Transaction #2521 · Form 4 · 0001104659-25-102540
CATERPILLAR INC · Stock award · Phantom Stock Units
CATERPILLAR INC · Transacted October 24, 2025 · Filed October 27, 2025
What does this filing report?
An SEC Form 4 filing for CATERPILLAR INC records a stock award involving Phantom Stock Units on October 24, 2025. The reported quantity was 19. The filing date is October 27, 2025. This is one transaction record; amounts are not allocated among any joint reporting owners.
The acquisition category describes how securities were received. It does not by itself establish a cash purchase of common stock. Read the transaction code definitionsand the original filing before interpreting the amounts.
Transaction details
- Company
- CATERPILLAR INC
- Company CIK
- 0000018230
- Security type
- Derivative
- Acquisition type
- Stock award · Code A
- Quantity acquired
- 19
- Reported price
- 522.73
- Reference value
- 9,931.87
- Currency
- Currency not specified
- Ownership
- Direct
- Holdings after transaction
- 21,817
- Ownership description
- Not reported
- SEC acceptance time
- Oct 27, 2025, 2:28 PM EDT
- 10b5-1 indication
- Not indicated
Reference value is reported quantity × reported price. It is not a confirmed cash payment or an estimate of a derivative's economic value. A missing currency is not assumed to be USD.
Reporting owners
- Johnson Denise C ↗
Group President
CIK 0001608229
These are the reporting owners named in the filing. Quantities and amounts are not allocated among co-reporters. Roles reflect this filing, not a current profile.
Company listings
This transaction is not mapped to a specific company listing.
Derivative terms
- Underlying security
- Common Stock
- Underlying quantity
- 19
- Conversion / exercise price
- Not reported
- Exercise date
- Not reported
- Expiration date
- Not reported
Filing footnotes & remarks
- 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
- This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $522.73 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F3
- The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
- F4
- 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.
Footnotes are reproduced as plain text from the current source filing. For the full context, read the original SEC filing.
This record was updated Eastern Time. This is the stored record update time, not the transaction date. Report a correction.