| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Kaiser Jason | Group President | 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING | /s/ Nicole Puza, POA for Jason E. Kaiser | 13 Nov 2025 | 0002005183 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $1,951,689 | +8,881 | +103% | $219.76 | 17,530 | 11 Nov 2025 | Direct | F1 |
| transaction | CAT | Common Stock | Tax liability | $1,951,165 | -3,418 | -19% | $570.85 | 14,112 | 11 Nov 2025 | Direct | |
| transaction | CAT | Common Stock | Sale | $583,742 | -1,040 | -7.4% | $561.29 | 13,072 | 11 Nov 2025 | Direct | F2 |
| transaction | CAT | Common Stock | Sale | $794,488 | -1,413 | -11% | $562.27 | 11,659 | 11 Nov 2025 | Direct | F3 |
| transaction | CAT | Common Stock | Sale | $923,681 | -1,640 | -14% | $563.22 | 10,019 | 11 Nov 2025 | Direct | F4 |
| transaction | CAT | Common Stock | Sale | $157,886 | -280 | -2.8% | $563.88 | 9,739 | 11 Nov 2025 | Direct | F5 |
| transaction | CAT | Common Stock | Sale | $20,907 | -37 | -0.38% | $565.06 | 9,702 | 11 Nov 2025 | Direct | F6 |
| transaction | CAT | Common Stock | Sale | $226,904 | -400 | -4.1% | $567.26 | 9,302 | 11 Nov 2025 | Direct | F7 |
| transaction | CAT | Common Stock | Sale | $371,296 | -653 | -7% | $568.60 | 8,649 | 11 Nov 2025 | Direct | F8 |
| transaction | CAT | Common Stock | Options Exercise | $1,573,600 | +8,000 | +92% | $196.70 | 16,649 | 11 Nov 2025 | Direct | |
| transaction | CAT | Common Stock | Tax liability | $1,573,263 | -2,756 | -17% | $570.85 | 13,893 | 11 Nov 2025 | Direct | |
| transaction | CAT | Common Stock | Sale | $579,251 | -1,032 | -7.4% | $561.29 | 12,861 | 11 Nov 2025 | Direct | F9 |
| transaction | CAT | Common Stock | Sale | $708,309 | -1,260 | -9.8% | $562.15 | 11,601 | 11 Nov 2025 | Direct | F10 |
| transaction | CAT | Common Stock | Sale | $833,566 | -1,480 | -13% | $563.22 | 10,121 | 11 Nov 2025 | Direct | F11 |
| transaction | CAT | Common Stock | Sale | $259,481 | -460 | -4.5% | $564.09 | 9,661 | 11 Nov 2025 | Direct | F12 |
| transaction | CAT | Common Stock | Sale | $215,593 | -380 | -3.9% | $567.35 | 9,281 | 11 Nov 2025 | Direct | F13 |
| transaction | CAT | Common Stock | Sale | $359,387 | -632 | -6.8% | $568.65 | 8,649 | 11 Nov 2025 | Direct | F14 |
| holding | CAT | Common Stock | 368 | 11 Nov 2025 | Held by 401(k) Plan | F15 |
| 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 | $1,951,689 | -8,881 | -100% | $219.76 | 0 | 11 Nov 2025 | Common Stock | 8,881 | $219.76 | Direct | F16 |
| transaction | CAT | Employee Stock Options | Options Exercise | $1,573,600 | -8,000 | -100% | $196.70 | 0 | 11 Nov 2025 | Common Stock | 8,000 | $196.70 | Direct | F17 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Includes adjustments for dividends accrued. |
| F2 | This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. 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 | This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. 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. |
| F4 | This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. 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. |
| F5 | This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. 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. |
| F6 | This transaction was entered as multiple trades at $565.06. 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. |
| F7 | This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. 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. |
| F8 | This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. 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. |
| F9 | This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. 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. |
| F10 | This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. 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. |
| F11 | This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. 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. |
| F12 | This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. 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. |
| F13 | This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. 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. |
| F14 | This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. 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. |
| F15 | The information in this report is based on a 401(k) plan statement dated as of October 31, 2025. |
| F16 | The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| F17 | The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |