CAT

SEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 16

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,281

F13 · price: This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 15

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,661

F12 · price: This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 14

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,121

F11 · price: This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 13

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,601

F10 · price: This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 12

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,861

F9 · price: This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 11

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,893

SEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 10

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 16,649

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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 9

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,649

F8 · price: This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 8

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,302

F7 · price: This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 7

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,702

F6 · price: This transaction was entered as multiple trades at $565.06. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 6

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,739

F5 · price: This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 5

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,019

F4 · price: This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 4

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,659

F3 · price: This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 3

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,072

F2 · price: This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. 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: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 2

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,112

SEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,530

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.

SEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · derivative · entry 5

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,288

Underlying: Common Stock · 12,500 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 on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · nonDerivative · entry 3

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,512

SEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · nonDerivative · entry 2

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,696

SEC source: 0001104659-25-110257 · tm2531015-1_4seq1.xml · nonDerivative · entry 1

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,012

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.

SEC source: 0001104659-25-107671 · tm2530482-2_4seq1.xml · nonDerivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,947

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-107670 · tm2530482-1_4seq1.xml · nonDerivative · entry 1

Schaupp William E · CIK 0001739758 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,323

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-108358 · tm2530609-1_4seq1.xml · derivative · entry 4

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,512

Underlying: Common Stock · 20,000 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.

F3 · 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: 0001104659-25-108358 · tm2530609-1_4seq1.xml · nonDerivative · entry 3

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,209

F2 · price: This transaction was executed in multiple trades at prices ranging from $562.32 to $562.75. 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: 0001104659-25-108358 · tm2530609-1_4seq1.xml · nonDerivative · entry 2

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,847

SEC source: 0001104659-25-108358 · tm2530609-1_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,209

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.

SEC source: 0001104659-25-102540 · tm2529538-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,817

Underlying: Common Stock · 19 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 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $522.73 and 9 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: 0001104659-25-102542 · tm2529538-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,178

Underlying: Common Stock · 14 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 $522.73 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 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: 0001104659-25-102544 · tm2529538-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,599

Underlying: Common Stock · 29 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 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 $522.73 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 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: 0001104659-25-099169 · tm2528693-1_4seq1.xml · nonDerivative · entry 1

Umpleby III Donald J · CIK 0001566320 · Executive Chairman

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 448,173

F1 · price: This transaction was entered as multiple trades, at prices ranging from $501.40 to $506.98. 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.

SEC source: 0001104659-25-095765 · tm2527780-1_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315

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: 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: 0001104659-25-094513 · tm2527436-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,553

Underlying: Common Stock · 32 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 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 $465.76 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 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: 0001104659-25-094519 · tm2527436-3_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,762

Underlying: Common Stock · 21 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 11 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $465.76 and 10 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: 0001104659-25-094525 · tm2527436-1_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,156

Underlying: Common Stock · 16 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 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 $465.76 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 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: 0001104659-25-092496 · tm2526767-1_4seq1.xml · nonDerivative · entry 1

Umpleby III Donald J · CIK 0001566320 · Executive Chairman

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 465,339

F1 · price: This transaction was entered as multiple trades, at prices ranging from $460.62 to $466.98. 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.

SEC source: 0001104659-25-087153 · tm2525147-1_4seq1.xml · nonDerivative · entry 1

Umpleby III Donald J · CIK 0001566320 · Director · Executive Chairman

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 482,505

F1 · price: This transaction was entered as multiple trades, at prices ranging from $410.37 to $414.50. 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

F2 · balance_after: Includes dividends accrued.

SEC source: 0001104659-25-083977 · tm2524523-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,905

Underlying: Common Stock · 23 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 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $431.26 and 11 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: 0001104659-25-083979 · tm2524523-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,179

Underlying: Common Stock · 17 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 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 $431.26 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 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: 0001104659-25-083981 · tm2524523-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,600

Underlying: Common Stock · 35 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 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $431.26 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 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: 0001104659-25-080277 · tm2523901-1_4seq1.xml · nonDerivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,641

SEC source: 0001104659-25-080182 · tm2523878-1_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,917

SEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · derivative · entry 5

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,091 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 incrememnts on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · nonDerivative · entry 3

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,632

SEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · nonDerivative · entry 2

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,793

SEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · nonDerivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,723

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 dividends accrued.

SEC source: 0001104659-25-075705 · tm2522999-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,597

Underlying: Common Stock · 8,493 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 separation from service.

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

SEC source: 0001104659-25-071150 · tm2521859-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,436

Underlying: Common Stock · 35 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 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $433.75 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 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: 0001104659-25-071152 · tm2521859-1_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,099

Underlying: Common Stock · 17 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 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 $433.75 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 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: 0001104659-25-071158 · tm2521859-3_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,021

Underlying: Common Stock · 23 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 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $433.75 and 11 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: 0001104659-25-069308 · tm2521343-1_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: 11,655

Underlying: Common Stock · 23,311 shares

Expires 2033-03-06

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, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.