Caterpillar Inc. (CAT)

INDUSTRIALS: MACHINERY
SIC: CONSTRUCTION MACHINERY & EQUIP

510 LAKE COOK ROAD DEERFIELD, IL 60015

Caterpillar Inc. (Caterpillar) provides construction and mining equipment, diesel and natural gas engines, and industrial gas turbines. The Company operates primarily through three lines of business: Machinery, Engines and Financial Products. Machinery includes the design, manufacture, marketing and sales of construction, mining and forestry machinery. Engines line of business includes the design, manufacture, marketing and sales of engines for Caterpillar machinery, electric power generation systems, locomotives, marine, petroleum, construction, industrial, agricultural and other applications and related parts. Financial Products line of business consists primarily of Caterpillar Financial Services Corporation (Cat Financial), Caterpillar Insurance Holdings, Inc. (Cat Insurance) and their respective subsidiaries.

Data as of 2020-09-12
Market Cap82.683 Billion Shares Outstanding541.507 Million Avg 30-day Volume3.212 Million
P/E Ratio20.1 Dividend Yield2.698 EPS7.47
Price/Sales1.777 Price cash flow ratio14.5 Price free cash flow ratio40.2
Book Value25.36 Price to Tangible Book13.26 Alpha0.0
Short Interest Ratio1.99 % Short Interest to Float1.2 R-squared0.390295
BETA1.12824 52-week High/Low155.475 / 87.5 Stddev0.077164
View SEC Filings from CAT instead.
Q2 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 14 21 -33.33% 4 (0.26%) 5 (0.32%) -20.0%
Funds Holding: 1490 1452 2.62% 217 (14.16%) 205 (13.11%) 5.85%
13F shares: 357.939 Million 361.932 Million -1.1% 55.335 Million 58.554 Million -5.5%
% Ownership 66.1007 65.796 0.46% 10.2188 10.6445 -4.0%
New Positions: 148 104 42.31% 32 18 77.78%
Increased Positions 503 550 -8.55% 68 74 -8.11%
Closed Positions 90 245 -63.27% 17 60 -71.67%
Reduced Positions 615 607 1.32% 92 84 9.52%
Total Calls 9.551 Million 7.094 Million 34.63% 4.439 Million 2.954 Million 50.29%
Total Puts 11.161 Million 10.649 Million 4.81% 5.518 Million 4.297 Million 28.42%
PUT/CALL Ratio 1.17 1.5 -22.0% 1.24 1.45 -14.48%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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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

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

21.1 Thousand total shares from 2 transactions

Exercise Derivative Conversion (M)

288.8 Thousand total shares from 10 transactions

Current/Former Insiders

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

LONG SUZETTE M GENERAL COUNSEL/CORPORATE SEC.

  • Officer
 13,004 2020-09-09 7

JOHNSON DENISE C GROUP PRESIDENT

  • Officer
 11,396 2020-09-08 15

DE LANGE BOB GROUP PRESIDENT

  • Officer
 26,804 2020-09-08 13

BONFIELD ANDREW R J CHIEF FINANCIAL OFFICER

  • Officer
 15,632 2020-09-07 2

UMPLEBY III DONALD J CHAIRMAN & CEO

  • Officer
  • Director
 107,690 2020-09-02 5

AINSWORTH WILLIAM P GROUP PRESIDENT

  • Officer
 86,427 2020-08-05 4

YOUNESSI RAMIN GROUP PRESIDENT

  • Officer
 36,669 2020-08-04 3

JOHNSON CHERYL H CHIEF HUMAN RESOURCES OFFICER

  • Officer
 10,138 2020-07-25 2

GALLARDO JUAN

  • Director
 0 2020-06-30 5

SCHWAB SUSAN C

  • Director
 0 2020-06-30 5

CALHOUN DAVID L

  • Director
 0 2020-06-30 5

WHITE MILES D

  • Director
 0 2020-06-30 6

RUST EDWARD B JR

  • Director
 34,402 2020-03-02 1

DICKINSON DANIEL M

  • Director
 9,554 2020-03-02 1

OSBORN WILLIAM A

  • Director
 54,955 2020-03-02 1

REED DEBRA L

  • Director
 8,364 2020-03-02 3

WILKINS RAYFORD JR

  • Director
 4,253 2020-03-02 1

AYOTTE KELLY

  • Director
 3,768 2020-03-02 1

MARVEL GARY MICHAEL CHIEF ACCOUNTING OFFICER

  • Officer
 0 2020-03-02 4

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

CREED JOSEPH E INTERIM CFO

  • Officer
 15,435 2018-06-13 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

LEVENICK STUART L GROUP PRESIDENT

  • Officer
 0 2015-01-05 0

WUNNING STEVEN H 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

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-09-10 18:40:13 -0400 2020-09-09 F 15,070 $154.67 d 13,004 direct -0.208 -0.9361 0.026 5 -3.3999 3

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-09-10 18:40:13 -0400 2020-09-09 M 16,012 $138.35 a 28,074 direct -0.208 -0.9361 0.026 5 -3.3999 3

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-09-10 18:40:13 -0400 2020-09-09 M 16,012 d 32,022 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2020-09-09 19:36:21 -0400 2020-09-08 M 3,994 d 0 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2020-09-09 19:36:21 -0400 2020-09-08 M 3,994 $89.75 a 30,798 direct 2.6491 2.6758 2.6758 6 -0.8408 4

JOHNSON DENISE C - Officer GROUP PRESIDENT

2020-09-09 18:59:57 -0400 2020-09-08 S 19,549 $146.74 d 11,396 direct 2.6491 2.6758 2.6758 6 -0.8408 4

DE LANGE BOB - Officer GROUP PRESIDENT

2020-09-09 19:36:21 -0400 2020-09-08 S 1,575 $147.00 d 26,804 direct 2.6491 2.6758 2.6758 6 -0.8408 4

JOHNSON DENISE C - Officer GROUP PRESIDENT

2020-09-09 18:59:57 -0400 2020-09-08 F 22,269 $148.18 d 30,945 direct 2.6491 2.6758 2.6758 6 -0.8408 4

DE LANGE BOB - Officer GROUP PRESIDENT

2020-09-09 19:36:21 -0400 2020-09-08 F 2,419 $148.18 d 28,379 direct 2.6491 2.6758 2.6758 6 -0.8408 4

JOHNSON DENISE C - Officer GROUP PRESIDENT

2020-09-09 18:59:57 -0400 2020-09-08 M 34,496 d 0 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2020-09-09 18:59:57 -0400 2020-09-08 M 34,496 $95.66 a 53,214 direct 2.6491 2.6758 2.6758 6 -0.8408 4

BONFIELD ANDREW R J - Officer CHIEF FINANCIAL OFFICER

2020-09-09 18:59:39 -0400 2020-09-07 F 5,836 $148.24 d 15,632 direct 2.6491 2.6758 2.6758 6 -0.8408 4

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-09-03 18:41:06 -0400 2020-09-02 M 79,976 a 0 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-09-03 18:41:06 -0400 2020-09-02 M 79,976 $89.75 a 112,311 direct 0.2295 3.597 3.8129 5 0.0 1

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-09-03 18:41:06 -0400 2020-09-02 M 21,416 a 0 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-09-03 18:41:06 -0400 2020-09-02 F 18,323 $148.62 d 32,335 direct 0.2295 3.597 3.8129 5 0.0 1

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-09-03 18:41:06 -0400 2020-09-02 F 62,310 $148.73 d 50,001 direct 0.2295 3.597 3.8129 5 0.0 1

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-09-03 18:41:06 -0400 2020-09-02 M 21,416 $110.09 a 50,658 direct 0.2295 3.597 3.8129 5 0.0 1

JOHNSON DENISE C - Officer GROUP PRESIDENT

2020-08-27 17:42:39 -0400 2020-08-26 A 58 $141.83 a 22,031 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2020-08-27 17:42:19 -0400 2020-08-26 A 54 $141.83 a 5,438 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT held by 401(k) plan

2020-08-10 10:41:13 -0400 2020-08-06 I 4,855 $134.39 d 0 indirect 0.3591 -2.3236 3.6122 8.3439 28 -3.1967 9

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-08-06 18:40:11 -0400 2020-08-05 M 69,486 d 0 direct

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-08-06 18:40:11 -0400 2020-08-05 F 93,434 $135.00 d 82,089 direct 5.2624 3.7355 7.7157 14.0454 29 0.0 1

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-08-06 18:40:11 -0400 2020-08-05 M 15,199 $83.00 a 75,073 direct 5.2624 3.7355 7.7157 14.0454 29 0.0 1

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-08-06 18:40:11 -0400 2020-08-05 M 30,964 d 0 direct

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-08-06 18:40:11 -0400 2020-08-05 M 69,486 $95.66 a 175,523 direct 5.2624 3.7355 7.7157 14.0454 29 0.0 1

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-08-06 18:40:11 -0400 2020-08-05 M 15,199 d 0 direct

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-08-06 18:40:11 -0400 2020-08-05 M 30,964 $74.77 a 106,037 direct 5.2624 3.7355 7.7157 14.0454 29 0.0 1

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-08-05 19:01:56 -0400 2020-08-04 F 1,673 $131.26 d 12,062 direct 0.3944 4.673 13.3939 14.4951 30 0.0 1

YOUNESSI RAMIN - Officer GROUP PRESIDENT

2020-08-05 19:02:13 -0400 2020-08-04 F 12,990 $130.80 d 36,669 direct 0.3944 4.673 13.3939 14.4951 30 0.0 1

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-08-05 19:01:56 -0400 2020-08-04 M 1,971 d 0 direct

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-08-05 19:01:56 -0400 2020-08-04 M 1,971 $95.66 a 13,735 direct 0.3944 4.673 13.3939 14.4951 30 0.0 1

YOUNESSI RAMIN - Officer GROUP PRESIDENT

2020-08-05 19:02:13 -0400 2020-08-04 M 15,277 $95.66 a 49,659 direct 0.3944 4.673 13.3939 14.4951 30 0.0 1

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC. held by 401(k) plan

2020-08-05 19:01:56 -0400 2020-08-04 I 619 $131.52 d 0 indirect 0.3944 4.673 13.3939 14.4951 30 0.0 1

YOUNESSI RAMIN - Officer GROUP PRESIDENT

2020-08-05 19:02:13 -0400 2020-08-04 M 15,277 d 0 direct

JOHNSON CHERYL H - Officer CHIEF HUMAN RESOURCES OFFICER

2020-07-28 14:48:01 -0400 2020-07-25 F 921 $138.70 d 10,008 direct 1.8112 -4.7164 10.6209 10.6209 31 -4.7164 6

* -

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

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