CAT insider plans sale of 10,671 shares

A shareholder of CAT, identified as Anthony Fassino, has filed to sell 10,671 shares of common stock under Rule 144.

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

Rhea-AI Filing Summary

A shareholder of CAT, identified as Anthony Fassino, has filed to sell 10,671 shares of common stock under Rule 144. The planned sale, to be executed on the NYSE through Morgan Stanley Smith Barney LLC, has an aggregate market value of $7,261,060.61.

The shares to be sold were acquired on 02/02/2026 through a stock option exercise, with the purchase price paid in cash the same day. Over the prior three months, the same seller disposed of 8,184 additional common shares on 11/10/2025 for gross proceeds of $4,666,353.12.

FAQ

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

What does the CAT Form 144 filing by Anthony Fassino disclose?

It discloses a planned Rule 144 sale of 10,671 CAT common shares. The sale will be executed on the NYSE through Morgan Stanley Smith Barney, with an aggregate market value of $7,261,060.61 based on the figures in the notice.

How many CAT shares is Anthony Fassino planning to sell under Rule 144?

The filing shows a planned sale of 10,671 CAT common shares. These shares are listed with an aggregate market value of $7,261,060.61 and are to be sold on the NYSE through Morgan Stanley Smith Barney LLC Executive Financial Services.

How did Anthony Fassino acquire the CAT shares being sold in this Form 144?

The shares were acquired on 02/02/2026 through a stock option exercise. The filing states the nature of the acquisition as “Stock Option Exercise,” with 10,671 shares obtained and the purchase price paid in cash on the same date.

What prior CAT share sales by Anthony Fassino are reported in the last three months?

The notice reports a prior sale of 8,184 CAT common shares on 11/10/2025. Those shares generated gross proceeds of $4,666,353.12, and this transaction is listed in the section covering securities sold during the past three months.

Which broker will handle the CAT Rule 144 sale for Anthony Fassino?

The sale will be handled by Morgan Stanley Smith Barney LLC Executive Financial Services. The broker’s address is given as 1 New York Plaza, 8th Floor, New York, NY 10004, and the transaction is designated for execution on the NYSE.

What representation does the seller make about inside information in the CAT Form 144?

By signing the notice, the seller represents that they do not know any material adverse information about CAT’s current or prospective operations that has not been publicly disclosed, consistent with the standard Rule 144 representation language in the form.

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	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	10671	7261060.61	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			10671	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

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	11/10/2025	8184	4666353.12

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