| 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 | 03 Feb 2026 | 0001694342 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $3,099,773 | +20,512 | +26% | $151.12 | 100,465 | 02 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Tax liability | $3,099,264 | -4,535 | -4.5% | $683.41 | 95,930 | 02 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Sale | $10,912,131 | -15,977 | -17% | $682.99 | 79,953 | 02 Feb 2026 | Direct | F1 |
| 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 | $3,099,773 | -20,512 | -100% | $151.12 | 0 | 02 Feb 2026 | Common Stock | 20,512 | $151.12 | Direct | F2 |
| Id | Content |
|---|---|
| F1 | This transaction was executed in multiple trades at prices ranging from $682.93 to $683.49. 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 | 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 thired anniversaries of the grant date. |