144 0001552649 XXXXXXXX LIVE 0000018230 CATERPILLAR INC 001-00768 5205 N. O'CONNOR BOULEVARD SUITE 100 IRVING TX 75039 9728917700 Johnson Cheryl H Officer COMMON ETRADE FINANCIAL CORPORATION

3 EDISON DRIVE ALPHARETTA GA 30005

18294 5232084.00 510100000 08/09/2023 NYSE COMMON 08/09/2023 STOCK OPTION EXERCISE ISSUER N 18294 08/09/2023 COMPENSATION N CHERYL JOHNSON

5205 N. O'CONNOR BLVD. SUITE 100 IRVING TX 75039

STOCK OPTION EXERCISE 07/18/2023 6415 1667900.00 08/09/2023 /s/ Cheryl H. Johnson