Caterpillar Inc. (CAT)

Sector:
INDUSTRIALS
Industry:
MACHINERY
SIC:
CONSTRUCTION MACHINERY & EQUIP
CEO:
Donald James Umpleby
Employees:
104,000
510 LAKE COOK ROAD, SUITE 100, DEERFIELD, IL 60015
2245514000

Caterpillar, Inc. engages in the manufacture of construction and mining equipment, diesel and natural gas engines, industrial gas turbines, and diesel-electric locomotives. It provides technology for construction, transportation, mining, forestry, energy, logistics, electronics, financing, and electric power generation. It operates through the following segments: Construction Industries, Resource Industries, Energy & Transportation, and Financial Products. The Construction Industries segment supports customers using machinery in infrastructure and building construction applications. The Resource Industries segment responsible for supporting customers using machinery in mining and quarrying applications and it includes business strategy, product design, product management, and development, manufacturing, marketing and sales and product support. The Energy & Transportation segment supports customers in oil and gas, power generation, marine, rail, and industrial applications. The Financial Products segment line business provides a wide range of financing alternatives to customers and dealers for Caterpillar machinery and engines, solar gas turbines as well as other equipment and marine vessels. The company was founded on April 15, 1925 and is headquartered in Peoria, IL.

Data derived from most recent annual or quarterly report
Market Cap 106.009 Billion Shares Outstanding535.888 Million Avg 30-day Volume 3.305 Million
P/E Ratio17.3909 Dividend Yield2.0803 EPS5.38
Price to Revenue2.214 Debt to Equity2.288 EBITDA11.044 Billion
Price to Book Value6.846 Operating Margin13.4939 Enterprise Value141.416 Billion
Current Ratio1.456 EPS Growth1.167 Quick Ratio0.892
1 Yr BETA 0.6714 52-week High/Low 241.69 / 178.81 Profit Margin12.7386
Operating Cash Flow Growth13.7664 Altman Z-Score2.8452 Free Cash Flow to Firm 3.523 Billion
Earnings Report2022-07-29

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Funds Holding CAT (via 13F filings)

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Mutual Funds Holding CAT BETA

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

600 total shares from 1 transactions

Open Market Sells (S)

20.5 Thousand total shares from 3 transactions

Exercise Derivative Conversion (M)

16.7 Thousand total shares from 2 transactions

Current/Former Insiders

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

MACLENNAN DAVID

  • Director
2,480 2022-05-05 3

DE LANGE BOB GROUP PRESIDENT

  • Officer
55,534 2022-04-21 4

LONG SUZETTE M CLO/GENERAL COUNSEL

  • Officer
10,597 2022-04-20 4

CREED JOSEPH E GROUP PRESIDENT

  • Officer
18,098 2022-04-20 15

SCHAUPP WILLIAM E CHIEF ACCOUNTING OFFICER

  • Officer
1,947 2022-04-01 1

SCHWAB SUSAN C

  • Director
16,629 2022-03-31 4

CALHOUN DAVID L

  • Director
19,343 2022-03-31 4

JOHNSON DENISE C GROUP PRESIDENT

  • Officer
47,918 2022-03-11 11

BONFIELD ANDREW R J CHIEF FINANCIAL OFFICER

  • Officer
76,582 2022-03-09 3

JOHNSON CHERYL H CHIEF HUMAN RESOURCES OFFICER

  • Officer
24,181 2022-03-07 3

UMPLEBY III DONALD J CHAIRMAN & CEO

  • Officer
  • Director
130,579 2022-03-07 2

FASSINO ANTHONY D. GROUP PRESIDENT

  • Officer
35,788 2022-03-07 2

WHITE MILES D

  • Director
8,382 2022-03-01 1

MARVEL GARY MICHAEL CHIEF ACCOUNTING OFFICER

  • Officer
1,641 2022-02-16 2

GALLARDO JUAN

  • Director
35,425 2021-03-31 0

JOHNSON GERALD

  • Director
557 2021-03-25 0

OSBORN WILLIAM A

  • Director
54,199 2021-03-01 0

WILKINS RAYFORD JR

  • Director
5,101 2021-03-01 0

RUST EDWARD B JR

  • Director
46,518 2021-03-01 0

REED DEBRA L

  • Director
9,578 2021-03-01 0

DICKINSON DANIEL M

  • Director
10,269 2021-03-01 0

AYOTTE KELLY

  • Director
4,499 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

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

MACLENNAN DAVID - Director

2022-05-06 11:07:26 -0400 2022-05-05 P 600 $219.82 a 2,480 direct -3.8947 -4.8078 0.0 1 -5.4321 3

DE LANGE BOB - Officer GROUP PRESIDENT

2022-04-25 13:05:31 -0400 2022-04-21 M 11,718 $74.77 a 55,535 direct -2.9534 -2.1366 0.0 1 -2.9534 2

DE LANGE BOB - Officer GROUP PRESIDENT

2022-04-25 13:05:31 -0400 2022-04-21 M 11,718 $74.77 d 11,717 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2022-04-25 13:05:31 -0400 2022-04-21 S 11,718 $237.25 d 43,817 direct -2.9534 -2.1366 0.0 1 -2.9534 2

CREED JOSEPH E - Officer GROUP PRESIDENT

2022-04-22 12:59:26 -0400 2022-04-20 M 5,004 $138.35 a 7,761 direct 0.1849 -2.663 0.1849 2 -2.7739 3

LONG SUZETTE M - Officer CLO/GENERAL COUNSEL

2022-04-22 12:59:44 -0400 2022-04-20 S 3,816 $235.00 d 10,549 direct 0.1849 -2.663 0.1849 2 -2.7739 3

CREED JOSEPH E - Officer GROUP PRESIDENT

2022-04-22 12:59:26 -0400 2022-04-20 M 5,004 $138.35 d 5,003 direct

CREED JOSEPH E - Officer GROUP PRESIDENT

2022-04-22 12:59:26 -0400 2022-04-20 S 5,004 $235.00 d 2,757 direct 0.1849 -2.663 0.1849 2 -2.7739 3

CALHOUN DAVID L - Director

2022-04-01 17:34:26 -0400 2022-03-31 A 246 $223.81 a 19,343 direct

SCHWAB SUSAN C - Director

2022-04-01 17:34:53 -0400 2022-03-31 A 168 $223.81 a 16,629 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 2022-05-20 22:15:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 21:45:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 21:15:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 20:45:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 20:15:05 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 19:45:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 19:15:04 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 18:45:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 18:15:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 17:45:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 17:15:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 16:45:04 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 16:15:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 15:45:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 15:15:03 UTC 0.57 0.25 9600000
CATERPILLAR INC CAT 2022-05-20 14:45:03 UTC 0.5505 0.2695 9600000
CATERPILLAR INC CAT 2022-05-20 14:15:04 UTC 0.5505 0.2695 9600000
CATERPILLAR INC CAT 2022-05-20 13:45:03 UTC 0.5505 0.2695 9600000
CATERPILLAR INC CAT 2022-05-20 13:15:03 UTC 0.5505 0.2695 9600000
CATERPILLAR INC CAT 2022-05-20 12:45:03 UTC 0.5505 0.2695 9600000

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
JPMORGAN INSURANCE TRUST- JPMorgan Insurance Trust Global Allocation Portfolio CAT -105.0 shares, $-21707.7 2021-12-31 N-PORT
JPMorgan Trust I- JPMorgan U.S. Large Cap Core Plus Fund CAT -30785.0 shares, $-6364490.9 2021-12-31 N-PORT
JNL Series Trust- JNL/JPMorgan Global Allocation Fund CAT -1137.0 shares, $-235063.38 2021-12-31 N-PORT
Series Portfolios Trust- Weiss Alternative Multi-Strategy Fund CAT -279.0 shares, $-56235.24 2022-01-31 N-PORT
Managed Portfolio Series- Nuance Concentrated Value Long-Short Fund CAT -5075.0 shares, $-1022917.0 2022-01-31 N-PORT
PACE SELECT ADVISORS TRUST- PACE Alternative Strategies Investments CAT -1140.0 shares, $-229778.4 2022-01-31 N-PORT
JPMorgan Trust I- JPMorgan Research Market Neutral Fund CAT -2284.0 shares, $-460363.04 2022-01-31 N-PORT
Weiss Strategic Interval Fund- Weiss Strategic Interval Fund CAT -5253.0 shares, $-1086005.22 2021-12-31 N-PORT
FundVantage Trust- Gotham Enhanced 500 Plus Fund CAT -18.0 shares, $-4010.76 2022-03-31 N-PORT
INVESTMENT MANAGERS SERIES TRUST II- AXS Market Neutral Fund CAT -328.0 shares, $-73084.96 2022-03-31 N-PORT

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