CAT

SEC source: 0001104659-26-009704 · tm263771-2_4seq1.xml · nonDerivative · entry 2

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,930

SEC source: 0001104659-26-009704 · tm263771-2_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,465

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: 0001104659-26-009707 · tm263771-3_4seq1.xml · derivative · entry 5

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,228

Underlying: Common Stock · 15,000 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.

F3 · 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 in the first, second and third anniversaries of the grant date.

SEC source: 0001104659-26-009707 · tm263771-3_4seq1.xml · nonDerivative · entry 3

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,151

F1 · price: The transaction was executed in multiple trades at prices ranging from $680.16 to $681.09. 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: 0001104659-26-009707 · tm263771-3_4seq1.xml · nonDerivative · entry 2

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,822

SEC source: 0001104659-26-009707 · tm263771-3_4seq1.xml · nonDerivative · entry 1

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,151

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: 0001104659-26-010372 · tm263771-4_4seq1.xml · derivative · entry 14

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,291 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.

F9 · 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 in the first, second and third anniversaries of the grant date.

SEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · derivative · entry 13

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,978

Underlying: Common Stock · 11,810 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.

F8 · 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 in the first, second and third anniversaries of the grant date.

SEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 12

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,350

F7 · price: This transaction was executed in a trade at a price of $684.93. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 11

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,488

F6 · price: This transaction was executed in multiple trades at prices ranging from $683.37 to $684.33. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 10

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,746

F5 · price: This transaction was executed in multiple trades at prices ranging from $682.38 to $683.36. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 9

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,507

F4 · price: This transaction was executed in multiple trades at prices ranging from $681.35 to $682.33. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 8

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,501

F3 · price: This transaction was executed in multiple trades at prices ranging from $680.35 to $681.29. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 7

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,646

F2 · price: This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 6

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,077

SEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 5

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,641

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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 4

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,350

F2 · price: This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 3

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,761

F1 · price: This transaction was executed in multiple trades at prices ranging from $678.25 to $678.82. 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: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 2

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,761

SEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,160

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: 0001104659-26-003275 · tm263076-3_4seq1.xml · nonDerivative · entry 1

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,151

F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024.

F2 · balance_after: Includes adjustment for dividends accrued.

SEC source: 0001104659-26-003277 · tm263076-1_4seq1.xml · nonDerivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,350

F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024.

F2 · balance_after: Includes adjustment for dividends accrued.

SEC source: 0001104659-26-003280 · tm263076-2_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,953

F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024.

F2 · balance_after: Includes adjustment for dividends accrued.

SEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 7

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,460

F7 · price: This transaction was executed in a trade at a price of $578.41. 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 and prices at which the transaction was effected.

SEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 6

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,500

F6 · price: This transaction was entered as multiple trades, at prices ranging from $577.25 to $578.14. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 5

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 46,100

F5 · price: This transaction was entered as multiple trades, at prices ranging from $576.23 to $577.07. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 4

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 47,573

F4 · price: This transaction was entered as multiple trades, at prices ranging from $575.22 to $576.21. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 3

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 50,589

F3 · price: This transaction was entered as multiple trades, at prices ranging from $574.19 to $575.19. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 2

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 52,020

F2 · price: This transaction was entered as multiple trades, at prices ranging from $573.18 to $574.18. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 1

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 54,648

F1 · price: This transaction was entered as multiple trades, at prices ranging from $572.17 to $573.16. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-26-000797 · tm261893-2_4seq2.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 419

Underlying: Common Stock · 30 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: 0001104659-25-124749 · tm2534401-1_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,228

Underlying: Common Stock · 13 shares

Expires not disclosed

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

F2 · shares: This total includes 7 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $583.00 and 6 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 adjustments for 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: 0001104659-25-124750 · tm2534401-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,699

Underlying: Common Stock · 26 shares

Expires not disclosed

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

F2 · shares: This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $583.00 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 adjustments for 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: 0001104659-25-123644 · tm2534096-1_4seq1.xml · nonDerivative · entry 1

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,475

F1 · shares: Represents a donation of ordinary shares to a Donor Advised Fund.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 7

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 55,460

F8 · price: This transaction was entered as multiple trades, at prices ranging from $574.15 to $575.13. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 6

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 56,380

F7 · price: This transaction was entered as multiple trades, at prices ranging from $573.12 to $574.12. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 5

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 58,301

F6 · price: This transaction was entered as multiple trades, at prices ranging from $572.09 to $573.06. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 4

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 60,421

F5 · price: This transaction was entered as multiple trades, at prices ranging from $571.02 to $572.00. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 3

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 61,341

F4 · price: This transaction was entered as multiple trades, at prices ranging from $569.99 to $570.68. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 2

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 61,722

F3 · price: This transaction was entered as multiple trades, at prices ranging from $568.95 to $569.94. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

SEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 1

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,082

F1 · price: This transaction was entered as multiple trades, at prices ranging from $567.93 to $568.90. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.

F2 · balance_after: Includes adjustment for dividends accrued.

SEC source: 0001104659-25-117569 · tm2532486-1_4seq1.xml · nonDerivative · entry 1

Umpleby III Donald J · CIK 0001566320 · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 445,879

F1 · shares: Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.

F2 · balance_after: Includes dividends accrued.

SEC source: 0001104659-25-117255 · tm2532449-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,503

Underlying: Common Stock · 26 shares

Expires not disclosed

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

F2 · shares: This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $573.73 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 adjustments for 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: 0001104659-25-117256 · tm2532449-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,132

Underlying: Common Stock · 13 shares

Expires not disclosed

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

F2 · shares: This total includes 7 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $573.73 and 6 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 adjustments for 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: 0001104659-25-116333 · tm2532294-1_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 389

Underlying: Common Stock · 72 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: 0001104659-25-114576 · tm2531759-1_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,948

F1 · shares: Represents a donation of ordinary shares to a 501(c)(3) Foundation account.

F2 · balance_after: Includes dividends accrued.

SEC source: 0001104659-25-112198 · tm2531332-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,752

Underlying: Common Stock · 10,944 shares

Expires not disclosed

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

F2 · shares: Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan").

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 adjustments for 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · derivative · entry 20

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,000 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.

F17 · 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · derivative · entry 19

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,881 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.

F16 · 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 17

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,649

F14 · price: This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. The price reported above reflects the weighted average sale price. 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 and prices at which the transaction was effected.