Bulletin
Investor Alert

Caterpillar Inc.

NYS: CAT

GO
/marketstate/country/us

After Hours

 --Quotes are delayed by 20 min

Feb 3, 2023, 7:59 p.m.

CAT
/zigman2/quotes/203434128/composite

$

247.53

Change

-0.23 -0.09%

Volume

Volume 138,248

Quotes are delayed by 20 min

/zigman2/quotes/203434128/composite

Previous close

$ 244.90

$ 247.76

Change

+2.86 +1.17%

Day low

Day high

$243.13

$250.95

Open

52 week low

52 week high

$160.60

$266.04

Open

Insider Actions for Caterpillar Inc.

– Purchase – Sale 1 – Number of Transactions
Date Name Shares Transaction Value
01/09/2023 Bob de Lange
Group President
11,000   Disposition at $250 per share. 2,750,000
01/09/2023 Bob de Lange
Group President
11,000   Derivative/Non-derivative trans. at $74.77 per share. 822,470
01/06/2023 Joseph E. Creed
Group President
18,294   Disposition at $249 per share. 4,555,206
01/06/2023 Joseph E. Creed
Group President
18,294   Derivative/Non-derivative trans. at $151.12 per share. 2,764,589
12/27/2022 Joseph E. Creed
Group President
7,698   Disposition at $244 per share. 1,878,312
12/27/2022 Denise C. Johnson
Group President
23,737   Disposition at $240.14 per share. 5,700,203
12/27/2022 Joseph E. Creed
Group President
7,698   Derivative/Non-derivative trans. at $127.6 per share. 982,264
12/27/2022 Denise C. Johnson
Group President
23,737   Derivative/Non-derivative trans. at $127.6 per share. 3,028,841
12/14/2022 Joseph E. Creed
Group President
5,003   Disposition at $238 per share. 1,190,714
12/14/2022 Joseph E. Creed
Group President
5,003   Derivative/Non-derivative trans. at $138.35 per share. 692,165
11/11/2022 Suzette M. Long
CLO/General Counsel
942   Disposition at $237.37 per share. 223,602
11/11/2022 Suzette M. Long
CLO/General Counsel
942   Disposition at $237.19 per share. 223,432
11/08/2022 Donald James Umpleby
Chairman and CEO; Director
113,927   Derivative/Non-derivative trans. at $229.65 per share. 26,163,335
11/08/2022 Donald James Umpleby
Chairman and CEO; Director
151,402   Derivative/Non-derivative trans. at $127.6 per share. 19,318,895
09/01/2022 William E. Schaupp
Chief Accounting Officer
289   Derivative/Non-derivative trans. at $181.66 per share. 52,499
08/18/2022 Donald James Umpleby
Chairman and CEO; Director
7,490   Gift at $0 per share. 0
06/08/2022 David L. Calhoun
Director
816   Award at $229.8 per share. 187,516
06/08/2022 Edward Barry Rust
Director
816   Award at $229.8 per share. 187,516
06/08/2022 Susan C. Schwab
Director
816   Award at $229.8 per share. 187,516
06/08/2022 Daniel M. Dickinson
Director
816   Award at $229.8 per share. 187,516
06/08/2022 Debra L. Reed-Klages
Director
816   Award at $229.8 per share. 187,516
06/08/2022 Rayford Wilkins
Director
816   Award at $229.8 per share. 187,516
06/08/2022 Kelly Ann Ayotte
Director
816   Award at $229.8 per share. 187,516
06/08/2022 David W. MacLennan
Director
816   Award at $229.8 per share. 187,516
06/08/2022 Gerald Johnson
Director
816   Award at $229.8 per share. 187,516
05/26/2022 Donald James Umpleby
Chairman and CEO; Director
13,835   Gift at $0 per share. 0
05/26/2022 Denise C. Johnson
Group President
32   Acquisition at $212.99 per share. 6,815

Transaction Summary

Total insider purchases and sales reported to the SEC

Timeframe Transactions Shares
Last 3 months
6 Purchases
8 Sales
217,134
181,543
Last 6 months
6 Purchases
10 Sales
217,134
189,322
Last 12 months
33 Purchases
32 Sales
389,606
345,293

Officers and Executives

Mr. Donald James Umpleby
Chairman & Chief Executive Officer
Mr. Andrew Robert John Bonfield
Chief Financial Officer
Ms. Jamie L. Engstrom
Chief Information Officer & Vice President
Mr. Karl E. Weiss
Chief Technology Officer
Mr. John Tuntland
Manager-Large Track Type Tractors Global Products
Ms. Pam Heminger
VP-Strategic Procurement & Planning Division
Mr. Eric A. Braun
Chief Compliance Officer
Mr. Derrick York
Head-Strategic Invts Dept & Strategic Svcs Div
Mr. Donald Hall
Group Chief Financial Officer-Resource Industries
Mr. Brian E. Edwards
Senior Vice President
Mr. Thomas G. Frake
Vice President-Excavation Division
Mr. Nigel A. Lewis
VP-Europe & Africa Distribution Services Division
Ms. Julie A. Lagacy
Chief Sustainability & Strategy Officer
Mr. Thomas A. Pellette
Senior Vice President
Mr. Philip Kelliher
VP-Americas Distribution Services Division
Ms. Denise C. Johnson
Group President-Resource Industries
Mr. Christopher Snodgrass
VP-Product Support & Logistics Division
Mr. Damien Giraud
VP-Construction Industries Services Division
Mr. Bob de Lange
Group President-Services, Distribution & Digital
Ms. Tana Leigh Utley
Vice President-Large Power Systems Division
Mr. Anthony D. Fassino
Group President-Construction Industries
Mr. Joseph E. Creed
Group President-Energy & Transportation
Mr. Kyle J. Epley
Vice President-Finance Services Division
Mr. Ogi Redzic
Chief Digital Officer & Vice President-Cat Digital
Mr. Patrick T. McCartan
Treasurer
Mr. William E. Schaupp
Chief Accounting Officer
Mr. Matthew R. Jones
Chief Audit Officer
Ms. Kate Kenny
Head-Media Relations & Public Affairs
Ms. Cheryl H. Johnson
Chief Human Resources Officer
Ms. Nicole M. Puza
Secretary
Ms. Kathryn Dickey Karol
VP-Global Government & Corporate Affairs
Ms. Suzette M. Long
Chief Legal Officer & General Counsel
Ms. Jennifer Kay Driscoll
Director-Investor Relation
Mr. Gerald Johnson
Independent Director
Mr. David W. MacLennan
Independent Director
Mr. Edward Barry Rust
Independent Director
Dr. Susan C. Schwab
Independent Director
Mr. David L. Calhoun
Independent Director
Mr. Daniel M. Dickinson
Independent Director
Ms. Debra L. Reed-Klages
Independent Director
Mr. Rayford Wilkins
Independent Director
Ms. Kelly Ann Ayotte
Independent Director
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