| As Of | Filing | | Doc. | | Page | | Title | Docs. |
|---|
| | |  |
| 4/29/24 |  | DEF 14A | | | | 1 | | Access to Form 10-K | 2 |
| | | | | | 1 | | Advisory Vote to Approve Executive Compensation | 1 |
| | | | | | 1 | | Annual Meeting of Shareholders | 2 |
| | | | | | 1 | | Anonymous Reporting of Accounting and Other Concerns | 2 |
| 5/1/23 | | DEF 14A | | | | 1 | | Appendix A -- Caterpillar Inc. 2023 Long-Term Incentive Plan (Effective as of June 15, 2023) | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Audit | 2 |
| | | | | | 1 | | Audit Committee Report | 2 |
| | | | | | 1 | | Audit Fees and Approval Process | 2 |
| | | | | | 1 | | Back to Contents | 2 |
| 5/1/23 | | DEF 14A | | | | 1 | | Board Attendance -- 2022 | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Board Attendance -- 2023 | 1 |
| | | | | | 1 | | Board Committees | 2 |
| | | | | | 1 | | Board Election and Leadership Structure | 2 |
| | | | | | 1 | | Board Evaluation Process | 2 |
| | | | | | 1 | | Board Evolution Since 2016 | 2 |
| | | | | | 1 | | Board's Role in Company Strategy | 2 |
| | | | | | 1 | | Board's Role in Risk Oversight | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Business | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | Caterpillar Inc. 2023 Long-Term Incentive Plan (Effective as of June 15, 2023) | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Ceo Pay Ratio | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Certain Relationships and Related Transactions, and Director Independence | 1 |
| | | | | | 1 | | Changes in and Disagreements with Accountants on Accounting and Financial Disclosure | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | Civil Rights, Non-Discrimination and Returns to Merit Audit | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Communication With the Board | 2 |
| | | | | | 1 | | Compensation | 2 |
| | | | | | 1 | | Compensation Discussion & Analysis | 2 |
| | | | | | 1 | | Contacting Caterpillar | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Controls and Procedures | 5 |
| 4/29/24 | | DEF 14A | | | | 1 | | Corporate Governance Guidelines and Code of Conduct | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Cybersecurity | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | DELINQUENT SECTION 16(a) REPORTS | 2 |
| | | | | | 1 | | Director Board Service | 1 |
| | | | | | 1 | | Director Candidate Biographies and Qualifications | 2 |
| | | | | | 1 | | Director Compensation | 2 |
| | | | | | 1 | | Director Continuous Education and Development | 2 |
| | | | | | 1 | | Director Independence Determinations | 2 |
| | | | | | 1 | | Director Nominations and Evaluations | 2 |
| | | | | | 1 | | Directors & Governance | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Directors, Executive Officers and Corporate Governance | 1 |
| | | | | | 1 | | Disclosure Regarding Foreign Jurisdictions that Prevent Inspections | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Diversity of Skills and Expertise | 2 |
| | | | | | 1 | | Duties and Responsibilities of Presiding Director | 2 |
| | | | | | 1 | | Election of Directors | 1 |
| 2/16/24 | | 10-K | | | | 1 | | Executive Compensation | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Executive Summary | 2 |
| 5/1/24 | | 10-Q | | | | 1 | | Exhibits | 4 |
| 2/16/24 | | 10-K | | | | 1 | | Exhibits and Financial Statement Schedules | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Financial Statements | 4 |
| 2/16/24 | | 10-K | | | | 1 | | Financial Statements and Supplementary Data | 1 |
| | | | | | 1 | | Form 10-K Summary | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Frequently Asked Questions Regarding Meeting Attendance and Voting | 2 |
| | | | | | 1 | | Governance Highlights | 2 |
| 5/1/23 | | DEF 14A | | | | 1 | | Grants of Plan-Based Awards in 2022 | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Grants of Plan-Based Awards in 2023 | 1 |
| | | | | | 1 | | Independent Board Chairman | 1 |
| | | | | | 1 | | Independent Registered Public Accounting Firm Fee Information | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Information about our Executive Officers | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Investor Outreach | 2 |
| 5/1/24 | | 10-Q | | | | 1 | | Item 1 | 5 |
| 2/16/24 | | 10-K | | | | 1 | | Item 10 | 1 |
| | | | | | 1 | | Item 11 | 1 |
| | | | | | 1 | | Item 12 | 1 |
| | | | | | 1 | | Item 13 | 1 |
| | | | | | 1 | | Item 14 | 1 |
| | | | | | 1 | | Item 15 | 1 |
| | | | | | 1 | | Item 16 | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Item 1A | 5 |
| 2/16/24 | | 10-K | | | | 1 | | Item 1B | 1 |
| | | | | | 1 | | Item 1C | 1 |
| | | | | | 1 | | Item 1D | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Item 2 | 5 |
| | | | | | 1 | | Item 3 | 5 |
| | | | | | 1 | | Item 4 | 5 |
| 2/16/24 | | 10-K | | | | 1 | | Item 5 | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Item 6 | 5 |
| 2/16/24 | | 10-K | | | | 1 | | Item 7 | 1 |
| | | | | | 1 | | Item 7A | 1 |
| | | | | | 1 | | Item 8 | 1 |
| | | | | | 1 | | Item 9 | 1 |
| | | | | | 1 | | Item 9A | 1 |
| | | | | | 1 | | Item 9B | 1 |
| | | | | | 1 | | Item 9C | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Legal Proceedings | 5 |
| 5/1/23 | | DEF 14A | | | | 1 | | Letter to Shareholders | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Letters to Shareholders | 1 |
| | | | | | 1 | | Lobbying Disclosure | 2 |
| 5/1/24 | | 10-Q | | | | 1 | | Management's Discussion and Analysis of Financial Condition and Results of Operations | 5 |
| 2/16/24 | | 10-K | | | | 1 | | Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Matters Raised at the Annual Meeting Not Included in This Statement | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Mine Safety Disclosures | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Non-Gaap Financial Measures | 2 |
| 6/22/23 | | 11-K | | | | 1 | | Notes to Financial Statements, as of December 31, 2022 and 2021 and for the Year Ended December 31, 2022 | 5 |
| 4/29/24 | | DEF 14A | | | | 1 | | Notice of Annual Meeting of Shareholders | 2 |
| | | | | | 1 | | Other Important Information | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Other Information | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Other Resources | 2 |
| | | | | | 1 | | Our Director Nominees | 2 |
| 5/1/23 | | DEF 14A | | | | 1 | | Outstanding Equity Awards at 2022 Fiscal Year End | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Outstanding Equity Awards at 2023 Fiscal Year End | 1 |
| | | | | | 1 | | Overview of Our Director Nominees | 2 |
| 2/16/24 | | 10-K | | | | 1 | | Part I | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Part I. Financial Information | 4 |
| 2/16/24 | | 10-K | | | | 1 | | Part II | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Part II. Other Information | 4 |
| 2/16/24 | | 10-K | | | | 1 | | Part III | 1 |
| | | | | | 1 | | Part IV | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Pay Versus Performance | 2 |
| | | | | | 1 | | Persons Owning More Than Five Percent of Caterpillar Common Stock | 2 |
| | | | | | 1 | | Political Contributions and Lobbying | 2 |
| | | | | | 1 | | Potential Payments Upon Termination or Change in Control | 2 |
| 6/21/23 | | S-8 | | | | 1 | | Powers of Attorney (contained in the signature page to this Registration Statement) | 1 |
| 2/16/24 | | 10-K | | | | 1 | | Principal Accountant Fees and Services | 1 |
| | | | | | 1 | | Properties | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Proposal 1 -- Election of Directors | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | PROPOSAL 1 Election of Directors | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Proposal 2 -- Ratification of Our Independent Registered Public Accounting Firm | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | PROPOSAL 2 Ratification of our Independent Registered Public Accounting Firm | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Proposal 3 -- Advisory Vote to Approve Executive Compensation | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | PROPOSAL 3 Advisory Vote to Approve Executive Compensation | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Proposal 4 -- Shareholder Proposal -- Independent Board Chairman | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | PROPOSAL 4 Advisory Vote on the Frequency of Executive Compensation Votes | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Proposal 5 -- Shareholder Proposal -- Lobbying Disclosure | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | PROPOSAL 5 Approval of Caterpillar Inc. 2023 Long-Term Incentive Plan | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Proposal 6 -- Shareholder Proposal -- Director Board Service | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | PROPOSAL 6 -- Shareholder Proposal -- Report on Corporate Climate Lobbying in Line with Paris Agreement | 1 |
| | | | | | 1 | | PROPOSAL 7 -- Shareholder Proposal -- Lobbying Disclosure | 1 |
| | | | | | 1 | | PROPOSAL 8 -- Shareholder Proposal -- Report on Activities in Conflict-Affected Areas | 1 |
| | | | | | 1 | | PROPOSAL 9 -- Shareholder Proposal -- Civil Rights, Non-Discrimination and Returns to Merit Audit | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Proxy Summary | 2 |
| 5/1/24 | | 10-Q | | | | 1 | | Quantitative and Qualitative Disclosures About Market Risk | 5 |
| 4/29/24 | | DEF 14A | | | | 1 | | Ratification of Our Independent Registered Public Accounting Firm | 1 |
| | | | | | 1 | | Related Party Transactions | 2 |
| 5/1/23 | | DEF 14A | | | | 1 | | Report on Activities in Conflict-Affected Areas | 1 |
| | | | | | 1 | | Report on Corporate Climate Lobbying in Line with Paris Agreement | 1 |
| 2/16/24 | | 10-K | | | | 1 | | Reserved | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Risk Factors | 5 |
| 6/22/23 | | 11-K | | | | 1 | | Schedule H, Line 4a -- Schedule of Delinquent Participant Contributions, Year Ended December 31, 2022 | 4 |
| 6/22/23 | | 11-K | | | | 1 | | Schedule H, Line 4i -- Schedule of Assets (Held at End of Year) December 31, 2022 | 5 |
| | | | | | 1 | | Schedule of Assets (Held at End of Year) December 31, 2022 | 5 |
| 6/22/23 | | 11-K | | | | 1 | | Schedule of Delinquent Participant Contributions, Year Ended December 31, 2022 | 4 |
| 2/16/24 | | 10-K | | | | 1 | | Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Security Ownership of Executive Officers and Directors | 2 |
| 5/1/23 | | DEF 14A | | | | 1 | | Shareholder Proposal -- Civil Rights, Non-Discrimination and Returns to Merit Audit | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Shareholder Proposal -- Director Board Service | 1 |
| | | | | | 1 | | Shareholder Proposal -- Independent Board Chairman | 1 |
| | | | | | 1 | | Shareholder Proposal -- Lobbying Disclosure | 2 |
| 5/1/23 | | DEF 14A | | | | 1 | | Shareholder Proposal -- Report on Activities in Conflict-Affected Areas | 1 |
| | | | | | 1 | | Shareholder Proposal -- Report on Corporate Climate Lobbying in Line with Paris Agreement | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | Shareholder Proposals | 2 |
| | | | | | 1 | | Shareholder Proposals and Director Nominations for the 2024 Annual Meeting | 2 |
| | | | | | 1 | | Shareholder Voting Matters | 2 |
| 6/22/23 | | 11-K | | | | 1 | | Signatures | 5 |
| | | | | | 1 | | Statement of Changes in Net Assets Available for Benefits, Year Ended December 31, 2022 | 5 |
| | | | | | 1 | | Statements of Net Assets Available for Benefits, December 31, 2022 and 2021 | 5 |
| 11/1/23 | | 10-Q | | | | 1 | | Table of Conte | 1 |
| 5/1/24 | | 10-Q | | | | 1 | | Table of Contents | 5 |
| 5/3/23 | | 10-Q | | | | 1 | | Unregistered Sales of Equity Securities and Use of Proceeds | 1 |
| 2/16/24 | | 10-K | | | | 1 | | Unresolved Staff Comments | 1 |
| | | | | | 1 | | 120 | 1 |
| | | | | | 1 | | 121 | 1 |
| | | | | | 1 | | 122 | 1 |
| | | | | | 1 | | 123 | 1 |
| | | | | | 1 | | 127 | 1 |
| 5/1/23 | | DEF 14A | | | | 1 | | 2022 | 1 |
| | | | | | 1 | | 2022 All Other Compensation Table | 1 |
| | | | | | 1 | | 2022 Nonqualified Deferred Compensation | 1 |
| | | | | | 1 | | 2022 Option Exercises and Stock Vested | 1 |
| | | | | | 1 | | 2022 Pension Benefits | 1 |
| | | | | | 1 | | 2022 Performance Highlights | 1 |
| | | | | | 1 | | 2022 Summary Compensation Table | 1 |
| 4/29/24 | | DEF 14A | | | | 1 | | 2023 | 1 |
| | | | | | 1 | | 2023 All Other Compensation Table | 1 |
| | | | | | 1 | | 2023 Nonqualified Deferred Compensation | 1 |
| | | | | | 1 | | 2023 Option Exercises and Stock Vested | 1 |
| | | | | | 1 | | 2023 Pension Benefits | 1 |
| | | | | | 1 | | 2023 Performance Highlights | 1 |
| | | | | | 1 | | 2023 Summary Compensation Table | 1 |
| 6/21/23 | | S-8 | | | | 1 | | 24.1 | 1 |
