SCHWAB SUSAN C

SEC source: 0001104659-26-072910 · tm2617695-7_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,197

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-26-005253 · doc4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,172

F1 · shares: The shares will vest on a daily pro rata basis over the 12-month period following the grant and will be distributed on the one-year anniversary of the grant.

SEC source: 0001048911-26-000025 · form4.xml · derivative · entry 5

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,780 shares

Expires 2028-09-24

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: These options first exercisable one year from date of grant.

SEC source: 0001048911-26-000025 · form4.xml · derivative · entry 4

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,015 shares

Expires 2027-09-25

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: These options first exercisable one year from date of grant.

SEC source: 0001048911-26-000025 · form4.xml · nonDerivative · entry 3

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,038

SEC source: 0001048911-26-000025 · form4.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,833

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: 0001048911-26-000025 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,053

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: Ownership has been adjusted to reflect 4 shares that were acquired via dividend reinvestment as a result of dividends paid to all shareholders.

SEC source: 0001104659-25-114576 · tm2531759-1_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,948

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

F2 · balance_after: Includes dividends accrued.

SEC source: 0001048911-25-000063 · form4.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,034

F3 · price: This common stock was issued in lieu of annual retainer fees of $70,000 (rounded down to the nearest whole share).

SEC source: 0001048911-25-000063 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,739

F1 · shares: These shares are subject to restricted stock units ("RSUs"). The RSUs vest on the date of the next FedEx Corporation annual stockholders' meeting and shall accrue dividend equivalents when a dividend is paid on shares of FedEx common stock, as set forth in the form of Restricted Stock Unit Agreement for Non-Management Directors.

F2 · balance_after: Ownership has been adjusted to reflect 12 shares that were acquired via dividend reinvestment as a result of dividends paid to all shareholders.

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

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,917

SEC source: 0001104659-25-059321 · 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: 0001225208-25-005107 · doc4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,370

F1 · shares: The shares will vest on a daily pro-rata basis over the twelve (12) month period following the grant and be distributed on the one-year anniversary of the grant.

SEC source: 0001225208-25-002452 · doc4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,551.4764

SEC source: 0001127602-25-001222 · form4.xml · derivative · entry 3

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,980 shares

Expires 2026-09-26

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: These options first exercisable one year from date of grant.

SEC source: 0001127602-25-001222 · form4.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,904

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $276.37 to $276.47, inclusive. The reporting person undertakes to provide to FedEx Corporation, any security holder of FedEx Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

SEC source: 0001127602-25-001222 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,884

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: Ownership has been adjusted to reflect 3 shares that were acquired via dividend reinvestment as a result of dividends paid to all shareholders.

SEC source: 0001104659-25-000359 · tm251688-2_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,157

Underlying: Common Stock · 103 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: 0001104659-24-125004 · tm2429981-1_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,715

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

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: 0001104659-24-104796 · 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: 0001127602-24-024401 · form4.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,901

F3 · price: This common stock was issued in lieu of annual retainer fees of $70,000 (rounded down to the nearest whole share).

SEC source: 0001127602-24-024401 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,630

F1 · shares: These shares are subject to restricted stock units ("RSUs"). The RSUs vest on the date of the next FedEx Corporation annual stockholders' meeting and shall accrue dividend equivalents when a dividend is paid on shares of FedEx common stock, as set forth in the form of Restricted Stock Unit Agreement for Non-Management Directors.

F2 · balance_after: Ownership has been adjusted to reflect 10 shares that were acquired via dividend reinvestment as a result of dividends paid to all shareholders.

SEC source: 0001104659-24-076852 · tm2418651-2_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,811

Underlying: Common Stock · 113 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: 0001104659-24-071179 · tm2417161-7_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,825

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-24-006040 · doc4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,502

F1 · shares: The shares will vest on a daily pro-rata basis over the twelve (12) month period following the grant and be distributed following termination of service as a Board member.

SEC source: 0001104659-24-055039 · tm2413130-1_4seq1.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,291

F3 · price: This transaction was executed in multiple trades at prices ranging from $349.49 to $350.21. 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: 0001104659-24-055039 · tm2413130-1_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,593

F1 · price: This transaction was executed in multiple trades at prices ranging from $348.46 to $349.44. 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.

SEC source: 0001104659-24-041922 · tm2410354-3_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,630

Underlying: Common Stock · 103 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: 0001127602-24-011311 · form4.xml · derivative · entry 5

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,610 shares

Expires 2025-09-28

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: These options first exercisable one year from date of grant.

SEC source: 0001127602-24-011311 · form4.xml · derivative · entry 4

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,535 shares

Expires 2024-09-29

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: These options first exercisable one year from date of grant.

SEC source: 0001127602-24-011311 · form4.xml · nonDerivative · entry 3

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,865

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $288.0004 to $288.41, inclusive. The reporting person undertakes to provide to FedEx Corporation, any security holder of FedEx Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

SEC source: 0001127602-24-011311 · form4.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,010

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: 0001127602-24-011311 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,400

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: 0001104659-24-000233 · tm241441-1_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,452

Underlying: Common Stock · 127 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: 0001104659-23-106045 · tm2327418-2_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,230

Underlying: Common Stock · 136 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: 0001127602-23-024725 · form4.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,865

F2 · shares: These shares are subject to restricted stock units ("RSUs"). The RSUs vest on the date of the next FedEx Corporation annual stockholders' meeting and shall accrue dividend equivalents when a dividend is paid on shares of FedEx common stock, as set forth in the form of Restricted Stock Unit Agreement for Non-Management Directors.

SEC source: 0001127602-23-024725 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,120

F1 · price: This common stock was issued in lieu of annual retainer fees of $70,000 (rounded down to the nearest whole share).

SEC source: 0001104659-23-077527 · tm2320445-1_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,009

Underlying: Common Stock · 153 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: 0001104659-23-071474 · tm2318786-8_4seq1.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,106

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-23-006038 · doc4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,665

F1 · shares: The shares will vest on a daily pro-rata basis over the twelve (12) month period following the grant and be distributed following termination of service as a Board member.

SEC source: 0001127602-23-012860 · form4.xml · derivative · entry 3

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,700 shares

Expires 2023-09-23

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 · shares: The options exercised in this transaction were scheduled to expire on 23 September 2023.

F2 · derivative.exercise_date: These options first exercisable one year from date of grant.

SEC source: 0001127602-23-012860 · form4.xml · nonDerivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,853

SEC source: 0001127602-23-012860 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,553

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: 0001104659-23-041131 · tm2311424-2_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,757

Underlying: Common Stock · 165 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: 0001104659-23-000237 · tm231394-2_4seq1.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,508

Underlying: Common Stock · 157 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: 0000018230-22-000210 · wf-form4_166482861916033.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,260

Underlying: Common Stock · 226 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: 0001127602-22-023053 · form4.xml · derivative · entry 2

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,727

Underlying: Common Stock · 4,727 shares

Expires 2032-09-26

F2 · derivative.exercise_date: These options first exercisable one year from date of grant.

SEC source: 0001127602-22-023053 · form4.xml · nonDerivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,853

F1 · price: This common stock was issued in lieu of annual retainer fees of $140,000 (rounded down to the nearest whole share).

SEC source: 0000018230-22-000169 · wf-form4_165667999134195.xml · derivative · entry 1

SCHWAB SUSAN C · CIK 0001202958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,930

Underlying: Common Stock · 209 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.