Rodney M. Shurman to Sell 2,278 Shares via Option

Rodney M. Shurman proposes sale of 2,278 shares of Common stock.

Accepted by SEC EDGAR 02/23/2026 - 04:10 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Rodney M. Shurman proposes sale of 2,278 shares of Common stock. The filing lists the method as a Stock Option Exercise to be effected on 02/23/2026 for cash. The form also discloses prior sales of 1,764 shares on 02/17/2026 with proceeds of $1,346,611.14. The intermediary listed is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, New York, NY.

FAQ

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

What transaction does the Form 144 for CAT show?

The form shows a proposed sale of 2,278 shares of common stock via a stock option exercise on 02/23/2026. It names Morgan Stanley Smith Barney LLC as the broker-dealer handling the transaction.

How many shares were sold previously by the reporting party?

The filing reports prior sales of 1,764 shares on 02/17/2026. Those sales generated proceeds of $1,346,611.14 as shown in the excerpt.

Who is the reporting person on this Form 144 for CAT?

The reporting person is listed as Rodney M. Shurman with an address in Irving, Texas. The broker-dealer shown is Morgan Stanley Smith Barney LLC Executive Financial Services.

What sale method and cash treatment are disclosed?

The planned sale method is a Stock Option Exercise and the filing indicates the transaction is for cash, scheduled for 02/23/2026.

Does the Form 144 show transaction proceeds for the proposed sale?

The excerpt includes a monetary figure of $1,730,402.06 adjacent to the 2,278 share line, which appears in the filing text alongside the proposed sale details.

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	0002110101
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	RODNEY M SHURMAN
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	2278	1730402.06	465287332	02/23/2026	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	02/23/2026	Stock Option Exercise	Issuer			2278	02/23/2026	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
RODNEY M SHURMAN 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039	Common	02/17/2026	1764	1346611.14

144: Remarks and Signature

Remarks
Date of Notice	02/23/2026
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/ Rodney Michael Shurman
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)