Other Information
−Removed: On August 12, 2025 , Jason E.
−Removed: Kaiser , Group President of our Energy & Transportation segment, 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) August 12, 2026 and (2) the date on which (i) an aggregate of 16,881 shares of our common stock and (ii) all shares vested as of December 31, 2025 pursuant to a Performance Stock Unit (PSU) grant have been sold under the plan.
−Removed: 10.1 364-Day Credit Agreement (incorporated by reference from Exhibit 10.1 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.2 CIF Local Currency Addendum to the 364-Day Credit Agreement (incorporated by reference from Exhibit 10.2 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.3 CIF LUX Local Currency Addendum to the 364-Day Credit Agreement (incorporated by reference from Exhibit 10.3 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.4 Japan Local Currency Addendum to the 364-Day Credit Agreement (incorporated by reference from Exhibit 10.4 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.5 Fourth Amended and Restated Credit Agreement (Three-Year Facility) (incorporated by reference from Exhibit 10.5 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.6 CIF Local Currency Addendum to the Fourth Amended and Restated Credit Agreement (Three-Year Facility) (incorporated by reference from Exhibit 10.6 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.7 CIF LUX Local Currency Addendum to the Fourth Amended and Restated Credit Agreement (Three-Year Facility) (incorporated by reference from Exhibit 10.7 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.8 Japan Local Currency Addendum to the Fourth Amended and Restated Credit Agreement (Three-Year Facility) (incorporated by reference from Exhibit 10.8 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.9 Fourth Amended and Restated Credit Agreement (Five-Year Facility) (incorporated by reference from Exhibit 10.9 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.10 CIF Local Currency Addendum to the Fourth Amended and Restated Credit Agreement (Five-Year Facility) (incorporated by reference from Exhibit 10.10 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.11 CIF LUX Local Currency Addendum to the Fourth Amended and Restated Credit Agreement (Five-Year Facility) (incorporated by reference from Exhibit 10.11 to the Company's Current Report on Form 8-K filed September 3, 2025)
−Removed: 10.12 Japan Local Currency Addendum to the Fourth Amended and Restated Credit Agreement (Five-Year Facility) (incorporated by reference from Exhibit 10.12 to the Company's Current Report on Form 8-K filed September 3, 2025)
+Added: During the three months ended March 31, 2026, 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
10 unchanged sentences
The agreements and other documents filed as exhibits to this report are not intended to provide factual information or other disclosure other than with respect to the terms of the agreements or other documents themselves, and you should not rely on them for that purpose.
−Removed: In particular, any representations and warranties made by us in these agreements or other documents
−Removed: were made solely within the specific context of the relevant agreement or document and may not describe the actual state of affairs as of the date they were made or at any other time.
+Added: In particular, any representations and warranties made by us in these agreements or other documents were made solely within the specific context of the relevant agreement or document and may not describe the actual state of affairs as of the date they were made or at any other time.
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
CATERPILLAR INC.
−Removed: November 3, 2025 /s/ Joseph E.
−Removed: Creed Chief Executive Officer
−Removed: November 3, 2025 /s/ Andrew R.J.
−Removed: Bonfield Chief Financial Officer
−Removed: November 3, 2025 /s/ Derek Owens Chief Legal Officer and General Counsel
−Removed: November 3, 2025 /s/ William E.
+Added: May 6, 2026 /s/ Joseph E.
+Added: Creed Chairman of the Board
+Added: Creed and Chief Executive Officer
+Added: May 6, 2026 /s/ Kyle J.
+Added: Epley Chief Financial Officer
+Added: May 6, 2026 /s/ Derek Owens Chief Legal Officer and General Counsel
+Added: May 6, 2026 /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.