Document:

Exhibit

	
							
	Exhibit 10.15

	 
	 
	 
	 
	 
	 
	 

	SCHEDULE OF EXECUTIVES WITH MANAGEMENT CONTINUITY AGREEMENTS
	 
	 

	 
	 
	 
	 
	 
	 
	 

	Title
	 
	Name
	 
	Years / Comp*
	 
	Excise Tax Gross Up?

	Chairman, President and Chief Executive Officer 
	 
	Robert M. Patterson
	 
	3
	 
	Y

	Executive Vice President, Chief Financial Officer
	 
	Bradley C. Richardson
	 
	2
	 
	N

	Senior Vice President, President of Color, Additives and Inks
	 
	Mark D. Crist
	 
	 
	 
	 

	Senior Vice President, Chief Commercial Officer
	 
	Michael A. Garratt
	 
	2
	 
	N

	Senior Vice President, President of Distribution
	 
	Scott J. Horn
	 
	2
	 
	N

	Senior Vice President, General Counsel and Secretary
	 
	Lisa K. Kunkle
	 
	3
	 
	Y

	Senior Vice President, Global Operations and Process Improvement
	 
	M. John Midea, Jr. 
	 
	2
	 
	N

	Senior Vice President, President of Specialty Engineered Materials
	 
	Craig M. Nikrant
	 
	2
	 
	N

	Senior Vice President, Mergers & Acquisitions
	 
	Joel R. Rathbun
	 
	2
	 
	N

	Senior Vice President, Chief Human Resources Officer
	 
	João José San Martin Neto
	 
	2
	 
	N

	Senior Vice President, President of Performance Products and Solutions
	 
	Donald K. Wiseman
	 
	2
	 
	N

* Years of compensation payable upon change of controlExhibit

EXHIBIT 10.4

FIRST AMENDMENT
TO THE
CATERPILLAR INC.
EXECUTIVE SHORT-TERM INCENTIVE PLAN

Caterpillar Inc. (the “Company”) established the Caterpillar Inc. Executive Short-Term Incentive Plan (the “Plan”) to retain and motivate the Chief Executive Officer and Group Presidents of the Company and other officers of the Company who have been designated to participate in the Plan by providing them with the opportunity to earn incentive payments based upon the extent to which specified performance goals have been achieved or exceeded.  The Plan was most recently amended and restated effective June 11, 2014.  Pursuant to Section 6.2 of the Plan, the Company has reserved the right to amend the Plan.  By this instrument, the Company amends the Plan to rename it the Caterpillar Inc. Executive Office Annual Incentive Plan.
1.    This First Amendment shall be effective as of December 8, 2015.    
2.    The name of the Plan shall be “Caterpillar Inc. Executive Office Annual Incentive Plan” and the title on page 1 of the Plan shall be amended accordingly.
3.    Section 1.1 of the Plan is hereby amended and restated in its entirety to provide as follows:
“1.1    Purposes.  The purpose of the Caterpillar Inc. Executive Office Annual Incentive Plan, as amended and restated as set forth herein (the “Plan”), is to retain and motivate the Chief Executive Officer and Group Presidents of the Company and such other officers of the Company who have been designated by the Committee to participate in the Plan for a specified Performance Period by providing them with the opportunity to earn incentive payments based upon the extent to which specified performance goals have been achieved or exceeded for the Performance Period.  It is intended that amounts payable under this Plan to Participants who are “covered employees” within the meaning of Section 162(m) of the Code will constitute “qualified performance-based compensation” within the 

4661853

meaning of U.S. Treasury regulations promulgated thereunder, and the Plan and the terms of any Awards hereunder shall be so interpreted and construed to the maximum extent possible.” 

4.    Section 1.2(t) of the Plan is hereby amended and restated in its entirety to provide as follows:
“(t)    “Plan” shall mean the Caterpillar Inc. Executive Office Annual Incentive Plan, as amended and restated as set forth herein, or as it may be amended from time to time.”

5.    This First Amendment amends only the provisions of the Plan as set forth 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 this 10th  day of December, 2015.
                            
CATERPILLAR INC.

/s/ Kimberly S. Hauer            
Kimberly S. Hauer
Vice President, Human Services Division

2
4661853Exhibit

        

EXHIBIT 10.22

FIRST AMENDMENT 
TO THE 
CATERPILLAR INC. 
SUPPLEMENTAL EMPLOYEES’ INVESTMENT PLAN

Caterpillar Inc. (the ‘‘Company”) sponsors the Caterpillar Inc. Supplemental Employees’ Investment Plan (the “Plan”).  By a document dated May 9, 2017, the Plan was most recently amended and restated effective May 15, 2017.  Pursuant to Article IX 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 update the title of the Company’s Vice President, Human Services Division.  
1.This First Amendment shall be effective as of July 24, 2017.
2.    Section 1.1 of the Plan is hereby amended to add a new Section 1.1(dd) to the end thereof to provide as follows:
“(dd) “CHRO” means the Company’s Chief Human Resources Officer.  If as a result of management reorganization, the management responsibilities of the CHRO change, the CHRO role under the Plan shall automatically transfer to the successor position responsible for the Company’s benefit plans.”
3.    Section 10.10 of the Plan is hereby amended and restated in its entirety to provide as follows:
“10.10  Conflicts.  If any person holds a position under the Plan through which he or she is charged with making a decision about the administration of his or her own (or any immediate family member’s) Plan participation, including, without limitation, decisions regarding eligibility, or account valuation, or the administration of his or her Plan investments, then such person shall be recused and the decision shall be made by the Plan Administrator.  If a decision is required regarding the administration of the Plan Administrator’s Plan participation, including without limitation, decisions regarding eligibility, or account valuation, or the administration of his or her Plan investments, such decision shall be made by the 

5907402

CHRO.  Nothing in this Section 10.10 shall be construed to limit a Participant’s or the Plan Administrator’s ability to make decisions or elections with regard to his or her participation in the Plan in the same manner as other Participants.”

4.    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 as of this 15th day of December, 2017.
CATERPILLAR INC.
/s/ Cheryl H. Johnson            
Cheryl H. Johnson  
Chief Human Resources Officer                 

2

 5907402Exhibit

EXHIBIT 10.26

FIRST AMENDMENT 
TO THE 
CATERPILLAR INC. 
DEFERRED EMPLOYEES’ INVESTMENT PLAN

Caterpillar Inc. (the ‘‘Company”) sponsors the Caterpillar Inc. Deferred Employees’ Investment Plan (the “Plan”).  By a document dated May 9, 2017, the Plan was most recently amended and restated effective May 15, 2017.  Pursuant to Article IX 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 update the title of the Company’s Vice President, Human Services Division.  
1.This First Amendment shall be effective as of July 24, 2017.
2.    Section 1.1 of the Plan is hereby amended to add a new Section 1.1(ii) to the end thereof to provide as follows:
“(ii) “CHRO” means the Company’s Chief Human Resources Officer.  If as a result of management reorganization, the management responsibilities of the CHRO change, the CHRO role under the Plan shall automatically transfer to the successor position responsible for the Company’s benefit plans.”

3.    Section 10.10 of the Plan is hereby amended and restated in its entirety to provide as follows:
“10.10  Conflicts.  If any person holds a position under the Plan through which he or she is charged with making a decision about the administration of his or her own (or any immediate family member’s) Plan participation, including, without limitation, decisions regarding eligibility, or account valuation, or the administration of his or her Plan investments, then such person shall be recused and the decision shall be made by the Plan Administrator.  If a decision is required regarding the administration of the Plan Administrator’s Plan participation, including without limitation, decisions regarding eligibility, or account valuation, or the 

5818143

administration of his or her Plan investments, such decision shall be made by the CHRO.  Nothing in this Section 10.10 shall be construed to limit a Participant’s or the Plan Administrator’s ability to make decisions or elections with regard to his or her participation in the Plan in the same manner as other Participants.”

4.    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 as of this 15th day of December, 2017.
CATERPILLAR INC.
/s/ Cheryl H. Johnson            
Cheryl H. Johnson 
Chief Human Resources Officer                    

2

 5818143

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