Executive files Form 144 to sell 9,152 shares

Anthony Fassino files a Form 144 to sell 9,152 shares of Common Stock by stock option exercise on 05/06/2026.

Rhea-AI Filing Summary

Anthony Fassino files a Form 144 to sell 9,152 shares of Common Stock by stock option exercise on 05/06/2026. The notice lists a prior sale of 7,891 shares on 02/13/2026 with an aggregate amount of $6,130,507.64. The sale is reported through Morgan Stanley Smith Barney LLC and identified as an issuer-related stock option exercise for cash.

Insights

Securities Compliance Analyst

Routine Form 144 sale notice for an option exercise, not an extraordinary event.

The filing documents a proposed sale of 9,152 shares via a stock option exercise to be effected on 05/06/2026 through Morgan Stanley Smith Barney LLC. It also reports a prior disposition of 7,891 shares on 02/13/2026.

Form 144 is a statutory notice under Section 144; it does not itself confirm execution timing or pricing beyond the listed aggregate amounts. Subsequent SEC filings or broker confirmations would show final settlement details.

Key Figures

Shares to be sold: 9,152 shares Shares sold in past 3 months: 7,891 shares Aggregate amount (prior sale): $6,130,507.64 +1 more

4 metrics

Shares to be sold 9,152 shares Scheduled sale by stock option exercise on 05/06/2026

Shares sold in past 3 months 7,891 shares Disposition on 02/13/2026

Aggregate amount (prior sale) $6,130,507.64 Aggregate amount listed for 02/13/2026 disposition

Aggregate amount (listed alongside 9,152) $8,477,053.73 Amount listed adjacent to the 9,152-share row

Key Terms

Form 144, stock option exercise, issuer

3 terms

Form 144 regulatory

"144: Filer Information 144: Issuer Information 144: Securities Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

stock option exercise financial

"Common | 05/06/2026 | Stock Option Exercise | Issuer"

A stock option exercise is the act of using a previously granted right to buy shares of a company's stock at a specific, predetermined price by paying that price and receiving the shares. It matters to investors because exercising changes who owns the shares (which can dilute existing ownership), can trigger taxable events and shift potential gains or losses, and affects voting power and the company’s outstanding share count—like turning a voucher into an actual product that becomes part of circulating supply.

issuer regulatory

"Stock Option Exercise | Issuer | | | 9152"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Anthony Fassino's Form 144 filing mean for CAT shareholders?

It notifies the SEC of a proposed sale of 9,152 shares by stock option exercise scheduled for 05/06/2026. The filing is a disclosure of intent, not a confirmation that the sale has settled or been completed.

How many shares were previously sold by Anthony Fassino in the past three months?

The filing reports a prior sale of 7,891 shares on 02/13/2026. The document lists an associated aggregate amount of $6,130,507.64 for that earlier disposition.

What method is being used for the 9,152-share transaction?

The transaction is identified as a stock option exercise with the issuer involved and cash reported as the consideration. The executing broker is Morgan Stanley Smith Barney LLC.

Does Form 144 confirm the sale price or settlement?

Form 144 provides aggregate figures and intended sale details but does not guarantee settlement. Final sale price and settlement confirmation would appear in subsequent trade/brokerage records or related SEC filings.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 05/06/2026 - 04:11 PM EDT Learn about SEC filing dates

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	0001839757
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	CATERPILLAR INC.
SEC File Number	001-00768
Address of Issuer	5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TEXAS 75039
Phone	(972) 891-7700
Name of Person for Whose Account the Securities are To Be Sold	ANTHONY FASSINO
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	Officer

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	9152	8477053.73	460637026	05/06/2026	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	05/06/2026	Stock Option Exercise	Issuer			9152	05/06/2026	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	02/13/2026	7891	6130507.64

144: Remarks and Signature

Remarks
Date of Notice	05/06/2026
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	/S/ Anthony D Fassino
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)