| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Shurman Rodney Michael | Group President | 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING | /s/ Nicole Puza, POA for Rodney Shurman | 24 Feb 2026 | 0002110101 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $578,566 | +2,278 | +158% | $253.98 | 3,721 | 23 Feb 2026 | Direct | F1 |
| transaction | CAT | Common Stock | Sale | $1,730,392 | -2,278 | -61% | $759.61 | 1,443 | 23 Feb 2026 | Direct | F2 |
| holding | CAT | Common Stock | 6,748 | 23 Feb 2026 | Held by 401(k) plan | F3 |
| 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 | $578,566 | -2,278 | -29% | $253.98 | 5,639 | 23 Feb 2026 | Common Stock | 2,278 | $253.98 | Direct | F4 |
| Id | Content |
|---|---|
| F1 | Includes dividends accrued. |
| F2 | This transaction was executed in multiple trades at prices ranging from $759.49 to $759.75. 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 | The information in this report is based on a 401(k) plan statement dated as of January 31, 2026. |
| F4 | The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. |