Caterpillar (NYSE: CAT) director David MacLennan receives 211-share stock grant

Rhea-AI Filing Summary

Caterpillar Inc. director David MacLennan received 211 shares of Common Stock as a grant or award on June 10, 2026. The shares were acquired at a stated price of $0.00 per share, bringing his directly held total to 8,420 shares, including adjustments for dividends accrued.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider MacLennan David

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	211	$0.00	--

Holdings After Transaction: Common Stock — 8,420 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares granted: 211 shares Price per share (grant): $0.00 per share Shares held after transaction: 8,420 shares +1 more

4 metrics

Shares granted 211 shares Common Stock grant on June 10, 2026

Price per share (grant) $0.00 per share Stated grant price for awarded shares

Shares held after transaction 8,420 shares Direct Common Stock holdings following grant

Acquire transactions 1 transaction Transaction summary shows one acquisition event

Key Terms

Common Stock, Grant, award, or other acquisition, Form 4, dividends accrued

4 terms

Common Stock financial

"security_title: "Common Stock""

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Grant, award, or other acquisition financial

"transaction_code_description: "Grant, award, or other acquisition""

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

dividends accrued financial

"Includes adjustments for dividends accrued."

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Form 4 Insider Transactions: What Each Field Means →

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^*

MacLennan David

(Last) (First) (Middle)

5205 N. O'CONNOR BOULEVARD, SUITE 100

(Street)

IRVING TEXAS 75039

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [ CAT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/10/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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
Common Stock	06/10/2026		A		211	A	$0	8,420(1)	D

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

Explanation of Responses:

1. Includes adjustments for dividends accrued.

	/s/ Nicole M. Puza, POA for David MacLennan	06/11/2026
	** 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.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did Caterpillar (CAT) director David MacLennan report?

Director David MacLennan reported receiving 211 shares of Caterpillar Common Stock as a grant or award. The Form 4 classifies this as a “Grant, award, or other acquisition,” reflecting compensation rather than an open-market stock purchase or sale.

Was the Caterpillar (CAT) share grant to David MacLennan an open-market purchase?

No, the 211-share transaction was not an open-market purchase. It is coded as a grant, award, or other acquisition at a stated price of $0.00 per share, indicating compensation-related stock issuance rather than a voluntary market trade.

How many Caterpillar (CAT) shares does David MacLennan hold after this grant?

After receiving 211 shares, David MacLennan directly holds 8,420 shares of Caterpillar Common Stock. The filing notes that this figure includes adjustments for dividends accrued, providing a consolidated view of his direct equity position following the transaction.

What does the transaction code 'A' mean in the Caterpillar (CAT) Form 4 filing?

The transaction code “A” in the Form 4 represents a grant, award, or other acquisition of shares. For David MacLennan, it indicates that 211 Caterpillar Common Stock shares were awarded as compensation, not bought or sold on the open market.

Does the Caterpillar (CAT) Form 4 show any stock sales by David MacLennan?

No, the Form 4 shows no stock sales by David MacLennan. The transaction summary indicates one acquisition transaction and zero sell, gift, tax-withholding, or restructuring transactions, underscoring that this filing reflects only a stock grant award.