GRI INDEX GENERAL DISCLOSURES DISCLOSURE DISCLOSURE TITLE RESPONSE NUMBER GRI 102: GENERAL DISCLOSURES ORGANIZATIONAL PROFILE 102-1 Name of the organization Caterpillar Inc. 102-2 Activities, brands, products, and services 2021 Form 10-K, pgs. 1-9 102-3 Location of headquarters Deerfield, Illinois, USA 102-4 Location of operations 2021 Form 10-K, pgs. 21-23 102-5 Ownership and legal form Caterpillar is a publicly held corporation incorporated in the state of Delaware. Our shares trade on the New York Stock Exchange under the trading symbol CAT. 102-6 Markets served 2021 Form 10-K, pgs. 1-7 102-7 Scale of the organization 2021 Form 10-K, pgs. 8, 63 102-8 Information on employees and other workers Reporting > ESG Data 102-9 Supply chain 2021 Form 10-K, pg. 6 Material Procurement 102-10 Significant changes to the organization and its supply chain None 102-11 Precautionary Principle or approach Caterpillar regularly identifies and manages business risks through a robust internal management system. See also Corporate Governance > Risk Management Caterpillar Inc., our subsidiaries and the Caterpillar Foundation work with diverse 102-12 External initiatives organizations in order to advance economic, environmental and social issues and share best practices across industries. See GRI 102-13 for a list of affiliations. Caterpillar is affiliated with a number of organizations. The most recent list of U.S. trade 102-13 Membership of associations associations to which Caterpillar has contributed $50,000 per year or more, updated on a semiannual basis, can be found here. STRATEGY 102-14 Statement from senior decision-maker Executive Summary > Chairman and CEO Letter ETHICS AND INTEGRITY 102-16 Values, principles, standards, and norms of behavior Corporate Governance > Ethics & Compliance Caterpillar.com > Company > Governance 62CATERPILLAR 2021 SUSTAINABILITY REPORT