Caterpillar (CAT) holder files Form 144 to sell 20,000 shares on NYSE

Rhea-AI Filing Summary

Caterpillar Inc. (CAT) has a Rule 144 notice covering the planned sale of 20,000 shares of its common stock through J.P. Morgan Securities LLC on the NYSE, with an approximate aggregate market value of $11,515,200. The sale is targeted around 12/01/2025 and is a secondary sale by an existing holder, not a new issue of shares by the company.

The notice states that 467,979,596 shares of common stock were outstanding, providing context for the size of the planned sale. The seller acquired the shares over time through company compensation-related transactions such as net exercises and performance-based restricted stock unit vests between 2021 and 2024.

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 Stock	J.P. Morgan Securities LLC 270 Park Avenue, 1-th Floor New York NY 10017	20000	11515200	467979596	12/01/2025	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 Stock	03/07/2024	Net Exercise and Hold	Issuer			6828	03/07/2024	Compensation
Common Stock	02/13/2024	PRSU Vest	Issuer			7454	02/13/2024	Compensation
Common Stock	02/07/2023	PRSU Vest	Issuer			3830	02/07/2023	Compensation
Common Stock	03/05/2021	Net Exercise and Hold	Issuer			1888	03/05/2021	Compensation

* 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

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 this Form 144 filing for CAT disclose?

The Form 144 discloses that an existing holder of Caterpillar Inc. (CAT) common stock has filed notice of a proposed sale of 20,000 shares under Rule 144, using J.P. Morgan Securities LLC as broker on the NYSE.

How many Caterpillar (CAT) shares are planned to be sold and what is the value?

The notice covers the proposed sale of 20,000 shares of Caterpillar common stock with an aggregate market value of $11,515,200, based on the price at the time of the filing.

When is the Caterpillar (CAT) Rule 144 sale expected to occur?

The filing lists an approximate date of sale of 12/01/2025 for the 20,000 CAT shares to be sold on the NYSE.

How many Caterpillar (CAT) shares were outstanding at the time of this notice?

The Form 144 states that 467,979,596 shares of Caterpillar common stock were outstanding, giving context for the size of the 20,000-share planned sale.

How were the Caterpillar (CAT) shares being sold under this Form 144 originally acquired?

The shares were acquired over several dates from 2021 to 2024 through company compensation-related transactions, including net exercise and hold and performance-based restricted stock unit (PRSU) vests from the issuer.

Is Caterpillar (CAT) itself issuing new shares in this Form 144 filing?

No. The Form 144 relates to a planned sale by an existing holder of Caterpillar common stock and does not represent a new share issuance by the company.