CATERPILLAR INC

Filing Date

May 4, 2026

Transaction Date

May 1, 2026

Accession Number

0001104659-26-054593

Form Type

3

Footnotes

1. (F1)The information in this report is based on a 401(k) plan statement dated as of March 31, 2026.
2. (F2)The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/02/2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
3. (F3)The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/01/2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
4. (F4)The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/07/2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
5. (F5)The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/06/2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
6. (F6)The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/04/2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
7. (F7)The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/03/2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
8. (F8)The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on 03/02/2026 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
9. (F9)The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
10. (F10)Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally equivalent to one share of Caterpillar Inc. common stock.
11. (F11)Phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.