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 Cap86.301 Billion Shares Outstanding594.93 Million Avg Volume7.426 Million
1-Yr BETA vs S&P TR Current Ratio1.35 Quick Ratio0.97
View SEC Filings from CAT instead.
Q3 2019 All Institutions Hedge Funds 1
To trade CAT now:
Filers who had this stock in their top 10: 13 0 (0.0%)
13F Filers holding this stock: 1390 93 (9.72%)
Aggregate 13F shares on 09/30/2019: 355.556 Million 20.661 Million
Aggregate 13F shares on 06/30/2019: 365.45 Million 21.465 Million
Percent change: -2.71% -3.75%
Funds creating new positions: 68 12
Funds Adding to an existing position: 495 25
Funds closing out their position: 134 26
Funds reducing their position: 607 42
1 hedge funds 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"

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

96.1 Thousand total shares from 7 transactions

Exercise Derivative Conversion (M)

125.7 Thousand total shares from 8 transactions

Current/Former Insiders

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

HALVERSON BRADLEY M

  • Director
14,914 2019-11-15 0

LAVIN RICHARD P

  • Director
0 2019-11-08 0

JOHNSON DENISE C GROUP PRESIDENT

  • Officer
11,609 2019-11-05 18

UMPLEBY III DONALD J CHAIRMAN & CEO

  • Officer
  • Director
64,696 2019-11-04 5

DE LANGE BOB GROUP PRESIDENT

  • Officer
17,837 2019-11-04 12

REED DEBRA L

  • Director
155 2019-11-01 5

MARVEL GARY MICHAEL CHIEF ACCOUNTING OFFICER

  • Officer
1,546 2019-10-29 3

LONG SUZETTE M GENERAL COUNSEL/CORPORATE SEC.

  • Officer
13,815 2019-10-28 13

AYOTTE KELLY

  • Director
0 2019-10-16 2

WUNNING STEVEN H

  • Director
3,948 2019-10-04 0

SCHWAB SUSAN C

  • Director
0 2019-10-01 5

CALHOUN DAVID L

  • Director
0 2019-10-01 6

GALLARDO JUAN

  • Director
0 2019-09-30 5

RAPP EDWARD J

  • Director
0 2019-09-30 0

WHITE MILES D

  • Director
0 2019-09-30 5

BURRITT DAVID B

  • Director
6,003 2019-09-30 0

BONFIELD ANDREW R J CHIEF FINANCIAL OFFICER

  • Officer
21,060 2019-09-07 2

RUST EDWARD B JR

  • Director
0 2019-09-03 1

LEVENICK STUART L

  • Director
14,160 2019-09-03 0

OSBORN WILLIAM A

  • Director
36,085 2019-08-02 1

YOUNESSI RAMIN GROUP PRESIDENT

  • Officer
28,794 2019-07-29 5

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

AINSWORTH WILLIAM P GROUP PRESIDENT

  • Officer
55,920 2019-05-01 3

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 3

PELLETTE THOMAS A GROUP PRESIDENT

  • Officer
43,541 2019-02-12 1

OBERHELMAN DOUGLAS R

  • Director
18,000 2019-01-02 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

JOHNSON DENISE C - Officer GROUP PRESIDENT held by jerry johnson trust

2019-11-05 S 936 $146.74 d 0 11,609.00 indirect

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-11-05 S 4,172 $146.67 d 7,322 11,609.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-11-04 F 3,021 $146.01 d 63,776 64,696.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-11-04 F 2,546 $146.18 d 17,837 17,837.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-11-04 D 2,349 $146.01 d 17,879 17,837.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-11-04 D 15,875 $146.01 d 66,797 64,696.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-11-04 M 2,952 d 0 17,837.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-11-04 M 2,952 $110.09 a 20,383 17,837.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-11-04 M 3,359 $102.13 a 20,228 17,837.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-11-04 M 22,696 d 0 64,696.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-11-04 M 22,696 $102.13 a 82,672 64,696.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-11-04 M 3,359 d 0 17,837.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-11-04 F 448 $146.01 d 17,431 17,837.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-11-01 M 68,993 $95.66 d 34,496 16,910.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-11-01 M 68,993 $95.66 a 80,680 16,910.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-11-01 S 34,496 $144.00 d 11,687 16,910.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-11-01 S 34,497 $142.01 d 46,183 16,910.00 direct

MARVEL GARY MICHAEL - Officer CHIEF ACCOUNTING OFFICER

2019-10-29 M 2,180 $89.75 a 2,180 1,546.00 direct

MARVEL GARY MICHAEL - Officer CHIEF ACCOUNTING OFFICER

2019-10-29 M 2,180 d 2,180 1,546.00 direct

MARVEL GARY MICHAEL - Officer CHIEF ACCOUNTING OFFICER

2019-10-29 S 2,180 $139.38 d 0 1,546.00 direct

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2019-10-28 M 3,943 $95.66 a 16,512 13,815.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-10-28 D 2,797 $140.25 d 62,574 61,725.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-10-28 M 14,777 $74.77 a 26,464 16,883.00 direct

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2019-10-28 M 3,943 d 1,971 13,815.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-10-28 M 6,781 d 0 61,725.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-10-28 M 6,781 $57.85 a 65,371 61,725.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-10-28 M 14,777 d 0 16,883.00 direct

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2019-10-28 F 3,250 $139.73 d 13,262 13,815.00 direct

UMPLEBY III DONALD J - Director - Officer CHAIRMAN & CEO

2019-10-28 F 1,764 $140.25 d 60,810 61,725.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-10-28 S 14,777 $140.00 d 11,687 16,883.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-10-25 A 86 $139.73 a 16,777 16,883.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-10-25 A 55 $139.73 a 3,090 0.00 direct

LONG SUZETTE M - Officer GENERAL COUNSEL/CORPORATE SEC.

2019-09-30 S 5,019 $126.34 d 12,569 13,122.00 direct

WHITE MILES D - Director

2019-09-30 A 346 $126.49 a 10,386 0.00 direct

GALLARDO JUAN - Director

2019-09-30 A 296 $126.49 a 32,413 0.00 direct

REED DEBRA L - Director

2019-09-30 A 296 $126.49 a 6,799 0.00 direct

CALHOUN DAVID L - Director

2019-09-30 A 435 $126.49 a 15,007 0.00 direct

SCHWAB SUSAN C - Director

2019-09-30 A 296 $126.49 a 13,460 0.00 direct

JOHNSON DENISE C - Officer GROUP PRESIDENT

2019-09-26 A 95 $126.39 a 17,335 0.00 direct

DE LANGE BOB - Officer GROUP PRESIDENT

2019-09-26 A 60 $126.39 a 3,152 0.00 direct
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