Caterpillar (CAT) Form 144: proposed sale of 8,184 shares

Caterpillar (CAT): Form 144 notice of proposed sale A holder filed a notice under Rule 144 to sell up to 8,184 shares of Caterpillar common stock.

Rhea-AI Filing Summary

Caterpillar (CAT): Form 144 notice of proposed sale

A holder filed a notice under Rule 144 to sell up to 8,184 shares of Caterpillar common stock. The filing lists an aggregate market value of $4,666,353.12 for the proposed sale and an approximate date of sale of 11/10/2025. The shares were acquired on 11/10/2025 via a stock option exercise from the issuer, with payment in cash. The designated broker is Morgan Stanley Smith Barney LLC Executive Financial Services, and the securities are listed on the NYSE.

FAQ

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

What did Caterpillar (CAT) disclose in this Form 144?

A holder filed a Rule 144 notice to sell up to 8,184 shares of CAT common stock with an aggregate market value of $4,666,353.12.

When is the approximate sale date for the CAT shares?

The approximate date of sale listed is 11/10/2025.

How were the Caterpillar shares acquired?

They were acquired on 11/10/2025 via a stock option exercise from the issuer, with payment in cash.

Which broker is handling the proposed CAT share sale?

The filing lists Morgan Stanley Smith Barney LLC Executive Financial Services as the broker.

On which exchange are the CAT shares listed?

The securities are listed on the NYSE.

How many shares are covered by the notice and what is their listed value?

The notice covers 8,184 shares with an aggregate market value of $4,666,353.12.

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

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Accepted by SEC EDGAR 11/10/2025 - 04:02 PM 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	0001839757
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	ANTHONY FASSINO
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	8184	4666353.12	467979596	11/10/2025	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	11/10/2025	Stock Option Exercise	Issuer			8184	11/10/2025	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
Date of Notice	11/10/2025
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/ Anthony D Fassino
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)