0001104659-26-059243.txt : 20260512 0001104659-26-059243.hdr.sgml : 20260512 20260512133737 ACCESSION NUMBER: 0001104659-26-059243 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20260511 FILED AS OF DATE: 20260512 DATE AS OF CHANGE: 20260512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fassino Anthony D. CENTRAL INDEX KEY: 0001839757 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 26967515 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] ORGANIZATION NAME: 06 Technology EIN: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5205 N. O'CONNOR BOULEVARD STREET 2: SUITE 100 CITY: IRVING STATE: TX ZIP: 75039 BUSINESS PHONE: 9728917700 MAIL ADDRESS: STREET 1: 5205 N. O'CONNOR BOULEVARD STREET 2: SUITE 100 CITY: IRVING STATE: TX ZIP: 75039 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 tm2614368-2_4seq1.xml OWNERSHIP DOCUMENT X0609 4 2026-05-11 0 0000018230 CATERPILLAR INC CAT 0001839757 Fassino Anthony D. false 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 Group President 0 Common Stock 2026-05-11 4 M 0 21403 219.76 A 67444 D Common Stock 2026-05-11 4 F 0 5120 918.65 D 62324 D Common Stock 2026-05-11 4 S 0 15440 916.75 D 46884 D Common Stock 2026-05-11 4 S 0 843 917.73 D 46041 D Common Stock 1508 I Held by 401(k) plan Employee Stock Options 219.76 2026-05-11 4 M 0 21403 219.76 D 2031-03-01 Common Stock 21403 0 D This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $917.40 to $917.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The information in this report is based on a 401(k) plan statement dated as of April 30, 2026. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Nicole Puza, POA for Anthony Fassino 2026-05-12