Bulletin
Investor Alert

Caterpillar Inc.

NYS: CAT

GO
/marketstate/country/us

After Hours

 --Quotes are delayed by 20 min

Aug 2, 2021, 7:57 p.m.

CAT
/zigman2/quotes/203434128/composite

$

205.20

Change

+0.04 +0.02%

Volume

Volume 76,078

Quotes are delayed by 20 min

/zigman2/quotes/203434128/composite

Previous close

$ 206.75

$ 205.16

Change

-1.59 -0.77%

Day low

Day high

$204.95

$210.90

Open

52 week low

52 week high

$130.67

$246.69

Open

Insider Actions for Caterpillar Inc.

– Purchase – Sale 1 – Number of Transactions
Date Name Shares Transaction Value
06/13/2021 Joseph E. Creed
Group President
1,009   Derivative/Non-derivative trans. at $218.79 per share. 220,759
06/04/2021 Joseph E. Creed
Group President
7,699   Disposition at $245.12 per share. 1,887,178
06/04/2021 Joseph E. Creed
Group President
7,699   Derivative/Non-derivative trans. at $127.6 per share. 982,392
05/07/2021 Donald James Umpleby
Chairman & CEO; Director
4,495   Gift at $0 per share. 0
05/05/2021 David W. MacLennan
Director
420   Acquisition at $237.86 per share. 99,901
05/03/2021 G. Michael Marvel
Chief Accounting Officer
567   Disposition at $230 per share. 130,410
05/03/2021 David W. MacLennan
Director
470   Award at $228.17 per share. 107,239
03/25/2021 Gerald Johnson
Director
557   Award at $224.25 per share. 124,907
03/08/2021 Denise C. Johnson
Group President
3,548   Disposition at $220.69 per share. 783,008
03/08/2021 Denise C. Johnson
Group President
10,707   Disposition at $219.75 per share. 2,352,863
03/08/2021 Denise C. Johnson
Group President
5,927   Disposition at $218.98 per share. 1,297,894
03/08/2021 Denise C. Johnson
Group President
23,737   Disposition at $220.42 per share. 5,232,109
03/08/2021 Denise C. Johnson
Group President
8,872   Disposition at $219.42 per share. 1,946,694
03/08/2021 Denise C. Johnson
Group President
9,141   Disposition at $218.88 per share. 2,000,782
03/08/2021 Denise C. Johnson
Group President
18,763   Disposition at $219.85 per share. 4,125,045
03/08/2021 Suzette M. Long
CLO/General Counsel
1,772   Disposition at $220.84 per share. 391,328
03/08/2021 Suzette M. Long
CLO/General Counsel
3,050   Disposition at $219.69 per share. 670,054
03/08/2021 Suzette M. Long
CLO/General Counsel
2,469   Disposition at $218.81 per share. 540,241
03/08/2021 Suzette M. Long
CLO/General Counsel
2,685   Disposition at $220.8 per share. 592,848
03/08/2021 Suzette M. Long
CLO/General Counsel
9,704   Disposition at $219.84 per share. 2,133,327
03/08/2021 Suzette M. Long
CLO/General Counsel
8,140   Disposition at $219.03 per share. 1,782,904
03/08/2021 Suzette M. Long
CLO/General Counsel
3,104   Disposition at $220.66 per share. 684,928
03/08/2021 Suzette M. Long
CLO/General Counsel
8,346   Disposition at $219.74 per share. 1,833,950
03/08/2021 Suzette M. Long
CLO/General Counsel
4,561   Disposition at $218.91 per share. 998,448
03/08/2021 Suzette M. Long
CLO/General Counsel
2,920   Disposition at $220.68 per share. 644,385
03/08/2021 Suzette M. Long
CLO/General Counsel
8,516   Disposition at $219.69 per share. 1,870,880
03/08/2021 Suzette M. Long
CLO/General Counsel
4,044   Disposition at $218.92 per share. 885,312
03/08/2021 G. Michael Marvel
Chief Accounting Officer
5,056   Disposition at $220.97 per share. 1,117,224
03/08/2021 Denise C. Johnson
Group President
23,737   Derivative/Non-derivative trans. at $127.6 per share. 3,028,841
03/08/2021 Denise C. Johnson
Group President
18,013   Derivative/Non-derivative trans. at $138.35 per share. 2,492,098
03/08/2021 Denise C. Johnson
Group President
18,763   Derivative/Non-derivative trans. at $151.12 per share. 2,835,464
03/08/2021 Suzette M. Long
CLO/General Counsel
20,529   Derivative/Non-derivative trans. at $127.6 per share. 2,619,500
03/08/2021 Suzette M. Long
CLO/General Counsel
16,011   Derivative/Non-derivative trans. at $138.35 per share. 2,215,121
03/08/2021 Suzette M. Long
CLO/General Counsel
15,480   Derivative/Non-derivative trans. at $151.12 per share. 2,339,337
03/08/2021 G. Michael Marvel
Chief Accounting Officer
5,056   Derivative/Non-derivative trans. at $95.66 per share. 483,656
03/05/2021 Bob De Lange
Group President
1,700   Disposition at $216.49 per share. 368,033
03/05/2021 Bob De Lange
Group President
5,794   Disposition at $215.45 per share. 1,248,317
03/05/2021 Bob De Lange
Group President
15,494   Disposition at $214.57 per share. 3,324,547
03/05/2021 Bob De Lange
Group President
8,900   Disposition at $213.58 per share. 1,900,862
03/05/2021 Andrew Robert John Bonfield
Chief Financial Officer
17,826   Derivative/Non-derivative trans. at $216.14 per share. 3,852,911
03/05/2021 Andrew Robert John Bonfield
Chief Financial Officer
28,803   Derivative/Non-derivative trans. at $216.14 per share. 6,225,480
03/05/2021 Andrew Robert John Bonfield
Chief Financial Officer
18,627   Derivative/Non-derivative trans. at $216.14 per share. 4,026,039
03/05/2021 Bob De Lange
Group President
31,888   Derivative/Non-derivative trans. at $83 per share. 2,646,704
03/05/2021 Andrew Robert John Bonfield
Chief Financial Officer
23,096   Derivative/Non-derivative trans. at $127.6 per share. 2,947,049
03/05/2021 Andrew Robert John Bonfield
Chief Financial Officer
36,026   Derivative/Non-derivative trans. at $138.35 per share. 4,984,197
03/05/2021 Andrew Robert John Bonfield
Chief Financial Officer
23,077   Derivative/Non-derivative trans. at $141.32 per share. 3,261,241
03/02/2021 Juan Antonio Carlos Cortina Gallardo
Director
363   Derivative/Non-derivative trans. at $0 per share. 0
03/02/2021 Miles D. White
Director
507   Derivative/Non-derivative trans. at $0 per share. 0
03/01/2021 Juan Antonio Carlos Cortina Gallardo
Director
683   Award at $0 per share. 0
03/01/2021 William A. Osborn
Director
683   Award at $0 per share. 0
03/01/2021 David L. Calhoun
Director
683   Award at $0 per share. 0
03/01/2021 Edward Barry Rust
Director
683   Award at $0 per share. 0
03/01/2021 Susan C. Schwab
Director
683   Award at $0 per share. 0
03/01/2021 Dan M. Dickinson
Director
683   Award at $0 per share. 0
03/01/2021 Debra L. Reed-Klages
Director
683   Award at $0 per share. 0
03/01/2021 Miles D. White
Director
683   Award at $0 per share. 0
03/01/2021 Rayford Wilkins
Director
683   Award at $0 per share. 0
03/01/2021 Kelly Ann Ayotte
Director
683   Award at $0 per share. 0

Transaction Summary

Total insider purchases and sales reported to the SEC

Timeframe Transactions Shares
Last 3 months
2 Purchases
3 Sales
8,119
13,203
Last 6 months
34 Purchases
42 Sales
359,262
300,195
Last 12 months
60 Purchases
80 Sales
1,375,610
1,231,636

Officers and Executives

Mr. Donald James Umpleby
Chairman & Chief Executive Officer
Mr. Andrew Robert John Bonfield
Chief Financial Officer
Ms. Jamie 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
Vice President-Strategic Procurement
Mr. Eric A. Braun
Chief Compliance Officer
Mr. Thomas G. Frake
Vice President-Excavation Division
Ms. Kathryn Dickey Karol
Vice President
Mr. Nigel A. Lewis
VP-Europe & Africa Distribution Services Division
Ms. Julie A. Lagacy
Vice President
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-Global Construction & Infrastructure Division
Mr. Bob De Lange
Group President-Services, Distribution & Digital
Ms. Tana Leigh Utley
Vice President-Large Power Systems Division
Mr. Tony Fassino
Group President-CI
Mr. Joseph E. Creed
Group President-E&T
Mr. Kyle J. Epley
Vice President-Finance Services Division
Mr. Ogi Redzic
Chief Digital Officer & Vice President-Cat Digital
Mr. Gerald Johnson
Director
Mr. David W. MacLennan
Director
Mr. David L. Calhoun
Director
Mr. Richard D. Moore
Treasurer
Mr. Matthew R. Jones
Chief Audit Officer
Mr. G. Michael Marvel
Chief Accounting Officer
Ms. Kate Kenny
Head-Global Government & Corporate Affairs
Ms. Cheryl H. Johnson
Chief Human Resources Officer
Ms. Nicole M. Puza
Secretary
Ms. Suzette M. Long
Chief Legal Officer & General Counsel
Mr. Edward Barry Rust
Independent Director
Dr. Susan C. Schwab
Independent Director
Mr. Miles D. White
Independent Director
Mr. Dan 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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