Initial Statement of Beneficial Ownership (Form 3)

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person * Epley Kyle Joseph 2. Date of Event Requiring Statement (Month/Day/Year) 05/01/2026 3. Issuer Name and Ticker or Trading Symbol CATERPILLAR INC [CAT] (Last) (First) (Middle) 5205 N. O'CONNOR BLVD. STE. 100 4. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer 5. If Amendment, Date Original Filed (Month/Day/Year) (Street) IRVING, TX 75039 6. Individual or Joint/Group Filing (Check Applicable Line) _X_ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person (City) (State) (Zip) Table I - Non-Derivative Securities Beneficially Owned

1.Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5) Common Stock 15,973 D Common Stock 3,186 I Held by 401(k) Plan(1)

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.			SEC 1473 (7-02)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Options	(2)	03/02/2030	Common Stock	13,472	$127.6	D
Employee Stock Options	(3)	03/01/2031	Common Stock	8,437	$219.76	D
Employee Stock Options	(4)	03/07/2032	Common Stock	8,705	$196.7	D
Employee Stock Options	(5)	03/06/2033	Common Stock	5,278	$253.98	D
Employee Stock Options	(6)	03/04/2034	Common Stock	2,158	$338.65	D
Employee Stock Options	(7)	03/03/2035	Common Stock	1,996	$332.04	D
Employee Stock Options	(8)	03/02/2036	Common Stock	1,564	$752.18	D
Phantom Stock Units	(9)	(9)	Common Stock	5,889(10)	(11)	D

Reporting Owners

Reporting Owner Name / Address	Relationships
	Director	10% Owner	Officer	Other
Epley Kyle Joseph 5205 N. O'CONNOR BLVD. STE. 100 IRVING, TX 75039			Chief Financial Officer

Signatures

/s/ Nicole M. Puza for Kyle J. Epley		05/04/2026
**Signature of Reporting Person		Date

Explanation of Responses:

*	If the form is filed by more than one reporting person, see Instruction 5(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).
(1)	The information in this report is based on a 401(k) plan statement dated as of March 31, 2026.
(2)	The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/02/2020 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. 2014 Long-Term Incentive Plan on 03/01/2021 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. 2014 Long-Term Incentive Plan on 03/07/2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
(5)	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.
(6)	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.
(7)	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.
(8)	The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/02/2026 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
(9)	The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
(10)	Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally equivalent to one share of Caterpillar Inc. common stock.
(11)	Phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.
Remarks: Exhibit 24 - Power of Attorney

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