EXHIBIT 1.01
CATERPILLAR INC.
Conflict Minerals Report
For The Year Ended December 31, 2016
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 in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for calendar
year 2016. Unless otherwise defined herein, terms used in this CMR are as defined in Rule 13p-1 and Form SD.
References to internet websites herein are provided 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 ourdue diligence activities performed to date in good faith and are based on information available at the time of thisfiling. Factors that could affect the accuracy of these statements include, but are not limited to, incomplete supplierdata, lack of available smelter and refiner data and errors or omissions by suppliers or smelters.
With 2016 sales and revenues of $38.573 billion, Caterpillar is the world’s leading manufacturer of construction andmining 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 Energyand Transportation - and also provide financing and related services through our Financial Products segment. We arealso a leading U.S. exporter. Through a global 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 isnecessary to the functionality and/or production of such products (the “3TG Products”). For example, tin, tantalum,tungsten and gold are each contained respectively in weld wire, capacitors, lamps and electrical connection coatings,
each of which are components in many of our 3TG Products. Our 3TG Products are listed on Schedule A attachedhereto. 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 the components 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 from the Democratic Republic of theCongo or in any adjoining country (collectively, the “Covered Countries”). Because of Caterpillar’s size, thecomplexity of our products and the depth, breadth and constant evolution of our supply chain, it is difficult toidentify suppliers upstream from our direct suppliers. Accordingly, we participate in an industry-wide initiativedescribed in Section 4 below. Caterpillar is also an active participant in multiple industry associations that focus on
increasing awareness for responsible sourcing of conflict minerals and developing related resources that benefit theentire supply chain.
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 the names 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 our3TG Products (“Impacted Suppliers”), which resulted in 24,052 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 for following up with unresponsive suppliers to increase the response

rate with an emphasis on high-priority suppliers. For 2016, we received responses from approximately 96% of thesehigh-priority suppliers equaling 952 total responses. Based on these results, we have a reason to believe that someof the 3TG in our supply chain may have originated in the Covered Countries and also have reason to believe thatsuch 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 oursupply chain. Rule 13p-1 requires that a registrant’s due diligence follow a nationally or internationally recognized
due diligence framework. 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 theconflict minerals (the “OECD Guidance”). The OECD Guidance is a framework for risk-based due diligence forresponsible supply chains of conflict minerals from conflict-affected and high-risk areas that is described in the fivesteps noted in Section 4 below.
Caterpillar designed its due diligence measures to be in conformity, in all material respects, with the OECDGuidance.
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 of3TG contained in our 3TG Products.
Step 1 - Establish Strong Company Management Systems
Conflict Minerals Position Statement
Caterpillar has posted on our website a position statement on conflict minerals which states our commitment to theresponsible sourcing of conflict minerals used in our products and that we will not knowingly provide support to,contribute to, assist with, or facilitate armed conflict in the Covered Countries. Our conflict minerals position
statement encourages suppliers to procure materials through conflict free sources and clarifies that we do not want toprevent 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 our conflict 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 materialssupplied to us. Caterpillar is a member of the CFSI (Member ID: CATE), an initiative of the Electronics Industry
Citizenship Coalition and the Global e-Sustainability Initiative developed to identify and disclose upstream actors inthe supply chain, including 3TG smelters and refiners, to determine red flag locations of 3TG origin in the supplychain. CFSI program initiatives include the Conflict-Free Smelter Program (“CFSP”) which identifies smelters andrefiners that process materials from conflict-free sources, and the CMRT which is a free, standardized reportingtemplate 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 correspondence to smelters and refiners not currently participatingin the CFSP where the CFSI had contact information for such smelters and refiners, to encourage them to participate
in the CFSP. We also sent correspondence 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 April 19, 2017 thanking them for theirparticipation 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 groupof cross-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 wasresponsible for the development and deployment of our conflict minerals compliance program. The project teamincluded senior-level managers from internal divisions that include Innovation & Technology Development, GlobalSupply Network and Legal Services.
Supplier Engagement
As stated in our conflict minerals position statement, our strategy is to establish long-term relationships andcollaborate with our suppliers. To communicate our expectations relating to responsible sourcing of conflictminerals, Caterpillar posted on our website 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 ofRule 13p-1, Caterpillar’s obligations under Rule 13p-1 and instructions for responding to the CMRT. The language
in our standard purchase order terms and conditions requires our suppliers to provide us with supporting informationand documentation evidencing due diligence of 3TG in their respective supply chains upon our request for suchinformation.
Company Level Grievance Mechanism
Caterpillar’s Worldwide Code of Conduct is called “Our Values in Action.” Our Values in Action articulates ourlong-standing support for, and commitment to, human rights and the dignity of all people. Caterpillar has a humanrights policy that articulates our commitment to respect internationally recognized human rights and complements
Our Values in Action. We conduct annual assessments that provide awareness of and apply the principles containedin 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.
Step 2 - 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 supplychain survey with Impacted Suppliers using the CMRT.
We reviewed Impacted Supplier responses against criteria developed by our internal team to determine whether
further engagement was necessary. Smelters and refiners identified by a supplier in response to our supply-chain
survey are also compared against the list of facilities that have received a compliant or active designation by theCFSP which provides country of origin and due diligence information on the conflict minerals sources by suchfacilities. As part of our efforts to track and investigate facilities in our supply chain that may be sourcing 3TG fromthe Covered Countries, we provided to the CFSI for investigation a list of smelters and refiners identified in supplier
responses to our supply-chain survey that were unknown to the CFSP.
Step 3 - 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 our senior 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 relating to conflict minerals. The
executive officer signing this Form SD is briefed on our conflict minerals compliance program, including oursupply-chain survey, the design of our due diligence framework, the due diligence measures we performed and thecorresponding results.

As part of our risk management plan and to assist our Impacted Suppliers in understanding our expectations, werequest our Impacted 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 remediatesuch risks relating to conflict minerals. 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.
Step 4 - 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.
Step 5 - Report Annually on Supply Chain Due Diligence
We are filing this CMR with the Securities and Exchange Commission, which is also publicly available on ourwebsite 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 265 unique facilities identified
by the Conflict-Free Smelter Program of which 247 or approximately 93% were validated as conflict-free under theConflict-Free Smelter Program as of April 19, 2017.
Based on the information provided by Impacted Suppliers in the supply-chain survey and the due diligence measuresdescribed above, we have reason to believe that three suppliers sourced tin for use in parts and components supplied
to Caterpillar from the smelters listed on Schedule B attached hereto. Furthermore, based on the information
obtained as a result of the due diligence measures described above, we reasonably determined that the tin processedby these smelters may be from the countries of origin listed on Schedule C attached hereto. However, each of thesesmelters 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 theextent they were valid 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 theexception of the tin supplier noted above, we have been unable to identify with confidence the specific facilities
used to process the 3TG in our 3TG Products, the country of origin or the mine or location of origin of the 3TG in
our 3TG Products.
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 and in-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 thatthe necessary 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 supplychain survey to attempt to increase supplier response rates, improve the content of supplier responses andreduce the number of non-responsive suppliers;•Continue to require suppliers in new or renewed contracts to provide information about the source of 3TG
contained in components 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 themfrom validated 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 meaning of 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 orexpressions often identify forward-looking statements. Examples of forward-looking statements include statements
relating to our future plans, and any other statement that 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 beaccurate. These statements are not guarantees and are subject to risks, uncertainties and changes in circumstancesthat are difficult to predict. Actual outcomes and results may differ materially from these forward-lookingstatements. As a result, these statements speak only as of the date they are made and we undertake no obligation toupdate or revise any forward-looking statement, except as required by federal securities laws.

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 and service tools
Paving Products, which includes soil and asphalt compactors, asphalt pavers, cold planers, and road reclaimers
Pipelayers
Reciprocating Engines, which includes reciprocating engine powered generator sets, reciprocating engines supplied
to the industrial industry as well as Caterpillar machinery, integrated systems used in the electric power generationindustry and reciprocating 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 loaders
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 rockmining 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

Schedule B toConflict Minerals Report
Smelters
Cooperativa Metalurgica de Rondônia Ltda.
CV United Smelting
EM Vinto
Fenix Metals
Gejiu Non-Ferrous Metal Processing Co., Ltd.
Malaysia Smelting Corporation (MSC)
Metallo-Chimique N.V.
MinsurMitsubishi Materials Corporation
Operaciones Metalurgical S.A.
PT ATD Makmur Mandiri Jaya
PT Babel Inti Perkasa
PT Bangka Tin Industry
PT Belitung Industri Sejahtera
PT DS Jaya Abadi
PT Eunindo Usaha Mandiri
PT Inti Stania Prima
PT Mitra Stania Prima
PT Refined Bangka Tin
PT Sariwiguna Binasentosa
PT Stanindo Inti Perkasa
PT Timah (Persero) Tbk Mentok
PT Tinindo Inter Nusa
Thaisarco
VQB Mineral and Trading Group JSC
White Solder Metalurgia e Mineração Ltda.
Yunnan Tin Company Limited

Schedule C toConflict Minerals ReportCountries of Origin
Australia, Bolivia, Brazil, Burundi, China, Colombia, Democratic Republic of the Congo, Indonesia, Laos,Malaysia, Mongolia, Myanmar, Nigeria, Peru, Portugal, Russia, Rwanda, Thailand, Uganda, Vietnam