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 based on most recent fiscal year report
Market Cap80.605 Billion Shares Outstanding552.66 Million Avg Volume5.326 Million
1-Yr BETA vs S&P TR1.336 Current Ratio1.37 Quick Ratio0.96
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Funds Holding CAT (via 13F filings)

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*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 BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

589 total shares from 1 transactions

Exercise Derivative Conversion (M)

none

Current/Former Insiders

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

WHITE MILES D CHAIRMAN AND CEO

  • Officer
  • Director
3,263,431 2020-02-21 5

MARVEL GARY MICHAEL CHIEF ACCOUNTING OFFICER

  • Officer
1,568 2020-02-20 5

WUNNING STEVEN H

  • Director
4,299 2020-02-18 0

UMPLEBY III DONALD J CHAIRMAN & CEO

  • Officer
  • Director
86,915 2020-02-11 5

JOHNSON DENISE C GROUP PRESIDENT

  • Officer
23,129 2020-02-11 17

DE LANGE BOB GROUP PRESIDENT

  • Officer
26,804 2020-02-11 12

LONG SUZETTE M GENERAL COUNSEL/CORPORATE SEC.

  • Officer
14,543 2020-02-11 10

YOUNESSI RAMIN GROUP PRESIDENT

  • Officer
34,382 2020-02-11 4

AINSWORTH WILLIAM P GROUP PRESIDENT

  • Officer
64,188 2020-02-11 4

LAVIN RICHARD P

  • Director
0 2020-02-10 0

REED DEBRA L

  • Director
0 2020-01-30 5

BURRITT DAVID B

  • Director
0 2020-01-30 0

RUST EDWARD B JR

  • Director
2,000 2020-01-02 1

SCHWAB SUSAN C

  • Director
0 2020-01-02 5

OSBORN WILLIAM A

  • Director
35,970 2020-01-02 1

OBERHELMAN DOUGLAS R

  • Director
20,500 2020-01-02 0

AYOTTE KELLY

  • Director
0 2020-01-02 1

GALLARDO JUAN

  • Director
0 2019-12-31 5

CALHOUN DAVID L

  • Director
0 2019-12-31 6

RAPP EDWARD J

  • Director
0 2019-12-31 0

HALVERSON BRADLEY M

  • Director
15,095 2019-12-31 0

LEVENICK STUART L

  • Director
14,327 2019-12-02 0

BONFIELD ANDREW R J CHIEF FINANCIAL OFFICER

  • Officer
21,060 2019-09-07 2

JOHNSON CHERYL H CHIEF HUMAN RESOURCES OFFICER

  • Officer
10,942 2019-07-25 2

WILKINS RAYFORD JR

  • Director
50,163 2019-06-01 1

OWENS JAMES W

  • Director
14,538 2019-05-10 0

POWELL CHARLES D

  • ADVISORY DIRECTOR
0 2019-04-23 0

DICKINSON DANIEL M

  • Director
8,345 2019-03-04 1

MUILENBURG DENNIS A

  • Director
12,966 2019-03-04 1

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

VITTECOQ GERARD R

  • Director
27,694 2018-03-02 0

DILLON JOHN T

  • Director
81,018 2018-01-01 0

HUNTSMAN JON M JR

  • Director
0 2017-09-01 0

BUDA JAMES B EXECUTIVE VICE PRESIDENT

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

GREENE JESSE J JR

  • Director
14,948 2017-03-06 0

BOZEMAN DAVID P SENIOR VICE PRESIDENT

  • Officer
0 2016-09-30 0

FOSLER GAIL D

  • Director
No longer subject to file 2016-06-03 0

GOODE DAVID R

  • Director
73,173 2015-06-24 0

BLOUNT W FRANK

  • Director
37,807 2015-03-11 0

MAGOWAN PETER A

  • Director
0 2014-12-31 0

FIFE EUGENE V

  • Director
90,240 2013-05-06 0

SMITH JOSHUA I

  • Director
15,957 2013-03-04 0

BRAZIL JOHN R

  • Director
11,389 2011-05-04 0

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5

MARVEL GARY MICHAEL - Officer CHIEF ACCOUNTING OFFICER

2020-02-20 S 589 $137.83 d 0 1,568.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2020-02-11 F 5,175 $136.15 d 26,804 26,804.00 direct

MARVEL GARY MICHAEL - Officer CHIEF ACCOUNTING OFFICER

2020-02-11 A 894 a 894 2,157.00 direct

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-02-11 F 332 $136.15 d 13,975 14,543.00 direct

YOUNESSI RAMIN - Officer GROUP PRESIDENT

2020-02-11 A 8,102 a 36,896 34,382.00 direct

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-02-11 F 4,372 $136.15 d 59,927 64,188.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2020-02-11 A 14,112 a 31,979 26,804.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2020-02-11 F 6,898 $136.15 d 18,718 23,129.00 direct

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2020-02-11 A 1,045 a 14,307 14,543.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-02-11 F 15,684 $136.15 d 79,092 86,915.00 direct

AINSWORTH WILLIAM P - Officer GROUP PRESIDENT

2020-02-11 A 12,283 a 64,299 64,188.00 direct

MARVEL GARY MICHAEL - Officer CHIEF ACCOUNTING OFFICER

2020-02-11 F 305 $136.15 d 589 2,157.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2020-02-11 A 18,294 a 25,616 23,129.00 direct

YOUNESSI RAMIN - Officer GROUP PRESIDENT

2020-02-11 F 2,514 $136.45 d 34,382 34,382.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2020-02-11 A 37,895 a 94,776 86,915.00 direct

GALLARDO JUAN - Director

2019-12-31 A 254 $147.51 a 32,918 0.00 direct

WHITE MILES D - Director

2019-12-31 A 297 $147.51 a 10,758 0.00 direct

REED DEBRA L - Director

2019-12-31 A 254 $147.51 a 7,103 0.00 direct

CALHOUN DAVID L - Director

2019-12-31 A 373 $147.51 a 15,489 0.00 direct

SCHWAB SUSAN C - Director

2019-12-31 A 254 $147.51 a 13,812 0.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-12-27 A 81 $148.28 a 17,639 0.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-12-27 A 207 $148.28 a 3,477 0.00 direct

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