Kaiser Jason Transaction Summary

Jason Kaiser, Group President at CATERPILLAR INC, acquired 5 units of Phantom Stock. These units are economically equivalent to shares of Caterpillar Inc. common stock and are settled in cash upon retirement or separation from service. The acquisition included 3 units credited at a price of $997.47 per unit and 2 units contributed for no consideration. Following this transaction, Kaiser holds 5831 units. Adjustments for accrued dividends are included in the post-transaction share count.