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Form 8-K

sec.gov
CAT The article reports on a leadership transition within Caterpillar Inc., with Denise Johnson retiring and Derrick York appointed as group president of Resource Industries. The tone is factual and focuses on the change in personnel and the company's future outlook.

8-K — CATERPILLAR INC

Accession: 0001104659-26-116198

Filed: 2026-10-15

Period: 2026-10-14

CIK: 0000018230

SIC: 3531 (CONSTRUCTION MACHINERY & EQUIP)

Item: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

Item: Other Events

Item: Financial Statements and Exhibits

Documents

8-K — tm2627668d1_8k.htm (Primary)

EX-99.1 — EXHIBIT 99.1 (tm2627668d1_ex99-1.htm)

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UNITED

STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM

8-K

Current

Report

Pursuant

to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date

of Report (Date of earliest event reported):

October 14, 2026

CATERPILLAR

INC.

(Exact

name of registrant as specified in its charter)

Delaware

1-768

37-0602744

(State

or other jurisdiction of

incorporation)

(Commission

File

Number)

(I.R.S.

Employer Identification No.)

5205 N. O'Connor Blvd., Suite 100,

Irving,

Texas

75039

(Address

of principal executive offices)

(Zip

Code)

Registrant’s

telephone number, including area code: (972)

891-7700

Former

name or former address, if changed since last report: N/A

Check

the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under

any of the following provisions:

¨

Written

communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨

Soliciting

material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨

Pre-commencement

communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨

Pre-commencement

communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities

registered pursuant to Section 12(b) of the Act:

Title

of each class

Trading

Symbol (s)

Name

of each exchange on which registered

Common

Stock ($1.00 par value)

CAT

New York Stock Exchange

5.3%

Debentures due September 15, 2035

CAT35

New York Stock Exchange

Indicate

by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging

growth company ¨

If

an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying

with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

Item 5.02. Departure of Directors or Certain Officers; Election

of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On October 15, 2026, Caterpillar Inc. (the “Company”) announced

that Denise C. Johnson is transitioning from her position as group president of Resource Industries, effective as of November 1, 2026.

The Company issued a press release in connection with Ms. Johnson’s retirement, which press release is attached hereto as Exhibit

99.1.

Item 8.01. Other Events.

On October 14, 2026, the Board of Directors of the Company appointed

Derrick York, current president of the Solar Turbines subsidiary and senior vice president of the Company, as group president of Resource

Industries, effective November 1, 2026.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits:

The following is furnished as an exhibit to this report:

99.1

Press Release, dated October 15, 2026.

104

The cover page from this Current Report on Form 8-K, formatted in Inline XBRL.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

CATERPILLAR INC.

October 15, 2026

By:

/s/ Derek Owens

Derek Owens

Chief Legal Officer and General Counsel

EX-99.1 — EXHIBIT 99.1

EX-99.1

Filename: tm2627668d1_ex99-1.htm · Sequence: 2

Exhibit 99.1

FOR IMMEDIATE RELEASE

Caterpillar Announces Leadership Transition

in Resource Industries

IRVING, Texas, Oct. 15, 2026

– Caterpillar Inc. today announced Denise Johnson, group president of Resource Industries, has elected to retire effective Feb. 1,

2027. Derrick York, who currently serves as president of Solar Turbines and Caterpillar

senior vice president, has been appointed group president of Resource Industries, effective

Nov. 1, 2026, at which time Johnson will assume an advisory role to ensure a seamless leadership transition.

Since joining Caterpillar in 2011, Johnson has transformed Caterpillar’s

mining business and advanced the industry, championing technologies that define the modern mine site. She assumed leadership of Resource

Industries in 2016 during a historic mining downturn. Her leadership strengthened operations and the portfolio while maintaining a clear

focus on long-term growth, returning the segment to profitability and ultimately delivering its strongest financial performance in more

than a decade.

“Denise took on a critical role during one of the mining industry’s

most challenging times,” said Joe Creed, Caterpillar chairman and CEO. “Her disciplined leadership restored Resource Industries

to profitability and positioned Caterpillar as an industry leader in mining autonomy and technology. We are deeply grateful for all she

has done to strengthen our relationships with customers, develop our people and shape the future of our company. Her impact and influence

will be remembered long after her retirement.”

Throughout her career, Johnson has been a respected voice across the

mining, manufacturing and engineering communities, serving on numerous industry and academic boards and helping advance the future of

mining worldwide.

(more)

-2-

Since 2023, York has led the global business unit that provides industrial

gas turbines and compressors for oil & gas and power generation applications. In his 16 years with the company, he has also

served as senior vice president of Caterpillar’s Oil & Gas and Marine division and held leadership roles in finance and

corporate development. Earlier in his career, York worked in banking and public accounting.

York has a bachelor’s degree in finance from the University of

Illinois at Urbana-Champaign and a master’s degree in business administration from Northwestern University’s Kellogg School

of Management.

“Derrick is a highly respected leader who understands our customers,

our strategy and the industries we serve,” said Creed. “He is well positioned to lead the team into its next chapter of innovation,

growth and customer success.”

Johnson expressed confidence in York and the future of Resource Industries.

“The greatest accomplishment of any leader is leaving an organization

better positioned for the future. I'm proud of the foundation we've built, the people we've developed and the enduring impact this team

will continue to make,” said Johnson. “Derrick is the right leader to build on that foundation and move Resource Industries

forward.”

# # #

Caterpillar Media Contact:

Tiffany Heikkila, tiffany.heikkila@cat.com,

832-573-0958

About Caterpillar

For more than a century, Caterpillar has built a better, more sustainable

world. With 2025 sales and revenues of $67.6 billion, Caterpillar Inc. is shaping the future as the world’s leading manufacturer

of construction and mining equipment, off-highway diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives.

Backed by one of the largest independent global dealer networks and financing services through Cat Financial, the company’s primary

business segments: Power & Energy, Construction Industries and Resource Industries are solving customers’ toughest challenges

through commercial excellence and advanced technology, driven by a highly skilled, dedicated global team. Learn more at www.caterpillar.com.

Caterpillar Public Release #

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