CAT: Notice to Sell 24,222 Common Shares

Caterpillar (CAT) submitted a Form 144 notice related to the proposed sale of 24,222 shares of Common Stock through a stock option exercise on 05/06/2026.

Rhea-AI Filing Summary

Caterpillar (CAT) submitted a Form 144 notice related to the proposed sale of 24,222 shares of Common Stock through a stock option exercise on 05/06/2026. The filing records a prior sale of 12,507 shares on 02/11/2026 by Bob De Lange.

Key Figures

Proposed shares to be sold: 24,222 shares Prior shares sold (past 3 months): 12,507 shares Reported aggregate value (line item): $22,354,992.46 +2 more

5 metrics

Proposed shares to be sold 24,222 shares Stock option exercise dated 05/06/2026

Prior shares sold (past 3 months) 12,507 shares Sale by Bob De Lange on 02/11/2026

Reported aggregate value (line item) $22,354,992.46 Numeric field on the filing excerpt

Prior sale aggregate amount $9,593,885.82 Amount shown for 12,507-share sale on 02/11/2026

Broker/dealer listed Morgan Stanley Smith Barney LLC Broker executing the transaction on 05/06/2026

Key Terms

Form 144, Stock Option Exercise, Securities To Be Sold

3 terms

Form 144 regulatory

"Filer Information | 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

"Common | 05/06/2026 | 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.

Securities To Be Sold regulatory

"144: Securities To Be Sold"

FAQ

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

What does CAT's Form 144 say about the proposed sale of shares?

Answer: The Form 144 lists a proposed sale of 24,222 common shares via a stock option exercise dated 05/06/2026. The notice identifies Morgan Stanley Smith Barney LLC as the broker/executor and shows cash as the consideration method.

How many shares were sold recently by an insider for CAT?

Answer: The filing records a prior sale of 12,507 shares on 02/11/2026 attributed to Bob De Lange, with an aggregate amount shown as $9,593,885.82 in the excerpt.

What transaction method is listed for the 24,222 CAT shares?

Answer: The 24,222 shares are listed as resulting from a Stock Option Exercise with cash shown as the payment method and the broker identified as Morgan Stanley Smith Barney LLC.

Does the Form 144 disclose proceeds or dollar amounts for the proposed sale?

Answer: The excerpt includes numeric fields such as $22,354,992.46 and $9,593,885.82 tied to lines in the filing. It does not add further narrative on use of proceeds or payee allocation in the provided text.

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

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Accepted by SEC EDGAR 05/06/2026 - 04:20 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	0001694342
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	BOB DE LANGE
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	24222	22354992.46	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			24222	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
BOB DE LANGE 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039	Common	02/11/2026	12507	9593885.82

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