CAT

SEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · derivative · entry 5

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,186 shares

Expires 2032-03-07

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

F1 · 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: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 4

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,422

SEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 3

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,194

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: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 2

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,883

SEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 1

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,566

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: 0001104659-25-065163 · tm2519731-1_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277

Underlying: Common Stock · 43 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: 0001104659-25-063558 · tm2519319d1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,203

Underlying: Common Stock · 39 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 20 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $381.88 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 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: 0001104659-25-063559 · tm2519319-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,984

Underlying: Common Stock · 1 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 1 share that was credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $381.88.

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: 0001104659-25-063560 · tm2519319-3_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,421

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 $381.88 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: 0001104659-25-059316 · tm2517984-2_4seq1.xml · nonDerivative · entry 1

Johnson Gerald · CIK 0001772226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,659

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-059317 · tm2517984-3_4seq1.xml · nonDerivative · entry 1

KEENE NAZZIC S · CIK 0001579223 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 512

SEC source: 0001104659-25-059319 · tm2517984-4_4seq1.xml · nonDerivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,141

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-059320 · tm2517984-5_4seq1.xml · nonDerivative · entry 1

Marks Judith Fran · CIK 0001665490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,717

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-059321 · tm2517984-6_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,241

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-059322 · tm2517984-7_4seq1.xml · nonDerivative · entry 1

REED DEBRA L · CIK 0001225947 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,876

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-059323 · tm2517984-8_4seq1.xml · nonDerivative · entry 1

WILKINS RAYFORD JR · CIK 0001184395 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,123

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-059332 · tm2517984-1_4seq1.xml · nonDerivative · entry 1

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,472

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-052916 · tm2516223-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,508

Underlying: Common Stock · 44 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 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $343.39 and 22 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: 0001104659-25-052918 · tm2516223-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,392

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 $343.39 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 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: 0001104659-25-047824 · tm2514949-1_4seq1.xml · derivative · entry 2

Pambianchi Christine M · CIK 0001606707 · Chief Human Resources Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,424

Underlying: Common Stock · 6,424 shares

Expires 2035-05-09

F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc 2023 Long Term Incentive Plan and vest equally in 1/3 increments. 1/3 vests on the first anniversary of the grant date; 1/3 vests on March 3, 2027 and 1/3 vests on March 3, 2028.

SEC source: 0001104659-25-047824 · tm2514949-1_4seq1.xml · nonDerivative · entry 1

Pambianchi Christine M · CIK 0001606707 · Chief Human Resources Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,126

SEC source: 0001104659-25-047827 · tm2514949-2_4seq1.xml · derivative · entry 3

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,086

Underlying: Common Stock · 13,086 shares

Expires 2035-05-09

F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc 2023 Long Term Incentive Plan and vest equally in 1/3 increments. 1/3 vests on the first anniversary of the grant date; 1/3 vests on March 3, 2027 and 1/3 vests on March 3, 2028.

SEC source: 0001104659-25-047827 · tm2514949-2_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,157

SEC source: 0001104659-25-045921 · tm2514392-1_4seq1.xml · nonDerivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,653

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-044528 · tm2514008-1_4seq1.xml · nonDerivative · entry 1

Johnson Gerald · CIK 0001772226 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,165

F1 · balance_after: Includes dividends accrued.

SEC source: 0001104659-25-040159 · tm2513401-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,445

Underlying: Common Stock · 12 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 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $306.45 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 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: 0001104659-25-037325 · tm2512889-1_4seq1.xml · nonDerivative · entry 1

Owens Derek · CIK 0002006879 · CLO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,031

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

SEC source: 0001104659-25-030979 · tm2511165-1_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 234

Underlying: Common Stock · 50 shares

Expires not disclosed

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

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

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

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

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-024441 · tm259502-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,016

Underlying: Common Stock · 380 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 190 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $339.64 and 190 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: 0001104659-25-024448 · tm259502-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,175

Underlying: Common Stock · 667 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 334 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $339.64 and 333 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: 0001104659-25-024452 · tm259502-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,542

Underlying: Common Stock · 486 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 243 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $339.64 and 243 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: 0001104659-25-022229 · tm258771-3_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,602

Underlying: Common Stock · 155 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 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

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

F3 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-25-022231 · tm258771-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,439

Underlying: Common Stock · 363 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 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

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

F3 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-25-022232 · tm258771-2_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,825

Underlying: Common Stock · 354 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 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

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

F3 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-25-021006 · tm258358-1_4seq1.xml · nonDerivative · entry 2

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,380

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.

SEC source: 0001104659-25-021007 · tm258358-2_4seq1.xml · nonDerivative · entry 1

Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,255

F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-25-021009 · tm258358-3_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,827

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024

SEC source: 0001104659-25-021010 · tm258358-4_4seq1.xml · nonDerivative · entry 2

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,603

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024

SEC source: 0001104659-25-021011 · tm258358-5_4seq1.xml · nonDerivative · entry 2

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,723

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024

SEC source: 0001104659-25-021012 · tm258358-8_4seq1.xml · nonDerivative · entry 2

Owens Derek · CIK 0002006879 · CLO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,104

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.

SEC source: 0001104659-25-021013 · tm258358-9_4seq1.xml · nonDerivative · entry 2

Schaupp William E · CIK 0001739758 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,520

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.

SEC source: 0001104659-25-021014 · tm258358-10_4seq1.xml · nonDerivative · entry 2

Umpleby III Donald J · CIK 0001566320 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 499,513

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.

SEC source: 0001104659-25-021037 · tm258358-6_4seq1.xml · nonDerivative · entry 2

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,199

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024

SEC source: 0001104659-25-021038 · tm258358-7_4seq1.xml · nonDerivative · entry 2

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,614

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.

SEC source: 0001104659-25-021006 · tm258358-1_4seq1.xml · derivative · entry 3

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,176

Underlying: Common Stock · 11,176 shares

Expires 2035-03-03

F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-25-021006 · tm258358-1_4seq1.xml · nonDerivative · entry 1

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,830

F1 · balance_after: Includes adjustment for dividends accrued.

SEC source: 0001104659-25-021009 · tm258358-3_4seq1.xml · derivative · entry 4

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,966

Underlying: Common Stock · 15,966 shares

Expires 2035-03-03

F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-25-021009 · tm258358-3_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,516

F1 · balance_after: Includes adjustment for dividends accrued.

SEC source: 0001104659-25-021010 · tm258358-4_4seq1.xml · derivative · entry 3

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,439

Underlying: Common Stock · 8,439 shares

Expires 2035-03-03

F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-25-021010 · tm258358-4_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,946

F1 · balance_after: Includes adjustments for dividends accrued.