Table of Contents Shareholder Recommendation of Board Nominees Compliance with Section 16(a) of the Exchange Act Code of Ethics Item 11.Executive Compensation. Item 12.Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters. Information required by this Item is incorporated by reference from the 2021 Proxy Statement. If applicable, information required by this Item relating to compliance with Section 16(a) of the Exchange Act is incorporated by reference from the 2021 Proxy Statement. Our Worldwide Code of Conduct (Code), first published in 1974 and most recently updated in 2019, sets a high standard for honesty and ethical behavior by every director and employee, including the principal executive officer, principal financial officer and principal accounting officer. The Code is posted on our website at www.Caterpillar.com/code. To obtain a copy of the Code at no charge, submit a written request to the Corporate Secretary at 510 Lake Cook Road, Suite 100, Deerfield, IL 60015-4971. We post on our website at www.Caterpillar.com/code any required amendments to or waivers granted under our Code pursuant to SEC or New York Stock Exchange disclosure rules. Information required by this Item is incorporated by reference from the 2021 Proxy Statement.  Information required by this Item relating to security ownership of certain beneficial owners and management is incorporated by reference from the 2021 Proxy Statement. Information required by this Item relating to securities authorized for issuance under equity compensation plans is included in the following table: (as of December 31, 2020) Plan category (a) Number of securities to be issued upon exercise of outstanding options, warrants and rights (b) Weighted- average exercise price of outstanding options, warrants and rights (c) Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) Equity compensation plans approved by security holders 13,006,391  $ 109.60  36,488,284 Equity compensation plans not approved by security holders N/A N/A N/A Total 13,006,391  $ 109.60  36,488,284 Equity Compensation Plan Information Item 13.Certain Relationships and Related Transactions, and Director Independence. Item 14.Principal Accountant Fees and Services. Information required by this Item is incorporated by reference from the 2021 Proxy Statement. Information required by this Item is incorporated by reference from the 2021 Proxy Statement. 143