| 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 | 09 Feb 2026 | 0001694342 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $3,878,504 | +28,034 | +35% | $138.35 | 107,987 | 06 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Tax liability | $3,878,183 | -5,378 | -5% | $721.12 | 102,609 | 06 Feb 2026 | Direct | |
| transaction | CAT | Common Stock | Sale | $16,314,812 | -22,656 | -22% | $720.11 | 79,953 | 06 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 | $3,878,504 | -28,034 | -100% | $138.35 | 0 | 06 Feb 2026 | Common Stock | 28,034 | $138.35 | Direct | F2 |
| Id | Content |
|---|---|
| F1 | This transaction was executed in multiple trades at prices ranging from $720.02 to $721.01. 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 4, 2019 and vest equally in 1/3 increments in the first, second and thired anniversaries of the grant date. |