Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently owned and operated dealers and OEMs to meet the demands of their customers, the end users. Caterpillar believes that this supplemental information may help readers better understand Caterpillar’s business and the industries it serves, particularly in light of the time delay between Caterpillar’s sales to dealers and dealers’ sales to end users.

In this report we are providing information by geographic region for retail sales of machines in each of our Resource Industries and Construction Industries reportable segments, as well as information regarding total retail sales of our machines globally. For our Energy & Transportation reportable segment, we are providing retail sales information by major end use.

The information presented in this report is primarily based on unaudited reports that are voluntarily provided to Caterpillar by its independent dealers and which are not subject to Caterpillar’s internal controls over financial reporting. Accordingly, the data collected from such third parties may not be accurate and/or complete. As such, the information presented in this report is intended solely to convey an approximate indication of the trends, direction and magnitude of retail sales and is not intended to be an estimate, approximation or prediction of, or substitute for, Caterpillar’s audited financial statements filed with the U.S. Securities and Exchange Commission. This information is furnished under this report with the U.S. Securities and Exchange Commission. Caterpillar does not undertake to update or adjust prior period information.

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Investor FAQs

Share Ownership/Dividends/Transfer agent

Where are Caterpillar shares traded?

Caterpillar common stock is listed on the New York (NYSE: CAT) stock exchange in the United States, and on stock exchanges in France and Switzerland. Click here for more information about stock trading history.

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

Existing shareholders and non-shareholders may request direct stock purchase program materials from our transfer agent. Non-shareholders may request

Caterpillar direct stock purchase program materials using the following transfer agent contact information:

Mail:
Computershare
P.O. Box 505000
Louisville KY 40233

Phone for existing shareholders:
866-203-6622 (Within U.S. and Canada)
201-680-6578 (Outside U.S. and Canada)
800-231-5469 (Hearing Impaired - Within U.S. and Canada)
781-575-4592 (Hearing Impaired - Outside U.S. and Canada)

On-line Materials:
www.caterpillar.com/en/investors/shareholder-services/direct-stock-purchase.html or

www.computershare.com

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How can I hold shares of Caterpillar stock?

Registered shares appear on the share register of outstanding shares of Caterpillar Inc. kept by our stock transfer agent, Computershare. The share register is used to determine shareholders of record as of a specific date, such as in connection with payment of dividends and eligibility to vote at a meeting of shareholders. Registered shares may be held in certificate form or in book-entry form through the Direct Registration System. Our registered shareholder group includes individuals, corporations, trusts, banks, and brokers/nominees that hold shares for the benefit of others. The company has access to the registered share records through our transfer agent. Dividends on these shares are paid to the holder of record directly by Computershare.

Street shares are shares held in the name of a broker or nominee for the benefit of someone else. Recordkeeping for the beneficial owners of these street shares are the responsibility of the broker/ nominee and do not appear on the registered records of the company. Dividends on street shares are paid to the broker/nominee listed as the registered holder of the shares. The broker/nominee then distributes dividends to the beneficial owners. Most company benefit plan shares are street shares held by Northern Trust as trustee/custodian under the plans.

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Who can answer questions about my share ownership?

If you hold Registered Shares, direct questions about the following matters to our transfer agent.

  • your account information
  • name and/or address changes
  • stock certificates, including issuance, transfer or replacement of a lost certificate
  • dividends (including tax reporting of dividend income)
  • determine tax basis for shares
  • participation in the direct stock purchase plan administered by Computershare for Caterpillar

Stock Transfer Agent
-Contacts for Existing Registered Shareholders

Mail:
Computershare
P.O. Box 505000
Louisville KY 40233

Registered or Overnight Delivery:
Computershare
462 South 4th Street, Suite 1600
Louisville KY 40202

Phone:
866-203-6622 (Within U.S. or Canada)
201-680-6578 (Outside U.S. and Canada)

800-231-5469 (Hearing Impaired - Within U.S. and Canada)
781-575-4592 (Hearing Impaired- Outside U.S. and Canada)

Internet:
www.computershare.com or

www.caterpillar.com/en/investors/shareholder-services/direct-stock-purchase

If you hold Street Shares; (through a broker/nominee), questions about your account information and options available should be directed to your broker.

If you hold shares through a U.S. company benefit plan, questions about your shares and account information should be directed to 1-877-CAT-4010; or log on to http://resources.hewitt.com/cat.

If you hold shares through a non-U.S. company benefit plan, questions about your shares should be directed to your local plan administrator.

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Can I access my shareholder account information online?

Registered shareholders can access account information at www.computershare.com

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Does the company pay dividends?

The Board of Directors of the company considers dividend action quarterly at meetings held typically in April, June, October and December. Click here for more information about cash dividends paid by the company.

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

Yes. Registered shareholders; can sign up for dividend reinvestment and for direct deposit of dividends by contacting our transfer agent.

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Shareholder Meetings/Voting

When is the shareholder meeting held?

The annual meeting of shareholders of Caterpillar Inc. is held the second Wednesday in June. Specific details about the time, location and agenda are included in the Notice & Proxy distributed to shareholders at the beginning of May

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Does the company offer electronic delivery of proxy materials?

Registered shareholders can visit www.proxyvotenow.com/cat during the proxy season (approx. May 1 - June annual meeting) to sign up to receive future annual report and proxy materials electronically, vote shares on-line, or to update email address information.

Active U.S. company benefit plan participants with external Caterpillar email access will automatically receive the annual report and proxy materials electronically via email. Other benefit plan participants will receive materials electronically whenever possible or by mail.

Street shareholders should contact their broker/nominee to request electronic delivery of the annual report and proxy materials or to update their email address.

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Can my shares be voted by telephone or the Internet?

For registered shareholders instructions for telephone and Internet voting and the control number necessary to vote are printed on the proxy card each year. For shareholders receiving their proxy materials electronically, the control number and Internet voting link is included in an email communication sent each year. Votes made by telephone or Internet authorize the named proxies to vote your shares in the same manner as if you had executed a proxy card.

Company benefit plan participants will receive:

  • an email communication which includes the control number and Internet voting link necessary to vote or
  • a voting instruction card with instructions and control number for telephone and Internet voting and mailing instructions for situations where electronic voting is not available

Street shareholders should contact their broker/nominee to request electronic delivery of the annual report and proxy materials.

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How does the company solicit votes?

For each annual meeting of shareholders, Caterpillar solicits votes on behalf of its board of directors. The initial solicitation is made primarily by mail or email. The company may elect to prepare and send reminder mailings to accounts with unvoted shares. In some cases individuals that have already submitted their vote may receive a reminder card. This is usually because the proxy has not yet been received or is not yet processed by the tabulator. In addition to reminder mailings, solicitation may be made by telephone or in person by Caterpillar or by Innisfree M&A Incorporated, the outside proxy solicitation firm retained by the company.

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Who sends out my proxy materials?

Proxy materials are distributed to registered shareholders and company benefit plan participants by Caterpillar. For street shares, Caterpillar provides each broker/nominee with the quantity of proxy materials they request and it is then the responsibility of the broker/nominee to arrange for distribution of materials to the beneficial owners.

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How do I know which shares I am voting?

For registered shares the name and address of the owner (as shown on the share register) is printed on the proxy/voting instruction card. For benefit plan shares the name and address of the participant (as it appears on the company or plan records) is printed on the proxy/voting instruction card. Personalized share information cannot be printed on the card.

Click here to see a sample of the proxy/voting instruction card used for registered and plan shareholders.

For street shares Caterpillar provides each broker/nominee with the quantity of proxy materials they request and it is then the responsibility of the broker/nominee to arrange for distribution of materials to the beneficial owners. Any problems with or questions about delivery of proxy materials or voting street shares should be directed to your broker.

Click here to see a sample of the voting instruction form used for most street shareholders.

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Why do I receive multiple copies of proxy materials?

Whenever possible, registered shares and plan shares for multiple accounts with the same registration will be combined into the same card. Shares with different registrations cannot be combined and as a result, the shareholder may receive more than one proxy card. For example, registered shares held individually by John Smith will not be combined on the same proxy card as registered shares held jointly by John Smith and his wife.

Street shares are not combined with registered or plan shares and may result in the shareholder receiving more that one proxy card. For example, street shares held by a broker for John Smith will not be combined with registered shares for John Smith.

If you hold shares in more than one account, you must vote each proxy and/or voting instruction card you receive to ensure that all shares you own are voted.

If you receive more than one card for accounts that you believe could be combined because the registration is the same, contact our transfer agent (for registered shares) or your broker (for street shares) to request that the accounts be combined for future mailings.

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