EXHIBIT 1.01
CATERPILLAR INC.
Conflict Minerals Report
For The Year Ended December 31, 2015
Section 1: Introduction and Company Overview
This Conflict Minerals Report (“CMR”) of Caterpillar Inc. (herein referred to as “Caterpillar,” “we,” or “our”) is being filed inaccordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for calendar year 2015. Unless otherwise
defined herein, terms used in this CMR are as defined in Rule 13p-1 and Form SD. References to internet websites herein areprovided only as required by Rule 13p-1 and information available through these websites is not incorporated by reference into
this Form SD. Statements in this CMR are based on our due diligence activities performed to date in good faith and are based on
information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are notlimited to, incomplete supplier data, lack of available smelter and refiner data and errors or omissions by suppliers or smelters.
With 2015 sales and revenues of $47.011 billion, Caterpillar is the world’s leading manufacturer of construction and mining
equipment, diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. We principally operate
through our three product segments - Construction Industries, Resource Industries and Energy and Transportation - and also
provide financing and related services through our Financial Products segment. We are also a leading U.S. exporter. Through aglobal network of independent dealers and direct sales of certain products, we build long-term relationships with customers
around the world.
We manufacture and contract to manufacture products that contain tin, tantalum, tungsten and gold (“3TG”) which is necessary
to the functionality and/or production of such products (the “3TG Products”). For example, tin, tantalum, tungsten and gold areeach contained respectively in weld wire, capacitors, lamps and electrical connection coatings, each of which are components inmany of our 3TG Products. Our 3TG Products are listed on Schedule A attached hereto. We have relationships with a vast
network of suppliers worldwide and we rely on our suppliers to provide information on the origin of the 3TG contained in thecomponents and materials supplied to us. As a downstream purchaser, Caterpillar, in most instances, is many steps removed
from the smelters and refiners in our supply chain. To the best of our knowledge, Caterpillar does not purchase 3TG directly fromthe Democratic Republic of the Congo or in any adjoining country (collectively, the “Covered Countries”). Because ofCaterpillar’s size, the complexity of our products and the depth, breadth and constant evolution of our supply chain, it is difficult
to identify suppliers upstream from our direct suppliers. Accordingly, we participate in an industry-wide initiative described inSection 4 below. Caterpillar is also an active participant in multiple industry associations that focus on increasing awareness forresponsible sourcing of conflict minerals and developing related resources that benefit the entire supply chain.

1Section 2: Reasonable Country of Origin Inquiry
Caterpillar’s method for determining the country of origin of 3TG contained in our 3TG Products is to conduct a supply-chain
survey with direct suppliers using the template developed by the Conflict Free Sourcing Initiative (“CFSI”) known as the Conflict
Minerals Reporting Template (the “CMRT”). The CMRT was developed to facilitate disclosure and communication of information
regarding smelters and refiners that provide materials to a manufacturer’s supply chain. The CMRT includes questions
regarding a direct supplier’s conflict-free policy, its due diligence process and information about its supply chain, including thenames and locations of smelters and refiners as well as the country of origin of 3TG used by those facilities.
We surveyed approximately 99% of our suppliers known or suspected to provide components and materials for our 3TG
Products (“Impacted Suppliers”), which resulted in 34,359 inquiries. Some Impacted Suppliers received multiple inquiries. While
we requested that all Impacted Suppliers respond to the survey, we targeted “high-priority” suppliers representing the top 80% of
our expenditures for components and materials known or suspected to include 3TG. We have an internal escalation process forfollowing up with unresponsive suppliers to increase the response rate with an emphasis on high-priority suppliers. For 2015, we
received responses from approximately 96% of these high-priority suppliers equaling 1,259 total responses. Based on theseresults, we have a reason to believe that some of the 3TG in our supply chain may have originated in the Covered Countries andalso have reason to believe that such 3TG may not be from recycled or scrap sources.
Section 3: Design of Due Diligence Framework
In accordance with Rule 13p-1, we undertook due diligence efforts on the source and chain of custody of 3TG in our supply
chain. Rule 13p-1 requires that a registrant’s due diligence follow a nationally or internationally recognized due diligenceframework. Presently, the only nationally or internationally recognized due diligence framework available is the Organisation for
Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas and related Supplements for each of the conflict minerals (the “OECD Guidance”). The
OECD Guidance is a framework for risk-based due diligence for responsible supply chains of conflict minerals fromconflict-affected and high-risk areas that is described in the following five-steps: 1) establish strong company managementsystems; 2) identify and assess risk in the supply chain; 3) design and implement a strategy to respond to identified risks; 4)
carry out an independent third-party audit of supply chain due diligence at identified points in the supply chain; and 5) report on
supply chain due diligence.
Caterpillar designed its due diligence measures to be in conformity, in all material respects, with the OECD Guidance.

2Section 4: Due Diligence Measures Performed
This Section 4 describes measures performed by us to exercise due diligence on the source and chain of custody of 3TG
contained in our 3TG Products.
Establish Strong Management Systems
Conflict Minerals Position Statement
Caterpillar has posted on our website a position statement on conflict minerals which states our commitment to the responsible
sourcing of conflict minerals used in our products and that we will not knowingly provide support to, contribute to, assist with, orfacilitate armed conflict in the Covered Countries. Our conflict minerals position statement encourages suppliers to procurematerials through conflict free sources and clarifies that we do not want to prevent suppliers from sourcing from legitimate mines
located within the Covered Countries as doing so could be detrimental to the local economies and populations. A copy of ourconflict minerals position statement is publicly available at
http://www.caterpillar.com/en/company/sustainability/conflict-minerals.html.
Systems of Controls and Transparency
We rely on our suppliers to provide information on the origin of the 3TG contained in the components and materials supplied tous. Caterpillar is a member of the CFSI (Member ID: CATE), an initiative of the Electronics Industry Citizenship Coalition and theGlobal e-Sustainability Initiative developed to identify and disclose upstream actors in the supply chain, including 3TG smelters
and refiners, to determine red flag locations of 3TG origin in the supply chain. CFSI program initiatives include the Conflict-Free
Smelter Program (“CFSP”) which identifies smelters and refiners that process materials from conflict-free sources, and theCMRT which is a free, standardized reporting template that facilitates the transfer of information through the supply chain
regarding the country of origin of 3TG and smelters and refiners being utilized. We sent letters to smelters and refiners not
currently participating in the CFSP where the CFSI had physical mailing addresses for such smelters and refiners, to encouragethem to participate in the CFSP. We also sent a letter to smelters and refiners identified by our suppliers in response to oursupply-chain survey that were validated as conflict-free under the CFSP as of December 31, 2015 thanking them for their
participation in the CFSP.
We have a document retention policy that includes records relating to our conflict minerals compliance program.
Internal Management Systems
We established a management system to manage our conflict minerals compliance program by designating a group ofcross-functional senior leaders to be responsible for the oversight of our conflict minerals compliance program, which includes
executive-level representatives. In addition, a project team with senior-level managers was responsible for the development anddeployment of our conflict minerals compliance program. The project team included senior-level managers from internal
3divisions that include Product Development & Global Technology, Global Supply Network and Legal Services.
Supplier Engagement
As stated in our conflict minerals position statement, our strategy is to establish long-term relationships and collaborate with oursuppliers. To communicate our expectations relating to responsible sourcing of conflict minerals, Caterpillar posted on ourwebsite our position statement on conflict minerals referenced above. We developed and made available a web-based training
presentation to suppliers on topics including the requirements of Rule 13p-1, Caterpillar’s obligations under Rule 13p-1 andinstructions for responding to the CMRT. The language in our standard purchase order terms and conditions requires oursuppliers to provide us with supporting information and documentation evidencing due diligence of 3TG in their respective
supply chains upon our request for such information.
Company Level Grievance Mechanism
Caterpillar’s Worldwide Code of Conduct is called “Our Values in Action.” Our Values in Action articulates our long-standing
support for, and commitment to, human rights and the dignity of all people. We conduct annual assessments that provide
awareness of and apply the principles contained in Our Values in Action. Our Values in Action requires employees to report any
circumstance or action that violates, or appears to violate, Our Values in Action, enterprise policy or applicable law, and we
maintain methods for employees and other interested parties to confidentially report such circumstances or actions.
Identify and Assess Risks in the Supply Chain
Our method for determining the country of origin of 3TG contained in our 3TG Products was to conduct a supply-chain survey
with Impacted Suppliers using the CMRT.
We reviewed Impacted Supplier responses against criteria developed by our internal team to determine whether furtherengagement was necessary. Smelters and refiners identified by a supplier in response to our supply-chain survey are alsocompared against the list of facilities that have received a compliant or active designation by the CFSP which provides country oforigin and due diligence information on the conflict minerals sources by such facilities. As part of our efforts to track andinvestigate facilities in our supply chain that many be sourcing 3TG from the Covered Countries, we provided to the CFSI forinvestigation a list of smelters and refiners identified in supplier responses to our supply-chain survey that were unknown to theCFSP.
Design and Implement a Strategy to Respond to Identified Risks
We have a supply chain risk management plan that outlines our response to risks identified in our supply chain. Members of oursenior management are apprised of the status of our conflict minerals compliance program, which includes actual and potential
risks and red flags identified in our supply chain. The executive officer signing this Form SD is briefed on our conflict minerals
compliance program, including our supply-chain survey, the design of our due diligence framework, the due diligence measures4

we performed and the corresponding results.
As part of our risk management plan and to assist our Impacted Suppliers in understanding our expectations, we request ourImpacted Suppliers that do not respond to the supply-chain survey referenced above or that provide incomplete or inconsistent
responses to the survey to complete a training program. We have established a risk mitigation plan that identifies areas of risk on
an ongoing basis and corrective action plans to mitigate or remediate such risks. A supplier’s failure to take corrective actions
when required may lead to additional actions, up to and including the termination of our business relationship.
Carry Out Independent Third Party Audit of Smelter/Refiner’s Due Diligence Practices
We support audits of 3TG smelters and refiners through our participation in, and financial support of, the CFSP. We do not
perform direct audits of these entities within our supply network.
Report Annually on Supply Chain Due Diligence
We are filing this CMR with the Securities and Exchange Commission, which is also publicly available on our website at
http://www.caterpillar.com//en/company/sustainability/conflict-minerals/CMR.html.
Section 5: Due Diligence Results
We rely on our suppliers to provide information on the origin of 3TG contained in the components and materials supplied to us.
These suppliers are similarly reliant upon information provided by their suppliers. The responses we received from Impacted
Suppliers in the supply-chain survey collectively identified 307 unique facilities identified by the Conflict-Free Smelter Program ofwhich 204 or approximately 66% were validated as conflict-free under the Conflict-Free Smelter Program as of December 31,
2015.
Based on the information provided by Impacted Suppliers in the supply-chain survey and the due diligence measures describedabove, we have reason to believe that one supplier sourced tin for use in parts and components supplied to Caterpillar from thesmelters listed on Schedule B attached hereto. Furthermore, based on the information obtained as a result of the due diligencemeasures described above, we reasonably determined that the tin processed by these smelters may be from the countries oforigin listed on Schedule C attached hereto. However, each of these smelters was validated as conflict-free under the CFSP.
With regard to the other responses to our supply-chain survey that identified specific smelters or refiners, to the extent they werevalid smelters and refiners, we cannot be certain that the identified smelters and refiners supplied 3TG for parts and components
supplied to Caterpillar rather than to other customers. For this reason, with the exception of the tin supplier noted above, wehave been unable to identify with confidence the specific facilities used to process the 3TG in our 3TG Products, the country oforigin or the mine or location of origin of the 3TG in our 3TG Products.

5Section 6: Efforts to Determine the Mine or Location of Origin
Caterpillar’s efforts to determine the mines or locations of origin of the 3TG in our supply chain include providing financial andin-kind support to the CFSI, continued implementation of the due diligence measures described above including conducting
surveys of our Impacted Suppliers utilizing the CMRT.
Section 7: Steps to be Taken to Mitigate Risk
Caterpillar intends to take the following steps to improve the due diligence conducted to further mitigate the risk that thenecessary conflict minerals contained in our products benefit armed groups in the Covered Countries, including:•Continue to engage suppliers by providing them with training resources in connection with our supply-chain survey toattempt to increase supplier response rates, improve the content of supplier responses and reduce the number of
non-responsive suppliers;•Continue to require suppliers in new or renewed contracts to provide information about the source of 3TG contained incomponents and materials supplied to us;•Continue to work with the CFSI to expand the smelters and refiners participating in the CFSP; and•Continue to encourage suppliers that manufacture components or materials containing 3TG to source them fromvalidated smelters when sufficient options exist for procuring conflict-free materials.

Forward-Looking Statements
Certain statements in this report relate to future events and expectations and are forward-looking statements within the meaningof the Private Securities Litigation Reform Act of 1995. Words such as “believe,” “estimate,” “will be,” “will,” “would,” “expect,”“anticipate,” “plan,” “project,” “intend,” “could,” “should” or other similar words or expressions often identify forward-lookingstatements. Examples of forward-looking statements include statements relating to our future plans, and any other statementthat does not directly relate to any historical or current fact. Forward-looking statements are based on our current expectations
and assumptions, which may not prove to be accurate. These statements are not guarantees and are subject to risks,
uncertainties and changes in circumstances that are difficult to predict. Actual outcomes and results may differ materially fromthese forward-looking statements. As a result, these statements speak only as of the date they are made and we undertake no
obligation to update or revise any forward-looking statement, except as required by federal securities laws.

6Schedule A toConflict Minerals Report
Description of Caterpillar Products
Articulated Trucks
Backhoe Loaders
Components and Systems, which includes machinery components and electronics and control systems
Diesel-electric Locomotives and Components
Excavators, which includes mini excavators, wheeled excavators and small, medium and large track excavators
Forestry Products
Large Mining Trucks
Motor Graders
Off-Highway Trucks
Other Rail-related Products
Other Products, which includes telehandlers, remanufactured components, OEM and custom products, service parts andservice tools
Paving Products, which includes mid-tier soil compactors
Pipelayers
Reciprocating Engines, which includes reciprocating engine powered generator sets, reciprocating engines supplied to theindustrial industry as well as Caterpillar machinery, integrated systems used in the electric power generation industry andreciprocating engines and integrated solutions for the marine and oil and gas industries
Select Work Tools
Skid Steer Loaders, which includes compact track loaders and multi-terrain loaders7Surface Mining Equipment, which includes electric rope shovels, hydraulic shovels, draglines and drills
Track Type Tractors and Loaders, which includes small track-type tractors, medium track-type tractors, large track-type
tractors and track-type loaders
Turbines
Underground Mining Equipment, which includes continuous miners, highwall miners, longwall miners, hard rock continuous
mining systems, hard rock vehicles and scoops and haulers
Waste and Material Handler Products, which includes wheel dozers
Wheel Loaders, which includes compact wheel loaders, small wheel loaders, medium wheel loaders and large wheel loaders
Wheel Tractor Scrapers

8Schedule B to
Conflict Minerals Report
Smelters
CV United Smelting
Malaysia Smelting Corporation (MSC)
Metallo-Chimique N.V.
PT Belitung Industri Sejahtera
PT DS Jaya Abadi
PT Inti Stania Prima
PT Mitra Stania Prima
PT Prima Timah Utama
PT Refined Bangka Tin
PT Sariwiguna Binasentosa
PT Stanindo Inti Perkasa

9Schedule C toConflict Minerals ReportCountries of Origin
Angola, Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Burundi, Cambodia, Canada, Central African Republic, Chile,China, Colombia, Côte d’Ivoire, Czech Republic, Djibuti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana,
Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Kenya, Laos, Luxembourg, Madagascar, Malaysia, Mozambique,
Republic of Congo, Rwanda, South Africa, South Sudan, Tanzania, Uganda, and Zambia.

10