Other Information
−Removed: On August 23, 2024 , Andrew Bonfield , Chief Financial Officer of the Company , entered into a Rule 10b5-1 sales plan intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
−Removed: The sales plan will be in effect until the earlier of (1) November 25, 2025 and (2) the date on which an aggregate of 20,000 shares of our common stock have been sold under the plan.
−Removed: 10.1 364-Day Credit Agreement dated August 29, 2024 (incorporated by reference from Exhibit 10.1 to the Company’s Current Report on Form 8-K filed September 4, 2024)
−Removed: 10.2 Local Currency Addendum to the 364-Day Credit Agreement dated August 29, 2024 (incorporated by reference from Exhibit 10.2 to the Company’s Current Report on Form 8-K filed September 4, 2024)
−Removed: 10.3 Japan Local Currency Addendum to the 364-Day Credit Agreement dated August 29, 2024 (incorporated by reference from Exhibit 10.3 to the Company’s Current Report on Form 8-K filed September 4, 2024)
−Removed: 10.4 Amendment No.
−Removed: 2 to Third Amended and Restated Credit Agreement (Three-Year Facility) dated August 29, 2024 (incorporated by reference from Exhibit 10.4 to the Company’s Current Report on Form 8-K filed September 4, 2024)
−Removed: 10.5 Amendment No.
−Removed: 2 to Third Amended and Restated Credit Agreement (Five-Year Facility) dated August 29, 2024 (incorporated by reference from Exhibit 10.5 to the Company’s Current Report on Form 8-K filed September 4, 2024)
+Added: During the three months ended March 31, 2025, none of the company’s directors or officers (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934) adopted , terminated or modified a Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (as such terms are defined in Item 408 of Regulation S-K of the Securities Act of 1933).
31.1 Certification of Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
13 unchanged sentences
CATERPILLAR INC.
−Removed: November 6, 2024 /s/ D.
−Removed: James Umpleby III Chairman of the Board and Chief Executive Officer
−Removed: James Umpleby III
−Removed: November 6, 2024 /s/ Andrew R.J.
+Added: May 7, 2025 /s/ Joseph E.
+Added: Creed Chief Executive Officer
+Added: May 7, 2025 /s/ Andrew R.J.
Bonfield Chief Financial Officer
−Removed: November 6, 2024 /s/ Derek Owens Chief Legal Officer and General Counsel
−Removed: November 6, 2024 /s/ William E.
+Added: May 7, 2025 /s/ Derek Owens Chief Legal Officer and General Counsel
+Added: May 7, 2025 /s/ William E.
Schaupp Vice President and Chief Accounting Officer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.