GENERAL DISCLOSURES DISCLOSURE DISCLOSURE TITLE RESPONSE NUMBER GOVERNANCE 102-18 Governance structure 2022 Proxy, pg. 10 STAKEHOLDER ENGAGEMENT 102-40 List of stakeholder groups Our stakeholders include customers, employees, shareholders, dealers, suppliers, nongovernmental organizations and trade organizations. 102-41 Collective bargaining agreements Reporting > ESG Data 102-42 Identifying and selecting stakeholders Reporting > Prioritization and Management of ESG Issues 102-43 Approach to stakeholder engagement Reporting > Prioritization and Management of ESG Issues 102-44 Key topics and concerns raised Reporting > Prioritization and Management of ESG Issues REPORTING PRACTICE 102-45 Entities included in the consolidated financial statements 2021 Form 10-K, Exhibit 21 102-46 Defining report content and topic Boundaries Reporting > Prioritization and Management of ESG Issues 102-47 List of material topics Reporting > Prioritization and Management of ESG Issues 102-48 Restatements of information Any restatements are footnoted as applicable throughout the report. 102-49 Changes in reporting Reporting > Prioritization and Management of ESG Issues 102-50 Reporting period The reporting period is the 2021 calendar year, which is also Caterpillar’s fiscal year. 102-51 Date of most recent report Caterpillar's 2020 Sustainability Report was released in 2021. 102-52 Reporting cycle Annual 102-53 Contact point for questions regarding the report https://www.caterpillar.com/en/contact.html 102-54 Claims of reporting in accordance with the GRI Standards This report has been prepared in accordance with Global Reporting Initiative (GRI) Standards: Core option. 102-55 GRI content index Reporting > GRI Index 102-56 External assurance Reporting > About this Report GRI 300: ENVIRONMENTAL GRI 301: MATERIALS 103-1 Explanation of the material topic and its Boundary Reporting > Prioritization and Management of ESG Issues Material Procurement, Remanufacturing 103-2 The management approach and its components Executive Summary > Goals and Progress Material Procurement, Remanufacturing 103-3 Evaluation of the management approach Material Procurement, Remanufacturing 301-3 Reclaimed products and their packaging materials Reporting > ESG Data 63CATERPILLAR 2021 SUSTAINABILITY REPORT