SEC Form 4 · Updated Daily
CAT
— CATERPILLAR INC. OwnershipInsider and institutional ownership derived from SEC Form 4 filings. Click any owner to see their holdings across every company they’ve filed on, and how their position has changed over time.
Current Reporting Owners
| Owner | Role | Shares Owned | As Of | Last Activity |
|---|---|---|---|---|
| Umpleby III Donald J | Officer | 464,199 | 2026-03-04 | F |
| De Lange Bob | Director | 86,029 | 2026-05-06 | S |
| BONFIELD ANDREW R J | Officer | 52,935 | 2026-05-06 | S |
| Johnson Denise C | Officer | 49,825 | 2026-05-14 | S |
| Fassino Anthony D. | Officer | 46,041 | 2026-05-11 | S |
| Creed Joseph E | Officer | 34,555 | 2026-08-28 | S |
| Epley Kyle Joseph | Officer | 17,705 | 2026-05-08 | A |
| REED DEBRA L | Director | 13,204 | 2026-06-10 | A |
| Kaiser Jason | Officer | 9,300 | 2026-05-06 | G |
| MacLennan David | Director | 8,420 | 2026-06-10 | A |
| WILKINS RAYFORD JR | Director | 8,416 | 2026-06-10 | A |
| SCHWAB SUSAN C | Director | 6,197 | 2026-06-10 | A |
| Johnson Gerald | Director | 3,907 | 2026-06-10 | A |
| Fish James C Jr | Officer | 3,687 | 2026-06-10 | A |
| Pambianchi Christine M | Officer | 3,083 | 2026-05-11 | F |
| Shurman Rodney Michael | Officer | 2,546 | 2026-05-05 | S |
| Marks Judith Fran | Director | 1,938 | 2026-06-10 | A |
| KEENE NAZZIC S | Director | 728 | 2026-06-10 | A |
| Schaupp William E | Officer | 530 | 2026-05-13 | S |
Recent Filings
| Date | Owner | Activity | Shares | Price | Owned After |
|---|---|---|---|---|---|
| 2026-08-28 | Creed Joseph E | Option exercise (derivative) | 44,403 | $219.76 | 0 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 4,831 | $813.72 | 34,555 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 1,280 | $812.09 | 39,386 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 5,035 | $811.31 | 40,666 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 3,041 | $810.31 | 45,701 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 2,137 | $809.08 | 48,742 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 2,639 | $808.20 | 50,879 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 6,135 | $807.41 | 53,518 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 3,382 | $806.31 | 59,653 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 1,351 | $805.36 | 63,035 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 520 | $803.86 | 64,386 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 750 | $803.39 | 64,906 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 280 | $802.10 | 65,656 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 540 | $801.10 | 65,936 |
| 2026-08-28 | Creed Joseph E | Open-market sale | 480 | $800.19 | 66,476 |
| 2026-08-28 | Creed Joseph E | Tax withholding | 12,002 | $812.98 | 66,956 |
| 2026-08-28 | Creed Joseph E | Option exercise | 44,403 | $219.76 | 78,958 |
| 2026-08-26 | Creed Joseph E | Grant / award (derivative) | 19 | $821.93 | 11,291 |
| 2026-08-26 | Kaiser Jason | Grant / award (derivative) | 11 | $821.93 | 5,476 |
| 2026-08-26 | Epley Kyle Joseph | Grant / award (derivative) | 7 | $821.93 | 5,869 |
| 2026-08-26 | Epley Kyle Joseph | Grant / award (derivative) | 11 | $821.93 | 5,862 |
| 2026-07-24 | Creed Joseph E | Grant / award (derivative) | 18 | $888.73 | 11,483 |
| 2026-07-24 | Kaiser Jason | Grant / award (derivative) | 10 | $888.73 | 5,567 |
| 2026-07-24 | Epley Kyle Joseph | Grant / award (derivative) | 7 | $888.73 | 5,961 |
| 2026-07-24 | Epley Kyle Joseph | Grant / award (derivative) | 5 | $888.73 | 5,954 |
| 2026-06-30 | MacLennan David | Grant / award (derivative) | 22 | $1055.33 | 476 |
| 2026-06-26 | Epley Kyle Joseph | Grant / award (derivative) | 6 | $997.47 | 6,242 |
| 2026-06-26 | Creed Joseph E | Grant / award (derivative) | 16 | $997.47 | 12,028 |
| 2026-06-26 | Kaiser Jason | Grant / award (derivative) | 5 | $997.47 | 5,831 |
| 2026-06-10 | Fish James C Jr | Grant / award | 211 | $0.00 | 3,687 |
| 2026-06-10 | Johnson Gerald | Grant / award | 211 | $0.00 | 3,907 |
| 2026-06-10 | KEENE NAZZIC S | Grant / award | 211 | $0.00 | 728 |
| 2026-06-10 | MacLennan David | Grant / award | 211 | $0.00 | 8,420 |
| 2026-06-10 | Marks Judith Fran | Grant / award | 211 | $0.00 | 1,938 |
| 2026-06-10 | REED DEBRA L | Grant / award | 211 | $0.00 | 13,204 |
| 2026-06-10 | SCHWAB SUSAN C | Grant / award | 211 | $0.00 | 6,197 |
| 2026-06-10 | WILKINS RAYFORD JR | Grant / award | 211 | $0.00 | 8,416 |
| 2026-05-26 | Epley Kyle Joseph | Grant / award (derivative) | 6 | $908.55 | 5,711 |
| 2026-05-26 | Creed Joseph E | Grant / award (derivative) | 18 | $908.55 | 11,001 |
| 2026-05-14 | Johnson Denise C | Option exercise (derivative) | 16,078 | $196.70 | 0 |
Source: SEC EDGAR Form 4 filings. For informational purposes only — not investment advice.