| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Johnson Denise C | Group President | 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING | /s/ Nicole Puza, POA for Denise Johnson | 04 Feb 2026 | 0001608229 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $2,323,027 | +11,810 | +27% | $196.70 | 55,160 | 02 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Tax liability | $2,322,843 | -3,399 | -6.2% | $683.39 | 51,761 | 02 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Sale | $678,520 | -1,000 | -1.9% | $678.52 | 50,761 | 02 Feb 2026 | Direct | F1 |
| transaction | CAT | Common Stock | Sale | $5,040,295 | -7,411 | -15% | $680.11 | 43,350 | 02 Feb 2026 | Direct | F2 |
| transaction | CAT | Common Stock | Options Exercise | $9,953,150 | +45,291 | +110% | $219.76 | 86,641 | 02 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Tax liability | $9,952,892 | -14,564 | -16% | $683.39 | 74,077 | 02 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Sale | $973,237 | -1,431 | -1.9% | $680.11 | 72,646 | 02 Feb 2026 | Direct | F2 |
| transaction | CAT | Common Stock | Sale | $13,713,910 | -20,145 | -28% | $680.76 | 52,501 | 02 Feb 2026 | Direct | F3 |
| transaction | CAT | Common Stock | Sale | $2,040,980 | -2,994 | -5.7% | $681.69 | 49,507 | 02 Feb 2026 | Direct | F4 |
| transaction | CAT | Common Stock | Sale | $1,885,321 | -2,761 | -5.6% | $682.84 | 46,746 | 02 Feb 2026 | Direct | F5 |
| transaction | CAT | Common Stock | Sale | $1,544,246 | -2,258 | -4.8% | $683.90 | 44,488 | 02 Feb 2026 | Direct | F6 |
| transaction | CAT | Common Stock | Sale | $779,450 | -1,138 | -2.6% | $684.93 | 43,350 | 02 Feb 2026 | Direct | F7 |
| 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 | $2,323,027 | -11,810 | -33% | $196.70 | 23,978 | 02 Feb 2026 | Common Stock | 11,810 | $196.70 | Direct | F8 |
| transaction | CAT | Employee Stock Options | Options Exercise | $9,953,150 | -45,291 | -100% | $219.76 | 0 | 02 Feb 2026 | Common Stock | 45,291 | $219.76 | Direct | F9 |
| Id | Content |
|---|---|
| F1 | This transaction was executed in multiple trades at prices ranging from $678.25 to $678.82. 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 | This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. 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. |
| F3 | This transaction was executed in multiple trades at prices ranging from $680.35 to $681.29. 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. |
| F4 | This transaction was executed in multiple trades at prices ranging from $681.35 to $682.33. 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. |
| F5 | This transaction was executed in multiple trades at prices ranging from $682.38 to $683.36. 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. |
| F6 | This transaction was executed in multiple trades at prices ranging from $683.37 to $684.33. 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. |
| F7 | This transaction was executed in a trade at a price of $684.93. 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. |
| F8 | 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 in the first, second and third anniversaries of the grant date. |
| F9 | 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 in the first, second and third anniversaries of the grant date. |