CATERPILLAR INC SEC Filing

Caterpillar Inc. (CAT) received a Form 144 notice for a proposed sale of 10,707 common shares.

Accepted by SEC EDGAR 11/12/2025 - 09:11 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Caterpillar Inc. (CAT) received a Form 144 notice for a proposed sale of 10,707 common shares. The shares are listed for sale through Morgan Stanley Smith Barney LLC on the NYSE, with an aggregate market value of $6,034,453.03. The notice indicates an approximate sale date of 11/11/2025.

The securities were acquired via a stock option exercise on 11/11/2025, paid in cash, for the same 10,707 shares. As context, 467,979,596 shares of Caterpillar common stock were outstanding.

Insights

Securities Counsel

Routine Form 144 for 10,707 CAT shares; administrative step.

This notice reflects an intent to sell 10,707 Caterpillar common shares via Morgan Stanley Smith Barney LLC on the NYSE. The filing lists an aggregate market value of $6,034,453.03 and an approximate sale date of 11/11/2025. Form 144s notify potential sales by affiliates or large holders.

The shares were acquired through a stock option exercise on 11/11/2025 for cash, matching the shares to be sold. The document also notes 467,979,596 shares outstanding, a baseline figure. Actual sale timing and execution depend on market conditions and holder decisions.

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

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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	10707	6034453.03	467979596	11/11/2025	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	11/11/2025	Stock Option Exercise	Issuer			10707	11/11/2025	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

Nothing to Report

144: Remarks and Signature

Remarks	Sales that were executed on November 11, 2025 are being reported on this Form 144 filed on November 12, 2025 given the EDGAR system was not accepting filings on November 11, 2025 in observance of the federal holiday.
Date of Notice	11/11/2025
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	08/12/2025
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)