First Amendment to the Caterpillar Inc. Supplemental Retirement Plan, effective January 1, 202

Caterpillar Inc. (the “Company”) sponsors the Caterpillar Inc. Supplemental Retirement Plan (the “Plan”). The Plan was most recently amended and restated effective January 1, 2020 by a document dated December 16, 2020. Pursuant to Section 7.1 of the Plan, the Company has reserved the right to amend the Plan, in whole or in part, at any time. By this instrument, the Company amends the Plan to reflect overpayment recovery changes.

    1.    This First Amendment shall be effective as of January 1, 2022.

    2.    Section 8.10 of the Plan is amended in its entirety to read as follows:

“8.10    Overpayments. If it is determined that the benefits under the Plan should not have been paid or should have been paid in a lesser amount, the Plan has the right at any time to, as elected by the Plan Administrator: (i) recover the overpayment from the recipient to whom it was made; (ii) offset the amount of that overpayment from a future payment to the recipient; or (iii) a combination of (i) and (ii). The Plan Administrator or the Company may also take all actions permissible under law and applicable guidance to recover for the Plan the amount of the overpayment.”

    3.    This First Amendment amends only the provisions of the Plan as noted herein, and those provisions not expressly amended shall be considered in full force and effect. Notwithstanding the foregoing, this First Amendment shall supersede the provisions of the Plan to the extent those provisions are inconsistent with the provisions and the intent of this First Amendment.

IN WITNESS WHEREOF, the Company has caused this First Amendment to be executed by its duly authorized representative as of December 15, 2021.