Caterpillar (CAT) Form 144: Proposed Sale of 2,324 Shares

Q: 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.

Q: 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.

Q: 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 .

Q: 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.

[144] Caterpillar Inc. SEC Filing

Filing Impact

(Low)

Filing Sentiment

(Neutral)

Form Type

144

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

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.

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鈥檚 certification align with standard governance and Rule 144 procedural requirements. This is a procedural compliance event rather than a material corporate development.

08/15/2025 - 03:57 PM

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)

Source:

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.

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[144] Caterpillar Inc. SEC Filing

Insights

144: Filer Information

Submission Contact Information

144: Issuer Information

144: Securities Information

144: Securities To Be Sold

144: Securities Sold During The Past 3 Months

144: Remarks and Signature

ATTENTION:

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?

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

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

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

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

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[144] Caterpillar Inc. SEC Filing

Insights

Securities Analyst neutral

Corporate Governance Specialist neutral

144: Filer Information

Submission Contact Information

144: Issuer Information

144: Securities Information

144: Securities To Be Sold

144: Securities Sold During The Past 3 Months

144: Remarks and Signature

ATTENTION:

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?

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

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

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

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

NYSE:CAT

CAT Rankings

CAT Latest News

CAT Latest SEC Filings

CAT Stock Data