Insider Anthony Fassino plans $4.36M Caterpillar (CAT) stock sale

Rhea-AI Filing Summary

Caterpillar executive Anthony Fassino has filed a Form 144 notice to sell 6,033 shares of Caterpillar common stock. The shares are to be sold on the NYSE through Morgan Stanley Smith Barney, with an aggregate market value of $4,356,711.64 and 467,979,596 shares outstanding.

The securities were acquired via a stock option exercise on 02/06/2026 and paid for in cash the same day. The filing also lists prior sales over the past three months, including 10,671 shares sold on 02/02/2026 for $7,261,060.61 and 8,184 shares sold on 11/10/2025 for $4,666,353.12.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	6033	4356711.64	467979596	02/06/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/06/2026	Stock Option Exercise	Issuer			6033	02/06/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
ANTHONY FASSINO 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039	Common	02/02/2026	10671	7261060.61
ANTHONY FASSINO 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039	Common	11/10/2025	8184	4666353.12

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filing for Caterpillar (CAT) disclose?

The Form 144 discloses that Caterpillar executive Anthony Fassino intends to sell 6,033 shares of Caterpillar common stock. The planned sale has an aggregate market value of $4,356,711.64 and will be executed on the NYSE through Morgan Stanley Smith Barney.

How many Caterpillar (CAT) shares is Anthony Fassino planning to sell?

Anthony Fassino plans to sell 6,033 shares of Caterpillar common stock under this Form 144 notice. These shares stem from a stock option exercise on 02/06/2026 and are valued in total at $4,356,711.64 based on the figures in the filing.

How were the Caterpillar (CAT) shares in this Form 144 acquired?

The 6,033 Caterpillar shares covered by the Form 144 were acquired through a stock option exercise on 02/06/2026. The filing states that the acquisition was completed with a cash payment on the same date, reflecting a straightforward option exercise transaction.

Which broker will handle the planned Caterpillar (CAT) share sale?

The planned sale of 6,033 Caterpillar shares will be handled by Morgan Stanley Smith Barney LLC Executive Financial Services. The broker’s listed address is 1 New York Plaza, 8th Floor, New York, NY 10004, and the shares are to be sold on the NYSE.

What prior Caterpillar (CAT) stock sales by Anthony Fassino are disclosed?

The filing lists two prior Caterpillar stock sales by Anthony Fassino in the past three months: 10,671 common shares sold on 02/02/2026 for $7,261,060.61, and 8,184 common shares sold on 11/10/2025 for $4,666,353.12 in gross proceeds.

How many Caterpillar (CAT) shares are outstanding in this Form 144?

The Form 144 notes that 467,979,596 shares of Caterpillar common stock are outstanding. This figure provides context for the planned 6,033-share sale but does not change the terms of the specific insider transaction described in the notice.