[144] Caterpillar Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Caterpillar Inc. (CAT) reports a proposed sale of 2,324 common shares through Charles Schwab & Co., Inc. on the NYSE, with an aggregate market value of $949,284 and the company showing 468,478,923 shares outstanding. The shares were granted as restricted stock units: 1,307 RSUs acquired 03/06/2017 (paid 03/06/2018) and 1,017 RSUs acquired 03/05/2018 (paid 03/05/2019), with payment described as equity compensation. The filer certifies no undisclosed material adverse information about the issuer and indicates no sales of issuer securities by the filer in the past three months.

Insights

Securities Analyst

TL;DR: Small, routine insider sale notice; negligible dilution and no recent sales reported.

This Form 144 notifies the market of a proposed sale of 2,324 common shares (total value $949,284) by a person holding RSUs converted and paid as equity compensation in 2018 and 2019. Relative to total outstanding shares (468,478,923), the position is immaterial and unlikely to affect supply-demand or valuation. The filing includes the required representation that no material nonpublic information exists. No sales in the prior three months were reported, reducing near-term market-impact concerns.

Corporate Governance Specialist

TL;DR: Routine compliance disclosure reflecting monetization of vested equity; governance controls appear followed.

The disclosure documents the mechanics of an intended sale via a specified broker on the NYSE and ties the shares to prior RSU awards with payment dates noted, showing proper reporting of insider dispositions. The absence of aggregated recent sales and the signer’s certification align with standard governance and Rule 144 procedural requirements. This is a procedural compliance event rather than a material corporate development.

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
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	2324	949284.00	468478923	08/15/2025	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	03/06/2017	RSU	Issuer			1307	03/06/2018	Equity Compensation
Common	03/05/2018	RSU	Issuer			1017	03/05/2019	Equity Compensation

* 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

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

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

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

FAQ

What does Caterpillar's (CAT) Form 144 disclose about the proposed sale?

The notice discloses a proposed sale of 2,324 common shares via Charles Schwab on the NYSE with an aggregate market value of $949,284 and approximately 468,478,923 shares outstanding.

When is the approximate sale date listed on the Form 144 for CAT?

The form lists an approximate sale date of 08/15/2025 for the proposed transaction.

How were the shares being sold originally acquired according to the filing?

All shares were acquired as RSUs: 1,307 on 03/06/2017 (paid 03/06/2018) and 1,017 on 03/05/2018 (paid 03/05/2019), with payment noted as equity compensation.

Does the Form 144 report any securities sold by the filer in the past three months?

No. The filing states "Nothing to Report" for securities sold by the filer during the past three months.

Does the filer claim any undisclosed material information about Caterpillar in the filing?

No. By signing the notice, the filer represents they do not know of any material adverse information about the issuer that has not been publicly disclosed.