Form 144: 6,196 CAT Shares Reported Sold

Denise C Johnson reported a sale of 6,196 shares of Common stock of the issuer under a stock option exercise, with the transaction dated 05/13/2026 and the Form 144 filing dated 05/14/2026.

Rhea-AI Filing Summary

Denise C Johnson reported a sale of 6,196 shares of Common stock of the issuer under a stock option exercise, with the transaction dated 05/13/2026 and the Form 144 filing dated 05/14/2026. The filing lists cash as the consideration and records proceeds of $5,637,063.18.

Insights

Securities Attorney

Form 144 notifies the market of a Rule 144 resale following an option exercise and cash disposition.

Rule 144 filings are notice filings describing restricted or control securities proposed for sale. This filing states a stock option exercise and a sale of 6,196 shares dated 05/13/2026, with proceeds of $5,637,063.18.

Timing, method, and tax treatment are governed by the issuer and transfer agents; the filing lists cash consideration and the transaction is tied to the issuer entry shown. Subsequent transaction confirmations or broker records would show final settlement details.

Key Figures

Shares sold: 6,196 shares Proceeds: $5,637,063.18 Form type: Form 144 +2 more

5 metrics

Shares sold 6,196 shares transaction dated 05/13/2026

Proceeds $5,637,063.18 amount shown alongside the 6,196 share sale

Form type Form 144 filing dated 05/14/2026

Transaction type Stock Option Exercise listed as the method for the securities sold

Consideration Cash payment method indicated in the filing

Key Terms

Form 144, Rule 144, Stock Option Exercise, Cash consideration

4 terms

Form 144 regulatory

"Form 144 filing dated 05/14/2026"

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.

Rule 144 regulatory

"Filer notice of securities proposed for resale under Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Stock Option Exercise financial

"Entry lists 'Stock Option Exercise' as the securities to be sold"

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.

Cash consideration financial

"The filing shows 'Cash' as the consideration for the transaction"

Cash consideration is the actual money paid to buy a company, asset, or stake rather than payment in shares or other forms. For investors it matters because cash payments deliver immediate, certain value and affect the buyer’s and seller’s cash reserves and balance sheets—like selling a car for cash versus taking a trade-in, one side gets instant spending power while the other changes its liquidity and risk profile.

FAQ

What did the Form 144 filed for CAT disclose?

The Form 144 discloses a sale of 6,196 shares of Common stock tied to a stock option exercise. It shows the transaction date 05/13/2026 and the Form 144 filing date 05/14/2026 with cash consideration recorded.

Who reported the sale in the CAT Form 144?

Denise C Johnson is the reporting person listed on the Form 144. The filing associates the reported sale with a stock option exercise and shows the seller's name and address in the notice.

How much cash proceeds are shown on the Form 144 for CAT?

The filing lists proceeds of $5,637,063.18 associated with the reported transaction. That figure appears alongside the reported sale of 6,196 shares in the Form 144 excerpt.

What transaction method is listed on the CAT Form 144?

The Form 144 entry specifies a Stock Option Exercise as the transaction type and lists Cash as the consideration. The filing also links the entry to the issuer field in the excerpt.

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

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Accepted by SEC EDGAR 05/14/2026 - 04:37 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	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	12605	11444184.12	460637026	05/14/2026	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	05/14/2026	Stock Option Exercise	Issuer			12605	05/14/2026	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
DENISE C JOHNSON 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039	Common	05/13/2026	6196	5637063.18

144: Remarks and Signature

Remarks
Date of Notice	05/14/2026
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)