| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| De Lange Bob | Group President | 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING | /s/ Nicole Puza, POA for Bob De Lange | 07 Nov 2025 | 0001694342 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $3.02M | +20K | +24.93% | $151.12 | 100K | 05 Nov 2025 | Direct | F1 |
| transaction | CAT | Common Stock | Tax liability | -$3.02M | -5.36K | -5.35% | $563.66 | 94.8K | 05 Nov 2025 | Direct | |
| transaction | CAT | Common Stock | Sale | -$8.23M | -14.6K | -15.43% | $562.36 | 80.2K | 05 Nov 2025 | Direct | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Employee Stock Options | Options Exercise | -$3.02M | -20K | -49.37% | $151.12 | 20.5K | 05 Nov 2025 | Common Stock | 20K | $151.12 | Direct | F3 |
| Id | Content |
|---|---|
| F1 | Includes adjustments for dividends accrued. |
| F2 | This transaction was executed in multiple trades at prices ranging from $562.32 to $562.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F3 | 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. |