CAT: GOOD LYNN J discloses securities transactions

By AlphaYouPublished Oct 1, 2026Form 4

Stocks in this disclosure

Reported activity

GOOD LYNN J

Reporting filer

GOOD LYNN J reported Grant or award in CATERPILLAR INC: 30 units of Phantom Stock Units (derivative), dated 2026-09-30. The full Form 4 contains 1 transaction entry.

Disclosed: Oct 1, 2026

Reported details

1 entry

All validated entries in this disclosure
Security	Owner	Date	Code	Action	Quantity	Price	Following holdings	Reporting delay	Filed terms and references
Phantom Stock Units (derivative)	GOOD LYNN J	2026-09-30	A	Grant or award	30	821.01	30	1 day	Filed terms security Title: Phantom Stock Units id: F1 transaction Date: 2026-09-30 deemed Execution Date: transaction Form Type: 4 transaction Code: A equity Swap Involved: 0 transaction Timeliness: transaction Shares: 30 id: F2 transaction Price Per Share: 821.01 transaction Acquired Disposed Code: A id: F3 id: F3 underlying Security Title: Common Stock underlying Security Shares: 30 shares Owned Following Transaction: 30 direct Or Indirect Ownership: D

Phantom Stock Units (derivative)

Owner: GOOD LYNN J
Date: 2026-09-30
Code: A
Action: Grant or award
Quantity: 30
Price: 821.01
Following holdings: 30
Reporting delay: 1 day
Filed terms and references: Filed terms
security Title: Phantom Stock Units
id: F1
transaction Date: 2026-09-30
deemed Execution Date:
transaction Form Type: 4
transaction Code: A
equity Swap Involved: 0
transaction Timeliness:
transaction Shares: 30
id: F2
transaction Price Per Share: 821.01
transaction Acquired Disposed Code: A
id: F3
id: F3
underlying Security Title: Common Stock
underlying Security Shares: 30
shares Owned Following Transaction: 30
direct Or Indirect Ownership: D

Purchases, sales, grants and option exercises are different transactions. The reported code identifies the action; it does not establish a motive.

Filing context

Quantities and prices are shown in the units filed. No trade value is inferred from their product.
GOOD LYNN J: Director.
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.

Original sources

SEC ownership filing

Prepared automatically from public filing data. Report a correction.

Security

Owner

Date

Code

Action

Quantity

Price

Following holdings

Reporting delay

Filed terms and references

Phantom Stock Units (derivative)

GOOD LYNN J

2026-09-30

Grant or award

821.01

1 day

Filed terms

security Title: Phantom Stock Units
id: F1
transaction Date: 2026-09-30
deemed Execution Date:
transaction Form Type: 4
transaction Code: A
equity Swap Involved: 0
transaction Timeliness:
transaction Shares: 30
id: F2
transaction Price Per Share: 821.01
transaction Acquired Disposed Code: A
id: F3
id: F3
underlying Security Title: Common Stock
underlying Security Shares: 30
shares Owned Following Transaction: 30
direct Or Indirect Ownership: D

Filing context

Quantities and prices are shown in the units filed. No trade value is inferred from their product.

GOOD LYNN J: Director.

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.