Anthony Fassino plans Rule 144 sale of CAT shares

Anthony Fassino filed a Rule 144 notice covering a proposed sale of 7,891 shares of CAT common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of 6130507.64.

Rhea-AI Filing Summary

Anthony Fassino filed a Rule 144 notice covering a proposed sale of 7,891 shares of CAT common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of 6130507.64. The shares relate to a stock option exercise on 02/13/2026, paid in cash.

The filing notes that CAT had 465,287,332 shares of common stock outstanding. It also lists earlier sales for Fassino over the prior three months, including 6,033 shares on 02/06/2026 and 10,671 shares on 02/02/2026, with disclosed gross proceeds for each transaction.

FAQ

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

What does the Form 144 filing for CAT disclose about Anthony Fassino?

The filing shows that Anthony Fassino submitted a Rule 144 notice to sell 7,891 shares of CAT common stock. It also details his recent share sales over the prior three months, including two earlier common stock transactions with disclosed gross proceeds.

How many CAT shares are covered by Anthony Fassino’s new Rule 144 notice?

The notice covers a proposed sale of 7,891 shares of CAT common stock. These shares were acquired through a stock option exercise on February 13, 2026, for cash, and are to be sold through Morgan Stanley Smith Barney LLC on the NYSE.

What prior CAT stock sales by Anthony Fassino are listed in the Form 144?

The filing lists two prior sales: 6,033 CAT common shares on February 6, 2026, and 10,671 shares on February 2, 2026. Both transactions include stated gross proceeds, giving investors context on his recent selling activity over the last three months.

How many CAT shares were outstanding according to this Form 144 notice?

The Form 144 states that 465,287,332 shares of CAT common stock were outstanding. This figure provides a baseline for understanding the relative size of the proposed and recent insider share sales disclosed in the filing.

How were the CAT shares in the new sale acquired by Anthony Fassino?

The 7,891 CAT shares in the new Rule 144 notice were acquired via a stock option exercise on February 13, 2026. The filing specifies that the exercise was paid in cash, directly linking the option exercise to the planned share sale.

Which broker will handle the CAT share sale disclosed in Anthony Fassino’s Form 144?

The filing identifies Morgan Stanley Smith Barney LLC Executive Financial Services as the broker for the 7,891 CAT shares. The broker’s New York address is listed, and the shares are expected to be sold on the New York Stock Exchange (NYSE).

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

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Accepted by SEC EDGAR 02/13/2026 - 04:29 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	7891	6130507.64	465287332	02/13/2026	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	02/13/2026	Stock Option Exercise	Issuer			7891	02/13/2026	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	02/06/2026	6033	4356711.64
ANTHONY FASSINO 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039	Common	02/02/2026	10671	7261060.61

144: Remarks and Signature

Remarks
Date of Notice	02/13/2026
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/ Anthony D Fassino
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)