CAT (NYSE) Form 144: Director/Broker notice to sell 16,283 shares

Rhea-AI Filing Summary

CAT notice: a Form 144 filing reports a proposed sale of 16,283 shares of Common Stock associated with a stock option exercise dated 05/11/2026, to be processed in cash. The filing lists prior sales by Anthony Fassino of 9,152 and 7,891 shares on 05/06/2026 and 02/13/2026, respectively, with the reported cash amounts for those transactions.

Insights

Equity Capital Markets Counsel

Routine Regulated Notice of Proposed Sale tied to option exercise.

The filing documents a stock option exercise sale of 16,283 shares on 05/11/2026 and lists two prior dispositions by Anthony Fassino within the past three months. This form functions as a notice under resale rules rather than a company financing action.

Cash‑flow treatment is stated as Cash for the 05/11/2026 transaction. Subsequent SEC filings or broker reports will show settlement details and any effect on public float.

Key Figures

Proposed shares to be sold: 16,283 shares Reported cash amount (header): $14,928,304.88 Prior sale 1: 9,152 shares +3 more

6 metrics

Proposed shares to be sold 16,283 shares stock option exercise on 05/11/2026

Reported cash amount (header) $14,928,304.88 file header numeric field associated with the 16,283 shares

Prior sale 1 9,152 shares sale on 05/06/2026 by Anthony Fassino

Proceeds from prior sale 1 $8,477,053.73 proceeds reported for 9,152 shares on 05/06/2026

Prior sale 2 7,891 shares sale on 02/13/2026 by Anthony Fassino

Proceeds from prior sale 2 $6,130,507.64 proceeds reported for 7,891 shares on 02/13/2026

Key Terms

Stock Option Exercise, Form 144, Common

3 terms

Stock Option Exercise financial

"Securities To Be Sold entry: "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.

Form 144 regulatory

"Filer Information header: "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.

Common market

"Securities Information: "Common | Morgan Stanley Smith Barney LLC""

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	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	16283	14928304.88	460637026	05/11/2026	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	05/11/2026	Stock Option Exercise	Issuer			16283	05/11/2026	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	05/06/2026	9152	8477053.73
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

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 the CAT Form 144 filing report?

The filing reports a proposed sale of 16,283 shares of Common Stock tied to a stock option exercise dated 05/11/2026. It is a regulatory notice of an intended resale, filed under required procedures.

Who conducted prior sales reported in the filing for CAT?

The filing lists prior dispositions by Anthony Fassino: 9,152 shares sold on 05/06/2026 for $8,477,053.73 and 7,891 shares sold on 02/13/2026 for $6,130,507.64, as shown in the notice.

How was the 05/11/2026 sale to be settled according to the Form 144?

The 05/11/2026 transaction is described as a Stock Option Exercise with proceeds handled in Cash. The filing identifies the sale method but does not include settlement confirmation or final settlement date.

Does this Form 144 change Caterpillar's capital structure?

This notice records an individual's planned resale tied to an option exercise and does not itself alter the company's authorized shares or capital structure. It is a selling notice under regulatory resale procedures.