Caterpillar Inc. Group President Derrick L. York Files Initial Form 3

Overview

On November 2, 2026, Derrick L. York filed an initial statement of beneficial ownership of securities (Form 3) with the SEC following his appointment as Group President of Caterpillar Inc. (NYSE: CAT), effective November 1, 2026.

Reported Holdings

• Non-Derivative Securities:
  • 1,600 shares of Caterpillar Inc. Common Stock held directly.
• Derivative Securities:
  • Employee Stock Options:
    • 879 options with an exercise price of $338.65, expiring March 4, 2034.
    • 1,862 options with an exercise price of $332.04, expiring March 3, 2035.
    • 1,564 options with an exercise price of $752.18, expiring March 2, 2036.
  • Phantom Stock Units:
    • 2,536 units acquired under the Supplemental Deferred Compensation Plan, convertible on a 1-for-1 basis into common stock equivalents and payable in cash upon retirement or separation.

Significance

This is a standard administrative filing establishing baseline equity holdings upon assuming a Section 16 reporting officer role. It does not reflect open-market buying or selling activity.