CAT Form 144: Resale Notice, February insider sales

Caterpillar (CAT) Form 144 notice: proposed resale of Common Stock via Morgan Stanley Smith Barney LLC.

Rhea-AI Filing Summary

Caterpillar (CAT) Form 144 notice: proposed resale of Common Stock via Morgan Stanley Smith Barney LLC. The filing lists multiple stock option exercises dated 05/05/2026 with line items of 361, 2,639, and 2,639 shares. The filing also discloses past sales by Rodney M. Shurman: 2,278 shares on 02/23/2026 for $1,730,402.06 and 1,764 shares on 02/17/2026 for $1,346,611.14.

Key Figures

Stock option exercise line item: 361 shares Stock option exercise line item: 2,639 shares Stock option exercise line item: 2,639 shares +2 more

5 metrics

Stock option exercise line item 361 shares Stock Option Exercise dated 05/05/2026

Stock option exercise line item 2,639 shares Stock Option Exercise dated 05/05/2026

Stock option exercise line item 2,639 shares Second Stock Option Exercise entry dated 05/05/2026

Sale by Rodney M. Shurman 2,278 shares Sold on 02/23/2026 for $1,730,402.06

Sale by Rodney M. Shurman 1,764 shares Sold on 02/17/2026 for $1,346,611.14

Key Terms

Form 144, Stock Option Exercise, Issuer, Securities To Be Sold

4 terms

Form 144 regulatory

"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.

Stock Option Exercise financial

"Common | 05/05/2026 | 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.

Issuer regulatory

"Stock Option Exercise | Issuer"

Securities To Be Sold financial

"144: Securities To Be Sold"

FAQ

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

What does Caterpillar (CAT) Form 144 filing show?

The filing notifies a proposed resale of Common Stock through Morgan Stanley Smith Barney LLC. It lists stock option exercises dated 05/05/2026 with line items of 361 and 2,639 shares and prior sales by Rodney M. Shurman in February 2026.

How many shares did Rodney M. Shurman sell recently per the filing?

The filing lists two sales: 2,278 shares on 02/23/2026 and 1,764 shares on 02/17/2026. Each sale is reported with the dollar consideration alongside the share counts in the filing excerpt.

What dollar amounts are reported for the February 2026 sales?

The filing shows proceeds of $1,730,402.06 for the 2,278‑share sale on 02/23/2026 and $1,346,611.14 for the 1,764‑share sale on 02/17/2026, as reported in the excerpt.

Who is the broker listed for the proposed resale in the Form 144?

The broker identified in the excerpt is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, 8th Floor, New York, NY 10004, listed as the selling broker for the common stock.

Are the stock option exercises dated in the filing?

Yes. The excerpt lists multiple Stock Option Exercise entries dated 05/05/2026 with associated common share line items of 361 and two entries of 2,639 shares each in the provided lines.

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

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Accepted by SEC EDGAR 05/05/2026 - 04:12 PM EDT 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	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	5639	5092998.75	465287332	05/05/2026	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	05/05/2026	Stock Option Exercise	Issuer			361	05/05/2026	Cash
Common	05/05/2026	Stock Option Exercise	Issuer			2639	05/05/2026	Cash
Common	05/05/2026	Stock Option Exercise	Issuer			2639	05/05/2026	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	02/23/2026	2278	1730402.06
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	05/05/2026
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)