Caterpillar Inc. (CAT)

INDUSTRIALS: MACHINERY
SIC: CONSTRUCTION MACHINERY & EQUIP

510 LAKE COOK ROAD DEERFIELD, IL 60015

Since 1925, Caterpillar Inc. has been helping our customers build a better world - making sustainable progress possible and driving positive change on every continent. With 2019 sales and revenues of $53.8 billion, Caterpillar is the world's leading manufacturer of construction and mining equipment, diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. Services offered throughout the product life cycle, cutting-edge technology and decades of product expertise set Caterpillar apart, providing exceptional value to help our customers succeed. The company principally operates through three primary segments - Construction Industries, Resource Industries and Energy & Transportation - and provides financing and related services through its Financial Products segment.

Data as of 2021-09-19 11:40:21 -0400
Market Cap109.357 Billion Shares Outstanding547.471 Million Avg 30-day Volume3.007 Million
P/E Ratio24.9049 Dividend Yield2.09 EPS7.98
Price/Sales2.38 Debt to Equity4.85 EBITDA8.375 Billion
Price to Book Value6.5 Forward PE5.16 Enterprise Value109.135 Billion
Total Cash10.028 Billion Current Debt43.96 Billion Gross Profit14.296 Billion
BETA0.84711 52-week High/Low245.37 / 140.47 Next Earnings Date2021-10-27 Price to Cash FLow (P/CF) 84.3108
Data provided by IEX Cloud

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Funds Holding CAT (via 13F filings)

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*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 BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

500 total shares from 1 transactions

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
 23,472 2021-08-26 13

CREED JOSEPH E GROUP PRESIDENT

  • Officer
 5,357 2021-08-26 9

MACLENNAN DAVID

  • Director
 1,392 2021-08-04 4

SCHWAB SUSAN C

  • Director
 15,820 2021-06-30 5

CALHOUN DAVID L

  • Director
 18,239 2021-06-30 5

UMPLEBY III DONALD J CHAIRMAN & CEO

  • Officer
  • Director
 288,000 2021-05-07 5

MARVEL GARY MICHAEL CHIEF ACCOUNTING OFFICER

  • Officer
 1,610 2021-05-03 8

GALLARDO JUAN

  • Director
 35,425 2021-03-31 4

JOHNSON GERALD

  • Director
 557 2021-03-25 2

LONG SUZETTE M CLO/GENERAL COUNSEL

  • Officer
 51,616 2021-03-08 5

BONFIELD ANDREW R J CHIEF FINANCIAL OFFICER

  • Officer
 100,674 2021-03-05 3

DE LANGE BOB GROUP PRESIDENT

  • Officer
 36,903 2021-03-05 9

OSBORN WILLIAM A

  • Director
 54,199 2021-03-01 1

WILKINS RAYFORD JR

  • Director
 5,101 2021-03-01 1

RUST EDWARD B JR

  • Director
 35,151 2021-03-01 1

REED DEBRA L

  • Director
 9,578 2021-03-01 1

WHITE MILES D

  • Director
 8,661 2021-03-01 3

DICKINSON DANIEL M

  • Director
 10,269 2021-03-01 1

JOHNSON CHERYL H CHIEF HUMAN RESOURCES OFFICER

  • Officer
 31,082 2021-03-01 2

AYOTTE KELLY

  • Director
 4,499 2021-03-01 1

FASSINO ANTHONY D. GROUP PRESIDENT

  • Officer
 44,403 2021-03-01 3

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

  • Officer
  • RETIRED
 No longer subject to file 2020-12-16 1

YOUNESSI RAMIN GROUP PRESIDENT

  • Officer
 16,177 2020-11-02 3

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

JOHNSON DENISE C - Officer GROUP PRESIDENT

2021-08-27 15:34:19 -0400 2021-08-26 A 40 $211.24 a 23,472 direct

CREED JOSEPH E - Officer GROUP PRESIDENT

2021-08-27 15:34:00 -0400 2021-08-26 A 31 $211.24 a 5,357 direct

MACLENNAN DAVID - Director

2021-08-05 12:36:26 -0400 2021-08-04 P 500 $206.20 a 1,392 direct 0.5599 6.2986 -3.5909 6.9839 5 -3.5909 31

JOHNSON DENISE C - Officer GROUP PRESIDENT

2021-07-27 17:59:00 -0400 2021-07-26 A 41 $211.03 a 22,890 direct

CREED JOSEPH E - Officer GROUP PRESIDENT

2021-07-27 17:58:02 -0400 2021-07-26 A 32 $211.03 a 5,203 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 2021-09-23 22:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 21:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 21:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 20:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 20:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 19:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 19:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 18:45:04 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 18:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 17:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 17:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 16:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 16:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 15:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 15:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 14:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 14:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 13:45:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 13:15:03 UTC -0.18 0.25 0
CATERPILLAR INC CAT 2021-09-23 12:45:03 UTC -0.18 0.25 0

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
RUSSELL INVESTMENT CO- Sustainable Equity Fund CAT -361.0 shares, $-82347.71 2021-04-30 N-PORT
AMG Funds IV- AMG River Road Long-Short Fund CAT -1371.0 shares, $-312738.81 2021-04-30 N-PORT
Weiss Strategic Interval Fund- Weiss Strategic Interval Fund CAT -13859.0 shares, $-3016134.17 2021-06-30 N-PORT
INVESTMENT MANAGERS SERIES TRUST II- AXS Market Neutral Fund CAT -299.0 shares, $-65071.37 2021-06-30 N-PORT
JPMorgan Trust I- JPMorgan U.S. Large Cap Core Plus Fund CAT -34884.0 shares, $-7591804.92 2021-06-30 N-PORT
American Century Capital Portfolios, Inc.- AC Alternatives Market Neutral Value Fund CAT -1983.0 shares, $-431560.29 2021-06-30 N-PORT
VELA Funds- VELA LARGE CAP PLUS FUND CAT -409.0 shares, $-89010.67 2021-06-30 N-PORT
Managed Portfolio Series- Nuance Concentrated Value Long-Short Fund CAT -12129.0 shares, $-2507670.75 2021-07-31 N-PORT
PACE SELECT ADVISORS TRUST- PACE Alternative Strategies Investments CAT -2200.0 shares, $-454850.0 2021-07-31 N-PORT
JPMorgan Trust I- JPMorgan Research Market Neutral Fund CAT -3252.0 shares, $-672351.0 2021-07-31 N-PORT

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