤错喌欤� 1欤检檧 瓴届牅鞝侅溂搿� 霃欕摫頃� 瓴冹溂搿� 氇呾嫓霅橃柎 鞛堨溂氅�, 鞝滌稖靹滌棎 霐半ゴ氅� 氤搓碃鞚胳澊 韲挫頃� 瓴届毎 100% 順勱笀鞙茧 鞝曥偘霅╇媹雼�. 氤搓碃霅� 瓯半灅 鞚错泟 鞝滌稖靹滌棎電� 氤搓碃鞚胳澊 歆侅爲 鞁れ鞝侅溂搿� 氤挫湢頃� 22,597臧滌潣 韺厐 鞙犽嫑鞚� 旮办灛霅橃柎 鞛堨姷雼堧嫟. 鞚� 瓯半灅電� 須岇偓鞚� Supplemental Deferred Compensation Plan鞐� 霐半澕 鞁ろ枆霅橃棃鞙茧┌, 頃措嫻 靹滊電� 雽�毽澑 Nicole Puza鞐� 鞚橅暣 08/08/2025鞐� 靹滊獏霅橃棃鞀惦媹雼�.

Caterpillar Inc. (CAT) la personne d茅clarante, Denise C. Johnson, Group President, a d茅pos茅 un Formulaire 4 divulguant un transfert intra-plan de 8,493 phantom stock units le 08/07/2025. Chaque unit茅 phantom est indiqu茅e comme l鈥櫭﹒uivalent 茅conomique d鈥檜ne action ordinaire Caterpillar et, d鈥檃pr猫s le d茅p么t, sera r茅gl茅e 脿 100% en esp猫ces lors de la cessation de service de la personne d茅clarante. 脌 la suite de la transaction signal茅e, le d茅p么t fait appara卯tre 22,597 unit茅s phantom d茅tenues directement. La transaction a 茅t茅 r茅alis茅e dans le cadre du Supplemental Deferred Compensation Plan de la soci茅t茅 et le formulaire a 茅t茅 sign茅 par procuration par Nicole Puza le 08/08/2025.

Caterpillar Inc. (CAT) meldende Person Denise C. Johnson, Group President, reichte ein Formular 4 ein, das eine innerplanm盲脽ige 脺bertragung von 8,493 Phantom Stock Units am 08/07/2025 offenlegt. Jede Phantom-Einheit wird als wirtschaftliches 脛quivalent einer Caterpillar-Stammaktie angegeben und soll laut Einreichung bei Ausscheiden der meldenden Person zu 100% in bar abgewickelt werden. Nach der gemeldeten Transaktion weist die Einreichung 22,597 Phantom-Einheiten als direkt wirtschaftlich gehalten aus. Die Transaktion erfolgte im Rahmen des Supplemental Deferred Compensation Plan des Unternehmens und das Formular wurde am 08/08/2025 von der Bevollm盲chtigten Nicole Puza unterzeichnet.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Johnson Denise C
(Last) (First) (Middle)
5205 N. O'CONNOR BOULEVARD, SUITE 100
(Street)
IRVING TX 75039
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [ CAT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Group President
3. Date of Earliest Transaction (Month/Day/Year)
08/07/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Phantom Stock Units (1) 08/07/2025 J 8,493(2) (3) (3) Common Stock 8,493 $417.12 22,597 D
Explanation of Responses:
1. Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
2. Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan").
3. The phantom stock units are to be settled for 100% in cash upon the reporting person's separation from service.
/s/ Nicole Puza, POA for Denise C. Johnson 08/08/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source:

FAQ

What did Denise C. Johnson report on the Form 4 for CAT?

The Form 4 reports an intra-plan transfer of 8,493 phantom stock units under Caterpillar鈥檚 Supplemental Deferred Compensation Plan on 08/07/2025.

How many phantom stock units does Denise C. Johnson own after the transaction?

The filing shows 22,597 phantom stock units beneficially owned following the reported transaction.

Will the phantom stock units be settled in stock or cash according to the filing?

The filing states the phantom stock units are to be settled 100% in cash upon the reporting person鈥檚 separation from service.

What is the economic equivalence of each phantom stock unit in the filing?

Each phantom stock unit is reported to be the economic equivalent of one share of Caterpillar Inc. common stock.

When was the Form 4 signed and who signed it?

The Form 4 was signed by Nicole Puza, POA for Denise C. Johnson on 08/08/2025.
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Caterpillar

NYSE:CAT

CAT Rankings

#72 Ranked by Market Cap
#1613 Ranked by Dividends

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CAT Stock Data

200.38B
467.37M
0.22%
72.24%
1.23%
Farm & Heavy Construction Machinery
Construction Machinery & Equip
United States
IRVING