CORPORATE GOVERNANCE ETHICS & COMPLIANCE Caterpillar operates according to Our Values in Action — Caterpillar’s Code of Conduct. The Code defines our values — Integrity, Excellence, Teamwork, Commitment and ETHICS & COMPLIANCE HELPLINE Sustainability — which represent what we We hold ourselves to the highest standard stand for and how we conduct ourselves of integrity and ethical behavior. We promote with our customers, suppliers, communities and respect the rule of law and expect our and one another. employees and suppliers to do the same. We It guides our employees, affiliates and encourage individuals to report situations in board members in living our Values each which they have a good-faith belief that any day. Among the topics covered are avoiding circumstance or action has violated our Code conflicts of interest, fair competition, of Conduct, enterprise policy or applicable anti-bribery, trade compliance, employee law. Those who wish to report a concern can performance and development, non- do so confidentially and anonymously through harassment, non-discrimination, personal resources maintained by our Office of Business privacy, supplier expectations and Practices. These resources include: environmental responsibility. • Online reporting All Caterpillar employees are annually • Email reporting at required to complete Code of Conduct [email protected] training. As part of this training, employees • Telephone reporting with toll-free and must certify that they have read, understand call-collect dialing options that support and agree to comply with the Code of reporting in multiple languages and from Conduct. Additional compliance training is multiple countries also provided to employees based on risk Caterpillar will not take any action — or identified in their job roles. tolerate any reprisal — against any party for raising an issue in good faith. Learn more about our governance framework, corporate governance initiatives and board composition: • 2022 Caterpillar Proxy Statement • Board Committees • Caterpillar Code of Conduct 13CATERPILLAR 2021 SUSTAINABILITY REPORT