Creed Joseph E

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: 0001104659-25-021009 · 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: 0001104659-25-021009 · 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: 0001104659-25-012844 · tm255985-2_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,402

F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted on March 7, 2022.

SEC source: 0001104659-25-012844 · tm255985-2_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,897

F1 · balance_after: Includes adjustment for dividends accrued.

SEC source: 0001104659-24-132198 · tm2432149-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,290

Underlying: Common Stock · 30 shares

Expires not disclosed

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

F2 · shares: 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 $367.12 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

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

SEC source: 0001104659-24-123609 · 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: 0001104659-24-111833 · 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: 0001104659-24-103653 · 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: 0001104659-24-093323 · 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: 0001104659-24-083506 · tm2420389-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,942

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 $350.48 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: 0001104659-24-075573 · tm2418430-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,058

Underlying: Common Stock · 34 shares

Expires not disclosed

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

F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $326.73 and 17 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

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

SEC source: 0001104659-24-065535 · tm2415718-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,043

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 $348.90 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: 0001104659-24-053976 · tm2412973-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,830

Underlying: Common Stock · 9 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 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $343.38 and 4 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: 0001104659-24-035172 · tm249012-3_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,917

Underlying: Common Stock · 622 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 311 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $341.92 and 311 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: 0001104659-24-033191 · tm248510-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,329

Underlying: Common Stock · 267 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 · 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: 0001104659-24-031372 · tm248078-8_4seq1.xml · derivative · entry 3

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,783

Underlying: Common Stock · 16,783 shares

Expires 2034-03-04

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 on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-24-031372 · tm248078-8_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,937

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

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,769

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

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

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,039

SEC source: 0001104659-23-129671 · tm2333781-1_4seq1.xml · derivative · entry 2

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,877

Underlying: Common Stock · 38 shares

Expires not disclosed

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

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

F7 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F7 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F8 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

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

Creed Joseph E · CIK 0001739859 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,839

Underlying: Common Stock · 45 shares

Expires not disclosed

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

F2 · date: Due to an administrative error, the reporting person's November payroll deferrals under the Supplemental Deferred Compensation Plan (the "Plan") were not withheld until the December payroll. The shares attributable to the November payroll deferrals were credited to the reporting person's account as if they had been credited on November 24, 2023, the day of the November payroll.

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

F4 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F5 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-23-112210 · tm2329317-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,031

Underlying: Common Stock · 32 shares

Expires not disclosed

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

F2 · shares: This total includes 16 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $242.43 and 16 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

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

SEC source: 0001104659-23-104380 · tm2327088-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,001

Underlying: Common Stock · 29 shares

Expires not disclosed

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

F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $269.52 and 14 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

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

SEC source: 0001104659-23-096049 · tm2324987-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,741

Underlying: Common Stock · 29 shares

Expires not disclosed

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

F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $272.56 and 14 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

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

SEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · derivative · entry 5

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,698 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.

F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 4

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: This transaction was executed in multiple trades at prices ranging from $285.45 to $285.59. 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 at whch the transaction was effected.

SEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 3

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,249

SEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,698

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

SEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001104659-23-085105 · tm2322276-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,922

Underlying: Common Stock · 30 shares

Expires not disclosed

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

F2 · shares: 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 $258.32 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

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

SEC source: 0001104659-23-085395 · tm2322276-3_4aseq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,922

Underlying: Common Stock · 30 shares

Expires not disclosed

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

F2 · shares: This amended report is being filed to report the shares as acquired by the reporting person on July 26, 2023, rather than as disposed as incorrectly reported in the original report due to an inadvertent clerical error.

F3 · 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 $258.32 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

F4 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F4 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.

F5 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-23-075315 · tm2319805-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,668

Underlying: Common Stock · 22 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 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 $236.95 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: 0001104659-23-033181 · tm239693-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,656

Underlying: Common Stock · 702 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 351 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $225.67 and 351 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 interest in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

SEC source: 0001104659-23-031961 · tm239475-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,384

Underlying: Common Stock · 358 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 · derivative.exercise_date: The phantom stock units are to be settled 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 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: 0001104659-23-030009 · tm238923-7_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,028

Underlying: Common Stock · 29,028 shares

Expires 2033-03-06

F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-23-014714 · tm236025-5_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,037

F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020.

SEC source: 0001104659-23-014714 · tm236025-5_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,009

SEC source: 0001104659-23-002189 · tm232729-1_4seq1.xml · derivative · entry 4

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,294 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: 0001104659-23-002189 · tm232729-1_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby 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: 0001104659-23-002189 · tm232729-1_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,294

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: 0001104659-22-130461 · tm2233604-1_4seq1.xml · derivative · entry 4

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,698

Underlying: Common Stock · 7,698 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.

F2 · 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: 0001104659-22-130461 · tm2233604-1_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001104659-22-130461 · tm2233604-1_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,698

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: 0001104659-22-130104 · tm2233521-2_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,523

Underlying: Common Stock · 30 shares

Expires not disclosed

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

F2 · shares: 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 $239.87 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interets 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: 0001104659-22-127328 · tm2232762-1_4seq1.xml · derivative · entry 4

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,003 shares

Expires 2029-03-04

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

F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

SEC source: 0001104659-22-127328 · tm2232762-1_4seq1.xml · nonDerivative · entry 2

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001104659-22-127328 · tm2232762-1_4seq1.xml · nonDerivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,003

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: 0001104659-22-122403 · tm2231454-1_4seq1.xml · derivative · entry 1

Creed Joseph E · CIK 0001739859 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,591

Underlying: Common Stock · 30 shares

Expires not disclosed

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

F2 · shares: 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 $235.70 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.

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

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

F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interets 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.