CAT proposes sale of 5,642 shares via option exercise

CAT proposes the sale of 5,642 shares of Common Stock via a stock option exercise dated 05/04/2026.

Rhea-AI Filing Summary

CAT proposes the sale of 5,642 shares of Common Stock via a stock option exercise dated 05/04/2026. The filing lists a prior sale of 1,691 shares on 02/12/2026 with proceeds of $1,313,400.71. The broker listed is Morgan Stanley Smith Barney LLC.

Key Figures

Shares proposed to be sold: 5,642 shares Prior shares sold: 1,691 shares Proceeds from prior sale: $1,313,400.71

3 metrics

Shares proposed to be sold 5,642 shares stock option exercise dated 05/04/2026

Prior shares sold 1,691 shares sale dated 02/12/2026

Proceeds from prior sale $1,313,400.71 proceeds from 02/12/2026 sale

Key Terms

Form 144, Stock Option Exercise, Restricted/Controlled securities

3 terms

Form 144 regulatory

"144: Filer 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

"Securities To Be Sold | Stock Option Exercise"

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.

Restricted/Controlled securities regulatory

"Securities To Be Sold | Issuer | Cash"

FAQ

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

What does CAT's Form 144 disclose about the 05/04/2026 transaction?

It discloses a proposed sale of 5,642 shares by stock option exercise dated 05/04/2026. The filing lists the broker as Morgan Stanley Smith Barney LLC and records cash as the sale consideration.

Did the filing show any recent sales by the same holder for CAT?

Yes. It reports a prior sale of 1,691 shares on 02/12/2026. The filing shows proceeds of $1,313,400.71 for that earlier transaction.

Who is the broker listed on the CAT Form 144?

The broker is listed as Morgan Stanley Smith Barney LLC, located at 1 New York Plaza, 8th Floor, New York, NY. The filing ties the broker to the proposed 05/04/2026 sale.

What method of sale is indicated for the CAT shares in this Form 144?

The filing indicates a stock option exercise with cash as the consideration for the proposed sale. No other sale methods or price range are provided in the excerpt.

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

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Accepted by SEC EDGAR 05/04/2026 - 04:07 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	0002005183
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	JASON KAISER
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	5642	4982055.82	465287332	05/04/2026	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	05/04/2026	Stock Option Exercise	Issuer			5642	05/04/2026	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
JASON KAISER 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039	Common	02/12/2026	1691	1313400.71

144: Remarks and Signature

Remarks
Date of Notice	05/04/2026
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/ Jason Edgar Kaiser
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)