CAT

SEC source: 0001104659-24-083503 · tm2420389-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,379

Underlying: Common Stock · 27 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 14 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $350.48 and 13 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-083504 · tm2420389-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,365

Underlying: Common Stock · 17 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $350.48 and 8 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-083506 · tm2420389-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,942

Underlying: Common Stock · 32 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 16 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $350.48 and 16 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-080498 · tm2419406-2_4seq1.xml · nonDerivative · entry 1

Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 18,515

F1 · shares: This transaction was entered as multiple trades, all executed at the price reported above. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.

SEC source: 0001104659-24-080354 · tm2419406-1_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,870

F1 · balance_after: Includes dividends accrued.

SEC source: 0001104659-24-076850 · tm2418651-1_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95

Underlying: Common Stock · 50 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-076852 · tm2418651-2_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,811

Underlying: Common Stock · 113 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-075572 · tm2418430-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,821

Underlying: Common Stock · 29 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $326.73 and 14 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-075573 · tm2418430-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,058

Underlying: Common Stock · 34 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $326.73 and 17 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-071176 · tm2417161-5_4seq1.xml · nonDerivative · entry 1

Marks Judith Fran · CIK 0001665490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,227

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-071177 · tm2417161-1_4seq1.xml · nonDerivative · entry 1

DICKINSON DANIEL M · CIK 0001264714 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,274

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-071178 · tm2417161-6_4seq1.xml · nonDerivative · entry 1

REED DEBRA L · CIK 0001225947 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,219

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-071179 · tm2417161-7_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,825

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-071180 · tm2417161-2_4seq1.xml · nonDerivative · entry 1

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,427

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-071181 · tm2417161-8_4seq1.xml · nonDerivative · entry 1

WILKINS RAYFORD JR · CIK 0001184395 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,522

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-071182 · tm2417161-3_4seq1.xml · nonDerivative · entry 1

Johnson Gerald · CIK 0001772226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,730

SEC source: 0001104659-24-071183 · tm2417161-4_4seq1.xml · nonDerivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,260

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-067037 · tm2416149-1_4seq1.xml · nonDerivative · entry 1

Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 20,023

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-065534 · tm2415718-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,852

Underlying: Common Stock · 15 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 8 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $348.90 and 7 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-065535 · tm2415718-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,043

Underlying: Common Stock · 32 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 16 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $348.90 and 16 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-064287 · tm2415319-1_4seq1.xml · nonDerivative · entry 1

Johnson Gerald · CIK 0001772226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,213

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-061054 · tm2414461-1_4seq1.xml · derivative · entry 7

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,834 shares

Expires 2027-03-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-24-061054 · tm2414461-1_4seq1.xml · derivative · entry 6

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 717 shares

Expires 2026-03-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-24-061054 · tm2414461-1_4seq1.xml · nonDerivative · entry 5

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,115

F1 · price: This transaction was executed in multiple trades at prices ranging from $356.75 to $357.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-061054 · tm2414461-1_4seq1.xml · nonDerivative · entry 4

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,962

SEC source: 0001104659-24-061054 · tm2414461-1_4seq1.xml · nonDerivative · entry 3

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,949

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-24-061054 · tm2414461-1_4seq1.xml · nonDerivative · entry 2

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,115

SEC source: 0001104659-24-061054 · tm2414461-1_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,488

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-24-058321 · tm2413815-1_4seq1.xml · derivative · entry 1

DICKINSON DANIEL M · CIK 0001264714 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,886

Underlying: Common Stock · 2,931 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock.

F2 · kind: Intra-plan transfer pursuant to the Director's Deferred Compensation Plan.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

SEC source: 0001104659-24-057273 · tm2413521-1_4seq1.xml · nonDerivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,738

SEC source: 0001104659-24-056112 · tm2413327-1_4seq1.xml · derivative · entry 1

DICKINSON DANIEL M · CIK 0001264714 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,818

Underlying: Common Stock · 3,736 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock.

F2 · kind: Intra-plan transfer pursuant to the Director's Deferred Compensation Plan.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-058136 · tm2413794-1_4aseq1.xml · derivative · entry 1

DICKINSON DANIEL M · CIK 0001264714 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,818

Underlying: Common Stock · 3,736 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock.

F2 · kind: Intra-plan transfer pursuant to the Director's Deferred Compensation Plan.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-055039 · tm2413130-1_4seq1.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,291

F3 · price: This transaction was executed in multiple trades at prices ranging from $349.49 to $350.21. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-055039 · tm2413130-1_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,593

F1 · price: This transaction was executed in multiple trades at prices ranging from $348.46 to $349.44. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-053976 · tm2412973-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,830

Underlying: Common Stock · 9 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $343.38 and 4 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-042726 · tm2410627-1_4seq1.xml · nonDerivative · entry 1

Owens Derek · CIK 0002006879 · CLO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,108

F1 · shares: Represents shared withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted April 1, 2022.

SEC source: 0001104659-24-041916 · tm2410354-1_4seq1.xml · derivative · entry 1

CALHOUN DAVID L · CIK 0001233152 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,559

Underlying: Common Stock · 103 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-041918 · tm2410354-2_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45

Underlying: Common Stock · 45 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

SEC source: 0001104659-24-041922 · tm2410354-3_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,630

Underlying: Common Stock · 103 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-035167 · tm249012-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,564

Underlying: Common Stock · 658 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 329 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $341.92 and 329 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-035169 · tm249012-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,388

Underlying: Common Stock · 352 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 220 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $341.92 and 132 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-035172 · tm249012-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,917

Underlying: Common Stock · 622 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · shares: This total includes 311 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $341.92 and 311 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-033188 · tm248510-3_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,053

Underlying: Common Stock · 117 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F2 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-033191 · tm248510-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,329

Underlying: Common Stock · 267 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F2 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-033203 · tm248510-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,023

Underlying: Common Stock · 313 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.

F2 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F2 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F3 · balance_after: Includes dividends accrued. Moreover, 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.

SEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · derivative · entry 6

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,186

Underlying: Common Stock · 14,186 shares

Expires 2032-03-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date

SEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · derivative · entry 5

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,393 shares

Expires 2031-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · nonDerivative · entry 4

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,142

SEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · nonDerivative · entry 3

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,755

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · nonDerivative · entry 2

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,569