Transaction #28221 · Form 4 · 0001104659-26-112891
CATERPILLAR INC · Stock award · Phantom Stock Units
CATERPILLAR INC · Transacted September 30, 2026 · Filed October 1, 2026
What does this filing report?
An SEC Form 4 filing for CATERPILLAR INC records a stock award involving Phantom Stock Units on September 30, 2026. The reported quantity was 28. The filing date is October 1, 2026. 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
- 28
- Reported price
- 821.01
- Reference value
- 22,988.28
- Currency
- Currency not specified
- Ownership
- Direct
- Holdings after transaction
- 505
- Ownership description
- Not reported
- SEC acceptance time
- Oct 1, 2026, 5:14 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
- MacLennan David ↗
Director
CIK 0001498535
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
- 28
- 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
- Phantom stock units awarded or acquired in lieu of director cash compensation.
- F3
- The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
- F4
- Includes adjustments for dividends accrued.
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.