Epley Kyle Joseph 4

4 · CATERPILLAR INC · Filed Jun 29, 2026

AI-generated summary of this filing

Updated Jun 29, 2026

Caterpillar (CAT) CFO Kyle Epley Receives Phantom Stock Award

What Happened

Kyle Joseph Epley, Chief Financial Officer of Caterpillar Inc. (CAT), received a grant of 6 phantom stock units on 2026-06-26. The units were valued at $997.47 each for a total value of $5,985. This was an award/grant (derivative) — not an open-market purchase or sale.

Key Details

Transaction date and value: 2026-06-26; 6 phantom units @ $997.47 each; total $5,985.
Transaction type: Award/Grant of derivative units (Form 4 code A).
Shares/units owned after transaction: Not specified in the supplied summary of the filing.
Settlement: These are phantom stock units (derivative), meaning economic exposure rather than immediate company stock ownership.
Filing: Report filed with accession 0001104659-26-078798 on 2026-06-29 (reports the 2026-06-26 transaction).

Context

The phantom units are generally the economic equivalent of one share each but are part of a non‑qualified deferred compensation plan and are to be settled 100% in cash upon retirement or separation from service. They include accrued dividend adjustments and represent interests in an unfunded unitized stock-and-cash fund, so the economic/share-equivalent count can change over time. This grant does not reflect an immediate buy or sale of Caterpillar common stock.

Form 4

Period: 2026-06-26

Chief Financial Officer

Transactions

Award
Phantom Stock Units
[F1][F2][F3]
2026-06-26$997.47/sh+6$5,985→ 6,242 total
→ Common Stock (6 underlying)

Footnotes (3)

[F1]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.
[F2]The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
[F3]Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

Signature

/s/ Nicole Puza, POA for Kyle J. Epley|2026-06-29

1 file