# EDGAR Filing Document

**Accession Number:** 0002110101
**File Stem:** 0001104659-26-011484
**Filing Date:** 2026-2
**Character Count:** 6634
**Document Hash:** aa27f3f653b0f4d1ba9b2559213a0da6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-26-011484.hdr.sgml**: 20260206

**ACCESSION NUMBER**: 0001104659-26-011484

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20260201

**FILED AS OF DATE**: 20260206

**DATE AS OF CHANGE**: 20260206

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Shurman Rodney Michael
- **CENTRAL INDEX KEY:** 0002110101

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-00768
- **FILM NUMBER:** 26607424

**MAIL ADDRESS:**
- **STREET 1:** 5205 N. O'CONNOR BLVD.
- **STREET 2:** SUITE 100
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75039
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CATERPILLAR INC
- **CENTRAL INDEX KEY:** 0000018230
- **STANDARD INDUSTRIAL CLASSIFICATION:** CONSTRUCTION MACHINERY & EQUIP [3531]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 370602744
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 5205 N. O'CONNOR BOULEVARD
- **STREET 2:** SUITE 100
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75039
- **BUSINESS PHONE:** 9728917700

**MAIL ADDRESS:**
- **STREET 1:** 5205 N. O'CONNOR BOULEVARD
- **STREET 2:** SUITE 100
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75039

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CATERPILLAR TRACTOR CO
- **DATE OF NAME CHANGE:** 19860623

## Ex-24

**Exhibit 24**

**POWER OF ATTORNEY**

**Know all men by these presents:**

That the undersigned does by these presents nominate, constitute and appoint **Nicole M. Puza and David S. Nimmons** as his true and lawful attorneys in fact, in his name, place and stead, and on his behalf, to sign and deliver a Form ID Application to the U.S. Securities and Exchange Commission, granting and giving unto said attorneys full authority and power to do and perform all other acts necessary for or incidental to the performance and execution of the powers herein expressly granted as fully to all intents and purposes as the grantor might or could do if personally present, with full power of substitution.

In witness whereof, the undersigned has caused this Power of Attorney to be executed as of this 21 day of January, 2026.

---

| | |
|:---|:---|
| By: | /s/ Rodney M. Shurman |
|  | Rodney M. Shurman |
|  | Group President |

---

STATE OF TEXAS) ) SS <br> COUNTY OF DALLAS)

Subscribed and sworn to before me this 21 day of January, 2026.

---

| |
|:---|
| Melanie L Koo |
| Notary Public |
| &nbsp;&nbsp;&nbsp;![](tm263771d1_ex24img001.jpg) |

---

Caterpillar: Confidential Green

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Shurman Rodney Michael<br><sub>(Last) (First) (Middle)</sub><br>5205 N. O'CONNOR BLVD. STE. 100<br><sub>(Street)</sub><br>IRVING, TX 75039<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>CATERPILLAR INC [ CAT ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2026-02-01 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Group President_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 183 | D |  |
| Common Stock | 6727 | I | Held by 401(k) Plan<sup>(1)</sup> |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Employee Stock Options | <sup>(2)</sup> | 2033-03-06 | Common Stock | 7917 | $253.98 | D |  |
| Employee Stock Options | <sup>(3)</sup> | 2034-03-04 | Common Stock | 2997 | $338.65 | D |  |
| Employee Stock Options | <sup>(4)</sup> | 2035-03-03 | Common Stock | 2509 | $332.04 | D |  |

---

### Footnotes:

(1) The information in this report is based on a 401(k) plan statement dated as of December 31, 2025.

(2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/06/2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

(3) The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/04/2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

(4) The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/03/2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

**Remarks:**
Exhibit 24 - Power of Attorney

**Signature:** /s/ Nicole M. Puza for Rodney M. Shurman  
**Date:** 2026-02-06

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**