CAT

SEC source: 0001104659-24-123609 · tm2429721-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,187

Underlying: Common Stock · 27 shares

Expires not disclosed

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

F2 · shares: This total includes 14 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $407.83 and 13 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-123610 · tm2429721-2_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,888

Underlying: Common Stock · 23 shares

Expires not disclosed

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

F2 · shares: This total includes 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 $407.83 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 dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-123611 · tm2429721-3_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,498

Underlying: Common Stock · 17 shares

Expires not disclosed

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

F2 · shares: This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $407.83 and 8 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 4

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 55,182

F5 · price: This transaction was executed in multiple trades at prices ranging from $406.51 to $407.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 3

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 57,317

F4 · price: This transaction was executed in multiple trades at prices ranging from $405.51 to $406.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 2

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 59,798

F3 · price: This transaction was executed in multiple trades at prices ranging from $404.51 to $405.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 1

BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 61,678

F1 · price: This transaction was executed in multiple trades at prices ranging from $403.51 to $404.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes dividends accrued.

SEC source: 0001104659-24-123206 · tm2429621-2_4seq1.xml · nonDerivative · entry 5

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · The Stephanie M Fish GST Trust

Disclosed balance after: 250

SEC source: 0001104659-24-123206 · tm2429621-2_4seq1.xml · nonDerivative · entry 4

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · The Nicole M Fish GST Trust

Disclosed balance after: 250

SEC source: 0001104659-24-123206 · tm2429621-2_4seq1.xml · nonDerivative · entry 3

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,964

F3 · shares: Gift of shares to an irrevocable trust of which the reporting person's descendant is a beneficiary.

SEC source: 0001104659-24-123206 · tm2429621-2_4seq1.xml · nonDerivative · entry 2

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,214

F3 · shares: Gift of shares to an irrevocable trust of which the reporting person's descendant is a beneficiary.

SEC source: 0001104659-24-123206 · tm2429621-2_4seq1.xml · nonDerivative · entry 1

Fish James C Jr · CIK 0001523568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,464

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

F2 · balance_after: Includes dividends accrued.

SEC source: 0001104659-24-120169 · tm2428774-1_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,846

F1 · balance_after: Includes dividends accrued.

SEC source: 0001104659-24-115984 · tm2427956-1_4seq1.xml · derivative · entry 6

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,512

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.

F5 · 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 in the first, second and third anniversaries of the grant date.

SEC source: 0001104659-24-115984 · tm2427956-1_4seq1.xml · nonDerivative · entry 5

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,107

F4 · price: This transaction was executed in multiple trades at prices ranging from $411.44 to $412.03. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-115984 · tm2427956-1_4seq1.xml · nonDerivative · entry 4

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,605

F3 · price: This transaction was executed in multiple trades at prices ranging from $410.42 to $411.42. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-115984 · tm2427956-1_4seq1.xml · nonDerivative · entry 3

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,435

F2 · price: This transaction was executed in multiple trades at prices ranging from $408.45 to $409.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-115984 · tm2427956-1_4seq1.xml · nonDerivative · entry 2

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,764

SEC source: 0001104659-24-115984 · tm2427956-1_4seq1.xml · nonDerivative · entry 1

De Lange Bob · CIK 0001694342 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,107

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: 0001104659-24-115989 · tm2427956-2_4seq1.xml · derivative · entry 7

Umpleby III Donald J · CIK 0001566320 · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,526

Underlying: Common Stock · 87,053 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.

F4 · 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 thir anniversaries of the grant date.

SEC source: 0001104659-24-115989 · tm2427956-2_4seq1.xml · nonDerivative · entry 3

Umpleby III Donald J · CIK 0001566320 · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 466,251

SEC source: 0001104659-24-115989 · tm2427956-2_4seq1.xml · nonDerivative · entry 2

Umpleby III Donald J · CIK 0001566320 · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 526,102

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

SEC source: 0001104659-24-115989 · tm2427956-2_4seq1.xml · nonDerivative · entry 1

Umpleby III Donald J · CIK 0001566320 · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 439,049

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: 0001104659-24-115201 · tm2427666-2_4seq1.xml · nonDerivative · entry 1

DICKINSON DANIEL M · CIK 0001264714 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,976

F1 · balance_after: Includes dividends accrued.

SEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · derivative · entry 5

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,133

Underlying: Common Stock · 8,000 shares

Expires 2030-03-02

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

F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date.

SEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · nonDerivative · entry 3

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,442

F1 · price: This transaction was executed in multiple trades at prices ranging from $409.73 to $409.91. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · nonDerivative · entry 2

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,951

SEC source: 0001104659-24-115375 · tm2427666-3_4seq1.xml · nonDerivative · entry 1

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,422

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

SEC source: 0001104659-24-114185 · tm2427462-1_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: 12,951

F1 · shares: This transaction was executed in multiple trades at prices ranging from $378.76 to $378.87. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-24-113834 · tm2427431-1_4seq1.xml · derivative · entry 4

Schaupp William E · CIK 0001739758 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,095

Underlying: Common Stock · 2,000 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: 0001104659-24-113834 · tm2427431-1_4seq1.xml · nonDerivative · entry 3

Schaupp William E · CIK 0001739758 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,686

F2 · price: This transaction was entered as multiple trades, at prices ranging from $380.94 to $381.02. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.

SEC source: 0001104659-24-113834 · tm2427431-1_4seq1.xml · nonDerivative · entry 2

Schaupp William E · CIK 0001739758 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,654

SEC source: 0001104659-24-113834 · tm2427431-1_4seq1.xml · nonDerivative · entry 1

Schaupp William E · CIK 0001739758 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,686

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: 0001104659-24-111833 · tm2426969-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,240

Underlying: Common Stock · 29 shares

Expires not disclosed

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

F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $385.97 and 14 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-111834 · tm2426969-2_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,118

Underlying: Common Stock · 25 shares

Expires not disclosed

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

F2 · shares: This total includes 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 $385.97 and 12 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-111835 · tm2426969-3_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,521

Underlying: Common Stock · 17 shares

Expires not disclosed

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

F2 · shares: This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $385.97 and 8 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-104796 · tm2425317-1_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,984

Underlying: Common Stock · 96 shares

Expires not disclosed

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

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

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

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

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-104797 · tm2425317-2_4seq1.xml · derivative · entry 1

MacLennan David · CIK 0001498535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137

Underlying: Common Stock · 42 shares

Expires not disclosed

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

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

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

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

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-103653 · tm2425131-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,857

Underlying: Common Stock · 29 shares

Expires not disclosed

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

F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $390.96 and 14 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-103656 · tm2425131-2_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,972

Underlying: Common Stock · 24 shares

Expires not disclosed

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

F2 · shares: This total includes 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 $390.96 and 12 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-103660 · tm2425131-3_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,331

Underlying: Common Stock · 17 shares

Expires not disclosed

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

F2 · shares: This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $390.96 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: IIncludes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-097270 · tm2423441-1_4seq1.xml · nonDerivative · entry 1

Johnson Gerald · CIK 0001772226 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,842

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

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · derivative · entry 5

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,133

Underlying: Common Stock · 5,000 shares

Expires 2030-03-02

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

F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · nonDerivative · entry 3

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,442

SEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · nonDerivative · entry 2

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,627

SEC source: 0001104659-24-096430 · tm2423271-1_4seq1.xml · nonDerivative · entry 1

Fassino Anthony D. · CIK 0001839757 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,442

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: 0001104659-24-093320 · tm2422802-1_4seq1.xml · derivative · entry 1

Johnson Denise C · CIK 0001608229 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,690

Underlying: Common Stock · 27 shares

Expires not disclosed

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

F2 · shares: This total includes 14 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $351.16 and 13 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-093323 · tm2422802-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,063

Underlying: Common Stock · 32 shares

Expires not disclosed

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

F2 · shares: This total includes 16 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $351.16 and 16 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-24-093325 · tm2422802-2_4seq1.xml · derivative · entry 1

Kaiser Jason · CIK 0002005183 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,428

Underlying: Common Stock · 19 shares

Expires not disclosed

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

F2 · shares: This total includes 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 $351.16 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: 0001104659-24-092303 · tm2422558-1_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: 15,615

F1 · shares: This transaction was executed in multiple trades at prices ranging from $342.43 to $342.58 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes adjustments for dividends accrued.