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Item 6. Exhibits

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Item 6. Exhibits

10.1Form of Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan*
10.2Form of Restricted Stock Unit Award for Directors pursuant to the 2023 Long-Term Incentive Plan*
10.3Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan*
10.4Form of Performance-Based Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan*
10.5Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan (China Payroll Addendum)*
10.6Caterpillar Inc. 2023 Long-Term Incentive Plan (incorporated by reference from Exhibit 10.1 to the Company's Current Report on Form 8-K filed June 20, 2023)*
31.1Certification of Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2Certification of Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32Certification 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.INSInline 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.SCHInline XBRL Taxonomy Extension Schema Document
101.CALInline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEFInline XBRL Taxonomy Extension Definition Linkbase Document
101.LABInline XBRL Taxonomy Extension Label Linkbase Document
101.PREInline XBRL Taxonomy Extension Presentation Linkbase Document
104Cover 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.
August 2, 2023/s/ D. James Umpleby IIIChairman of the Board and Chief Executive Officer
D. James Umpleby III
August 2, 2023/s/ Andrew R.J. BonfieldChief Financial Officer
Andrew R.J. Bonfield
August 2, 2023/s/ Derek OwensSenior Vice President and General Counsel
Derek Owens
August 2, 2023/s/ William E. SchauppVice President and Chief Accounting Officer
William E. Schaupp

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