Where are Caterpillar shares traded?

Caterpillar common stock (NYSE: CAT) is traded on the New York Stock Exchange in the United States, as well as on stock exchanges in France and Switzerland. For more details on Caterpillar’s stock trading history and performance, visit our investor relations page.

Can I buy or sell stock directly without going through a broker?

Caterpillar offers a direct stock purchase program for both existing shareholders and new investors. If you wish to buy or sell Caterpillar stock without using a broker, you can request program materials through our transfer agent.

How can I hold shares of Caterpillar stock?

Caterpillar shares can be held in two primary ways:

• Registered Shares: These shares are listed in the official share register maintained by our stock transfer agent, Computershare. Registered shareholders may hold shares in certificate form or book-entry form through the Direct Registration System. This group includes individuals, corporations, trusts, banks, and brokers/nominees holding shares on behalf of others. Dividends for registered shares are paid directly by Computershare.

• Street Shares: These shares are held in the name of a broker or nominee on behalf of an investor. The broker or nominee manages recordkeeping and dividend distribution for the beneficial owner. Most Caterpillar benefit plan shares are classified as street shares and are held by Northern Trust as trustee/custodian.

For further details or to manage your Caterpillar stock holdings, please contact our transfer agent, Computershare.

Who can answer questions about my share ownership?

If you hold Registered Shares, you can direct any questions regarding your share ownership to our transfer agent, Computershare. They can assist with:

• Account information and updates

• Name and/or address changes

• Stock certificate issuance, transfer, or replacement

• Dividend payments and tax reporting

• Determining the tax basis for your shares

• Participation in Caterpillar’s direct stock purchase plan

For assistance, please contact Computershare, our official transfer agent.

Does the company pay dividends?

Yes, Caterpillar pays dividends. The Board of Directors reviews and considers dividend payments quarterly, typically during meetings in April, June, October, and December.

Does the company offer dividend reinvestment and direct deposit of dividends?

Yes, Caterpillar offers both dividend reinvestment and direct deposit options for registered shareholders. To enroll in these programs, please contact our transfer agent, Computershare, for assistance.