Item 6. Exhibits Copy as markdown 10.1 Fourth Amendment to the Caterpillar Inc. 2006 Long-Term Incentive Plan *10.2 First Amendment to the Caterpillar Inc. 2014 Long-Term Incentive Plan *10.3 Second Amendment to the Caterpillar Inc. Supplemental Retirement Plan *10.4 Fourth Amendment to the Caterpillar Inc. Supplemental Employees' Investment Plan *10.5 Second Amendment to the Caterpillar Inc. Directors' Deferred Compensation Plan *10.6 Fourth Amendment to the Caterpillar Inc. Deferred Employees' Investment Plan *10.7 Fifth Amendment to the Caterpillar Inc. Supplement Deferred Compensation Plan *10.8 364-Day Credit Agreement dated September 1, 2022 (incorporated by reference f r o m Exhibit 10. 1 to the Company's Current Report on Form 8-K filed September 6, 2022 ) 10.9 Local Currency Addendum to the 364-Day Credit Agreement dated September 1, 2022 (incorporated by reference from Exhibit 10. 2 to the Company's Current Report on Form 8-K filed September 6, 2022) 10.10 Japan Local Currency Addendum to the 364-Day Credit Agreement dated September 1, 2022 (incorporated by reference from Exhibit 10.3 to the Company's Current Report on Form 8-K filed September 6, 2022) 10.11 Third Amended and Restated Credit Agreement (Three-Year Facility) dated September 1, 2022 (incorporated by reference from Exhibit 10.4 t o the Company's Current Report on Form 8-K filed September 6, 2022) 10.12 Local Currency Addendum to the Third Amended and Restated Credit Agreement (Three-Year Facility) dated September 1, 2022 (incorporated by reference from Exhibit 10.5 to the Company's Current Report on Form 8-K filed September 6, 2022) 10.13 Japan Local Currency Addendum to the Third Amended and Restated Credit Agreement (Three-Year Facility) dated September 1, 2022 (incorporated by reference from Exhibit 10.6 to the Company's Current Report on Form 8-K filed September 6, 2022) 10.14 Third Amended and Restated Credit Agreement (Five-Year Facility) dated September 1, 2022 (incorporated by reference from Exhibit 10.7 to the Company's Current Report on Form 8-K filed September 6, 2022) 10.15 Local Currency Addendum to the Third Amended and Restated Credit Agreement (Five-Year Facility) dated September 1, 2022 (incorporated by reference from Exhibit 10.8 to the Company's Current Report on Form 8-K filed September 6, 2022) 10.16 Japan Local Currency Addendum to the Third Amended and Restated Credit Agreement (Five-Year Facility) dated September 1, 2022 (incorporated by reference from Exhibit 10.9 to the Company's Current Report on Form 8-K filed September 6, 2022) 31.1 Certification of Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2 Certification of Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32 Certification of Chief Executive Officer of Caterpillar Inc. and Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 101.INS Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) 101.SCH Inline XBRL Taxonomy Extension Schema Document 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive File (embedded within the Inline XBRL document and included in Exhibit 101)
*Management contracts and compensatory plans and arrangements required to be filed as exhibits pursuant to Item 6 of this report.
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. 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.
SIGNATURES
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. November 2, 2022 /s/ D. James Umpleby III Chairman of the Board and Chief Executive Officer D. James Umpleby III November 2, 2022 /s/ Andrew R.J. Bonfield Chief Financial Officer Andrew R.J. Bonfield November 2, 2022 /s/ Suzette M. Long Chief Legal Officer and General Counsel Suzette M. Long November 2, 2022 /s/ William E. Schaupp Vice President and Chief Accounting Officer William E. Schaupp
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