Holder plans 39,138-share Rule 144 stock sale

A shareholder has filed a notice of proposed sale under Rule 144 for 39,138 shares of common stock, to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on or about 02/02/2026 on the NYSE.

Accepted by SEC EDGAR 02/02/2026 - 05:49 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

A shareholder has filed a notice of proposed sale under Rule 144 for 39,138 shares of common stock, to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on or about 02/02/2026 on the NYSE. The filing lists an aggregate market value of 26655893.78 for the planned sale, compared with 467979596 shares of the same class shown as outstanding.

The shares to be sold were acquired on 02/02/2026 through a stock option exercise from the issuer, for which 39,138 securities were obtained and paid for in cash on the same date. The seller certifies that they are not aware of any undisclosed material adverse information about the issuer’s current or prospective operations.

FAQ

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

What does the Rule 144 filing for CAT disclose about the planned share sale?

The notice discloses a planned Rule 144 sale of 39,138 common shares through Morgan Stanley Smith Barney LLC on or about 02/02/2026 on the NYSE, with an aggregate market value of 26655893.78.

How many CAT shares are outstanding compared to the shares to be sold?

The filing shows 467979596 shares of the same class outstanding, while the seller plans to dispose of 39,138 shares. This gives investors a sense of how the intended sale compares with the total outstanding stock base.

How were the CAT shares in the Rule 144 sale acquired?

The shares were acquired on 02/02/2026 via a stock option exercise from the issuer. The filing notes that 39,138 securities were obtained in this transaction, with the purchase price paid entirely in cash on the same date.

Which broker will handle the planned Rule 144 sale of CAT shares?

The filing identifies Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004, as the broker handling the proposed sale of 39,138 CAT common shares on the NYSE.

What representation does the seller make about CAT’s undisclosed information?

The seller represents that they do not know any material adverse information about the issuer’s current or prospective operations that has not been publicly disclosed, a standard certification included when filing a Rule 144 notice for a planned securities sale.

Is the CAT Rule 144 sale related to a gift of shares?

No. The Rule 144 table lists the acquisition as a stock option exercise from the issuer, and the column asking whether the transaction is a gift is left blank, indicating the planned sale is not based on gifted securities.

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	0001608229
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	DENISE C JOHNSON
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	39138	26655893.78	467979596	02/02/2026	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	02/02/2026	Stock Option Exercise	Issuer			39138	02/02/2026	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

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	02/02/2026
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/ Denise Johnson
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)