Caterpillar Inc. (CAT)

Sector:
INDUSTRIALS
Industry:
MACHINERY
SIC:
CONSTRUCTION MACHINERY & EQUIP
CEO:
Donald J. Umpleby
Employees:
109,100
510 LAKE COOK ROAD, SUITE 100, DEERFIELD, IL 60015
2245514000

Caterpillar Inc. manufactures and sells construction and mining equipment, diesel and natural gas engines, and industrial gas turbines. Its Construction Industries segment offers asphalt pavers, backhoe loaders, compactors, cold planers, and other vehicles. Resource Industries segment provides electric rope shovels, draglines, hydraulic shovels and rotary drills. Energy & Transportation segment offers reciprocating engines, generator sets, integrated systems and solutions. Financial Products segment provides operating and finance leases, installment sale contracts, working capital loans, and wholesale financing plans.

Data derived from most recent annual or quarterly report
Market Cap 107.952 Billion Shares Outstanding516.345 Million Avg 30-day Volume 2.93 Million
P/E Ratio16.6246 Dividend Yield2.0694 EPS13.6
Price to Revenue1.916 Debt to Equity2.0384 EBITDA12.044 Billion
Price to Book Value6.5137 Operating Margin14.2301 Enterprise Value148.488 Billion
Current Ratio1.434 EPS Growth0.134 Quick Ratio0.79
1 Yr BETA 0.9626 52-week High/Low 264.6 / 157.92 Profit Margin11.5219
Operating Cash Flow Growth61.6694 Altman Z-Score3.1685 Free Cash Flow to Firm 6.359 Billion
Earnings Report2023-08-01

Are you looking for these stocks instead?

View SEC Filings from CAT instead.

View recent insider trading info

Caterpillar Inc. YCharts
Yahoo! Finance finviz
SEC Web Site SEC DEF 14A Filings

Funds Holding CAT (via 13F filings)

Refresh Download CSV Download Excel (.xlsx) Download TSV
Filter by:
Click for Additional Filters
to
to
to
Refresh
*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding CAT

Download CSV

Active Schedule 13D and 13G filings

Please sign in first

Recent Filings

Financial Reporting

Ownership

  • 4: filed on 2023-05-31 by JOHNSON DENISE C
  • 4: filed on 2023-04-04 by SCHWAB SUSAN C
  • 4: filed on 2023-04-04 by CALHOUN DAVID L
  • 4: filed on 2023-03-16 by CREED JOSEPH E
  • 4: filed on 2023-03-16 by JOHNSON DENISE C
  • 4: filed on 2023-03-14 by JOHNSON DENISE C
  • 4: filed on 2023-03-14 by CREED JOSEPH E
  • 4: filed on 2023-03-08 by FASSINO ANTHONY D.
  • 4: filed on 2023-03-08 by LONG SUZETTE M
  • 4: filed on 2023-03-08 by CREED JOSEPH E

    • Events (8k)

  • 8-K: filed on 2023-04-27:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2023-02-02:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2023-01-31:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-10-27:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-10-13:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-09-08:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-09-06:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-08-02:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-06-14:
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 5.07: Submission of Matters to a Vote of Security Holders
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-04-28:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits

    • Proposed Sales (Form 144)

    Proxy

    Prospectus

    All

    Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    none

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    JOHNSON DENISE C GROUP PRESIDENT

    • Officer
    		 0 2023-05-26 13

    SCHWAB SUSAN C

    • Director
    		 22,321 2023-03-31 5

    CALHOUN DAVID L

    • Director
    		 48,964 2023-03-31 5

    CREED JOSEPH E GROUP PRESIDENT

    • Officer
    		 13,711 2023-03-14 14

    BONFIELD ANDREW R J CHIEF FINANCIAL OFFICER

    • Officer
    		 0 2023-03-06 3

    JOHNSON CHERYL H CHIEF HUMAN RESOURCES OFFICER

    • Officer
    		 0 2023-03-06 3

    UMPLEBY III DONALD J CHIEF EXECUTIVE OFFICER

    • Officer
    • Director
    		 0 2023-03-06 2

    DE LANGE BOB GROUP PRESIDENT

    • Officer
    		 0 2023-03-06 3

    LONG SUZETTE M CHIEF LEGAL OFFICER

    • Officer
    		 0 2023-03-06 4

    SCHAUPP WILLIAM E CHIEF ACCOUNTING OFFICER

    • Officer
    		 0 2023-03-06 2

    FASSINO ANTHONY D. GROUP PRESIDENT

    • Officer
    		 0 2023-03-06 2

    FISH JAMES C JR

    • Director
    		 4,200 2023-03-01 1

    MARKS JUDITH FRAN

    • Director
    		 0 2023-03-01 1

    MACLENNAN DAVID

    • Director
    		 3,709 2023-02-17 2

    DICKINSON DANIEL M

    • Director
    		 5,038 2023-02-06 2

    WILKINS RAYFORD JR

    • Director
    		 6,027 2022-06-08 1

    RUST EDWARD B JR

    • Director
    		 47,382 2022-06-08 1

    REED DEBRA L

    • Director
    		 10,617 2022-06-08 1

    AYOTTE KELLY

    • Director
    		 5,363 2022-06-08 1

    JOHNSON GERALD

    • Director
    		 1,385 2022-06-08 1

    WHITE MILES D

    • Director
    		 8,382 2022-03-01 0

    MARVEL GARY MICHAEL CHIEF ACCOUNTING OFFICER

    • Officer
    		 1,641 2022-02-16 0

    GALLARDO JUAN

    • Director
    		 35,425 2021-03-31 0

    OSBORN WILLIAM A

    • Director
    		 54,199 2021-03-01 0

    AINSWORTH WILLIAM P GROUP PRES. THRU 12/31/2020

    • Officer
    • RETIRED
    		 No longer subject to file 2020-12-16 0

    YOUNESSI RAMIN GROUP PRESIDENT

    • Officer
    		 16,177 2020-11-02 0

    MUILENBURG DENNIS A

    • Director
    		 12,966 2019-03-04 0

    COPELAND JANANNE A. CHIEF ACCOUNTING OFFICER

    • Officer
    		 8,895 2019-02-12 0

    PELLETTE THOMAS A GROUP PRESIDENT

    • Officer
    		 43,541 2019-02-12 0

    CHARTER ROBERT B GROUP PRESIDENT

    • Officer
    		 0 2018-03-05 0

    HALVERSON BRADLEY M GROUP PRESIDENT & CFO

    • Officer
    		 35,795 2018-02-13 0

    BUDA JAMES B EXECUTIVE VICE PRESIDENT

    • Officer
    		 No longer subject to file 2017-05-01 0

    OBERHELMAN DOUGLAS R CHAIRMAN OF THE BOARD

    • Officer
    • Director
    		 No longer subject to file 2017-03-31 0

    GREENE JESSE J JR

    • Director
    		 14,948 2017-03-06 0

    HUNTSMAN JON M JR

    • Director
    		 6,898 2017-03-06 0

    BOZEMAN DAVID P SENIOR VICE PRESIDENT

    • Officer
    		 0 2016-09-30 0

    RAPP EDWARD J GROUP PRESIDENT

    • Officer
    		 0 2016-03-07 0

    WUNNING STEVEN H GROUP PRESIDENT

    • Officer
    		 0 2015-01-05 0

    LEVENICK STUART L GROUP PRESIDENT

    • Officer
    		 0 2015-01-05 0

    MAGOWAN PETER A

    • Director
    		 0 2014-12-31 0

    GOODE DAVID R

    • Director
    		 No longer subject to file 2013-12-31 0

    POWELL CHARLES D

    • Director
    		 No longer subject to file 2013-12-31 0

    VITTECOQ GERARD R GROUP PRESIDENT

    • Officer
    		 0 2013-03-04 0

    SMITH JOSHUA I

    • Director
    		 15,957 2013-03-04 0

    FIFE EUGENE V

    • Director
    		 40,784 2012-12-31 0

    LAVIN RICHARD P GROUP PRESIDENT

    • Officer
    		 83,014 2012-12-17 0

    BRAZIL JOHN R

    • Director
    		 11,389 2011-05-04 0

    DILLON JOHN T

    • Director
    		 31,787 2010-12-31 0

    OWENS JAMES W

    • Director
    		 439,122 2010-09-30 0

    BURRITT DAVID B V.P./CHIEF FINANCIAL OFFICER

    • Officer
    		 39,037 2010-05-28 0

    BLOUNT W FRANK

    • Director
    		 18,033 2010-02-03 0

    FOSLER GAIL D

    • Director
    		 8,515 2009-08-05 0

    SHAHEEN GERALD L GROUP PRESIDENT

    • Officer
    		 212,364 2007-07-25 0

    PARKER GORDON R

    • Director
    		 34,911 2006-06-14 0

    BUSSELL RODNEY L VICE PRESIDENT

    • Officer
    		 60,720 2006-02-01 0

    FELLIN PAOLO VICE PRESIDENT

    • Officer
    		 24,174 2006-02-01 0

    MURPHY DANIEL M VICE PRESIDENT

    • Officer
    		 36,571 2006-01-31 0

    BAHAJ ALI M VICE PRESIDENT

    • Officer
    		 43,954 2006-01-31 0

    PARKER JAMES J VICE PRESIDENT

    • Officer
    		 21,056 2006-01-31 0

    SCHENA CHRISTIANO V VICE PRESIDENT

    • Officer
    		 44,349 2006-01-31 0

    PFLEDERER MARK R VICE PRESIDENT

    • Officer
    		 12,563 2006-01-31 0

    BELL MARY H VICE PRESIDENT

    • Officer
    		 12,235 2006-01-31 0

    STROUP GARY A VICE PRESIDENT

    • Officer
    		 85,592 2006-01-26 0

    PALMER GERALD VICE PRESIDENT

    • Officer
    		 34,809 2006-01-26 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed    		 Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

    JOHNSON DENISE C - Officer GROUP PRESIDENT

    		2023-05-31 06:10:42 -0400 2023-05-26 A 25 $211.80 a 26,883 direct

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    CATERPILLAR INC CAT 2023-06-01 22:15:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 21:45:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 21:15:05 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 20:45:03 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 20:15:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 19:45:03 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 19:15:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 18:45:03 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 18:15:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 17:45:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 17:15:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 16:45:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 16:15:04 UTC 4.82 0.25 9900000
    CATERPILLAR INC CAT 2023-06-01 15:45:03 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 15:15:04 UTC 4.82 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 14:45:04 UTC 4.81 0.25 9800000
    CATERPILLAR INC CAT 2023-06-01 14:15:04 UTC 4.81 0.25 9900000
    CATERPILLAR INC CAT 2023-06-01 13:45:04 UTC 4.81 0.25 9900000
    CATERPILLAR INC CAT 2023-06-01 13:15:04 UTC 4.81 0.25 9900000
    CATERPILLAR INC CAT 2023-06-01 12:45:04 UTC 4.81 0.25 9800000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin
    JPMorgan Trust IV- JPMorgan Value Plus Fund CAT -380.0 shares, $-47997.8 2019-09-30 N-PORT
    FundVantage Trust- Gotham Master Neutral Fund CAT -29.0 shares, $-4325.35 2020-09-30 N-PORT
    M3Sixty Funds Trust- AXS Market Neutral Fund CAT -527.0 shares, $-95924.54 2020-12-31 N-PORT
    American Century Capital Portfolios, Inc.- AC Alternatives Market Neutral Value Fund CAT -1498.0 shares, $-287571.06 2021-09-30 N-PORT
    Weiss Strategic Interval Fund- Weiss Strategic Interval Fund CAT -2761.0 shares, $-453024.88 2022-09-30 N-PORT
    Managed Portfolio Series- Nuance Concentrated Value Long-Short Fund CAT -11268.0 shares, $-2842803.72 2023-01-31 N-PORT
    JPMorgan Trust I- JPMorgan Research Market Neutral Fund CAT -689.0 shares, $-173827.81 2023-01-31 N-PORT
    NORTHERN LIGHTS FUND TRUST II- Invenomic Fund CAT -13779.0 shares, $-3476303.91 2023-01-31 N-PORT
    Series Portfolios Trust- Weiss Alternative Multi-Strategy Fund CAT -1264.0 shares, $-318894.56 2023-01-31 N-PORT
    INVESTMENT MANAGERS SERIES TRUST II- AXS Market Neutral Fund CAT -719.0 shares, $-164535.96 2023-03-31 N-PORT
    LoCorr Investment Trust- LoCorr Dynamic Opportunity Fund CAT -1939.0 shares, $-443720.76 2023-03-31 N-PORT
    SEI INSTITUTIONAL MANAGED TRUST- SIMT Multi-Strategy Alternatives Fund CAT -2805.0 shares, $-641896.2 2023-03-31 N-PORT

    Congressional Transactions Past 6-Months

    To see all congressional transactions (since 2022) for this stock, please use the congressional transaction search page***
    Congress Person Party Chamber Filing Filing Date Transaction Date Security Type Owner Transaction Amount
    Hon. Rohit Khanna democrat House Filing 2023-05-03 2023-04-10 SP S $15,001-$50,000
    Hon. Daniel Goldman House Filing 2023-05-03 2023-04-10 SP $15,001-$50,000
    Hon. John Curtis republican House Filing 2023-05-02 2023-04-26 JT SP $1,001-$15,000
    Hon. Kathy Manning democrat House Filing 2023-05-02 2023-04-28 SP $1,001-$15,000
    Hon. Rohit Khanna democrat House Filing 2023-03-01 2023-02-03 DC P $15,001-$50,000

    Elevate your investments