Other Information
−Removed: 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).
+Added: On May 27, 2025 , D.
+Added: James Umpleby III , Executive Chairman of the Board of Directors 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.
+Added: The sales plan will be in effect until the earlier of (1) April 30, 2026 and (2) the date on which an aggregate of 51,500 shares of our common stock have been sold under the plan.
+Added: 4.1 Form of 5.200% Senior Note due 2035 (incorporated by reference from Exhibit 4.1 to the Company’s Current Report on Form 8-K filed May 15, 2025)
+Added: 4.2 Form of 5.500% Senior Note due 2055 (incorporated by reference from Exhibit 4.2 to the Company’s Current Report on Form 8-K filed May 15, 2025)
+Added: 10.1 First Amended and Restated Aircraft Time Sharing Agreement, dated as of April 28, 2025.
+Added: 10.2 Aircraft Time Sharing Agreement, dated as of May 7, 2025.
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: May 7, 2025 /s/ Joseph E.
+Added: August 6, 2025 /s/ Joseph E.
Creed Chief Executive Officer
−Removed: May 7, 2025 /s/ Andrew R.J.
+Added: August 6, 2025 /s/ Andrew R.J.
Bonfield Chief Financial Officer
−Removed: May 7, 2025 /s/ Derek Owens Chief Legal Officer and General Counsel
−Removed: May 7, 2025 /s/ William E.
+Added: August 6, 2025 /s/ Derek Owens Chief Legal Officer and General Counsel
+Added: August 6, 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.