Compensation award — excluded from discretionary-purchase analysis.
Written from the filing's own figures. OQRO describes what was reported and never tells you what to buy or sell
View the official recordSEC Form 4 — Statement of Changes in Beneficial OwnershipAll the details
Dates, kept separate
Transaction date
Sep 30, 2026
Reporting period
Not applicable
Filed with the SEC
Oct 1, 2026
DirectorGrant / award
Context
Classification
grant award
Code A — grant or award
Planned / mechanical clue
None found in footnotes
Only flagged when a footnote says so; never inferred
Source receipt
Record ID
0001104659-26-112891
Filed / recorded
Oct 1, 2026, 5:14 PM UTC
Added to OQRO
Oct 2, 2026, 3:52 AM UTC
Parser
form4-xml-v1
Data quality
Verified: identifiers matched exactly
Issuer
CATERPILLAR INC
Issuer CIK
18230
Ticker
CAT
Reporting person
David Maclennan
Relationship
Director
Security
Phantom Stock Units
Table
Derivative (Table II)
Transaction date
Sep 30, 2026
Transaction code
A
Shares / units
28
Price per share
$821.01
Acquired / disposed
Acquired (A)
Shares owned after
505
Ownership form
Direct
Amendment
No
Footnotes from the filing
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.
Phantom stock units awarded or acquired in lieu of director cash compensation.
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.