CAT

SEC source: 0001104659-24-024305 · tm245322-9_4seq1.xml · nonDerivative · entry 1

Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 438,378

SEC source: 0001104659-24-024310 · tm245322-10_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,769

F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 1, 2021.

SEC source: 0001104659-24-024310 · tm245322-10_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,039

SEC source: 0001104659-24-012249 · tm245322-2_4seq1.xml · derivative · entry 4

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,834

Underlying: Common Stock · 30,000 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.

F2 · 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: 0001104659-24-012249 · tm245322-2_4seq1.xml · nonDerivative · entry 3

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,092

F1 · price: This transaction was executed in multiple trades at prices ranging from $325.42 to $325.82. 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: 0001104659-24-012249 · tm245322-2_4seq1.xml · nonDerivative · entry 2

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,286

SEC source: 0001104659-24-012249 · tm245322-2_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,092

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: 0001104659-24-011089 · tm245322-1_4seq1.xml · nonDerivative · entry 3

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 47,317

F3 · price: This transaction was executed in multiple trades at prices ranging from $333.07 to $333.49. 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: 0001104659-24-011089 · tm245322-1_4seq1.xml · nonDerivative · entry 2

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 50,121

F2 · price: This transaction was executed in multiple trades at prices ranging from $332.07 to $333.05. 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: 0001104659-24-011089 · tm245322-1_4seq1.xml · nonDerivative · entry 1

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 57,317

F1 · price: This transaction was executed in multiple trades at prices ranging from $310.00 to $310.25. 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: 0001104659-24-007122 · tm244245-1_4seq1.xml · nonDerivative · entry 1

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 67,317

F1 · price: This transaction was executed in multiple trades at prices ranging from $300.00 to $300.14. 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: 0001104659-24-004172 · tm243443-1_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,092

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-004175 · tm243443-2_4seq1.xml · nonDerivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,855

SEC source: 0001104659-24-004176 · tm243443-3_4seq1.xml · nonDerivative · entry 1

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,152

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-000233 · tm241441-1_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,452

Underlying: Common Stock · 127 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: 0001104659-24-000235 · tm241441-2_4seq1.xml · derivative · entry 1

CALHOUN DAVID L · CIK 0001233152 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,369

Underlying: Common Stock · 127 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: 0001104659-23-129671 · tm2333781-1_4seq1.xml · derivative · entry 2

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,877

Underlying: Common Stock · 38 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.

F6 · shares: This total includes 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $295.63 and 19 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F7 · 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.

F7 · 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.

F8 · 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: 0001104659-23-129671 · tm2333781-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,839

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 · date: Due to an administrative error, the reporting person's November payroll deferrals under the Supplemental Deferred Compensation Plan (the "Plan") were not withheld until the December payroll. The shares attributable to the November payroll deferrals were credited to the reporting person's account as if they had been credited on November 24, 2023, the day of the November payroll.

F3 · shares: This total includes 23 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $247.36 and 22 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F4 · 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.

F4 · 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.

F5 · 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: 0001104659-23-129672 · tm2333781-2_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,070

Underlying: Common Stock · 31 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 $295.63 and 15 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: 0001104659-23-127361 · tm2333275-1_4seq1.xml · derivative · entry 13

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,701 shares

Expires 2030-03-02

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.

F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date

SEC source: 0001104659-23-127361 · tm2333275-1_4seq1.xml · derivative · entry 12

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 163,615 shares

Expires 2029-03-04

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 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date

SEC source: 0001104659-23-127361 · tm2333275-1_4seq1.xml · derivative · entry 11

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 182,944 shares

Expires 2028-03-05

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 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-23-127361 · tm2333275-1_4seq1.xml · nonDerivative · entry 6

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 396,242

SEC source: 0001104659-23-127361 · tm2333275-1_4seq1.xml · nonDerivative · entry 5

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 447,857

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: 0001104659-23-127361 · tm2333275-1_4seq1.xml · nonDerivative · entry 4

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 372,156

SEC source: 0001104659-23-127361 · tm2333275-1_4seq1.xml · nonDerivative · entry 3

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 487,522

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: 0001104659-23-127361 · tm2333275-1_4seq1.xml · nonDerivative · entry 2

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 323,907

SEC source: 0001104659-23-127361 · tm2333275-1_4seq1.xml · nonDerivative · entry 1

Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 457,374

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: 0001104659-23-121216 · tm2331590-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,425

Underlying: Common Stock · 37 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 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $247.36 and 18 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: 0001104659-23-112208 · tm2329317-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,822

Underlying: Common Stock · 38 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 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $242.43 and 19 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: 0001104659-23-112210 · tm2329317-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,031

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 $242.43 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: 0001104659-23-106045 · tm2327418-2_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,230

Underlying: Common Stock · 136 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: 0001104659-23-106046 · tm2327418-1_4seq1.xml · derivative · entry 1

CALHOUN DAVID L · CIK 0001233152 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,132

Underlying: Common Stock · 136 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: 0001104659-23-104380 · tm2327088-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,001

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 $269.52 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: 0001104659-23-104381 · tm2327088-2_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,790

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 $269.52 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: 0001104659-23-098150 · tm2325485d1_4seq1.xml · nonDerivative · entry 1

Schaupp William E · CIK 0001739758 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,455

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · derivative · entry 12

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,141 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: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 9

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,182

SEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 8

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,922

SEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 7

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,323

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: 0001104659-23-097179 · tm2324987-3_4seq1.xml · derivative · entry 11

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,141

Underlying: Common Stock · 1,447 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: 0001104659-23-097179 · tm2324987-3_4seq1.xml · derivative · entry 10

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,693 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: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 6

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,182

SEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 5

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,133

SEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 4

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,629

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: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 3

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,182

SEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 2

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,154

SEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 1

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,875

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 · balance_after: Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 1,150 shares.

SEC source: 0001104659-23-096048 · tm2324987-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,953

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 $272.56 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: 0001104659-23-096049 · tm2324987-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,741

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 $272.56 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.