Iii Donald J Umpleby

CIK 1566320 · View on SEC EDGAR ↗

Insider

First SEC filing: July 22, 2025 · Latest: July 22, 2025

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Insider transactions

0 buys (P) 3 sells (S) Net: $-23,703,810 + 97 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

97 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Oct. 10, 2025 CAT S 17,166 $505.29 $8,673,808 448,173 Direct -3.69% Disposed 63.1% (price as of 2026-08-21)
Sept. 22, 2025 CAT S 17,166 $462.65 $7,941,850 465,339 Direct -3.56% Disposed 78.1% (price as of 2026-08-21)
Sept. 2, 2025 CAT S 17,168 $412.87 $7,088,152 482,505 Direct -3.44% Disposed 99.6% (price as of 2026-08-21)

Showing latest 100 of 136 transactions

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date Ticker Security Underlying Exercise price Expiration Shares A/D
March 3, 2025 CAT Employee Stock Options Common Stock (39,915) $332.04 March 3, 2035 39,915 Acquired
Nov. 7, 2024 CAT Employee Stock Options Common Stock (87,053) $196.70 March 7, 2032 87,053 Disposed
March 4, 2024 CAT Employee Stock Options Common Stock (39,561) $338.65 March 4, 2034 39,561 Acquired
Dec. 18, 2023 CAT Employee Stock Options Common Stock (75,701) $127.60 March 2, 2030 75,701 Acquired
Dec. 18, 2023 CAT Employee Stock Options Common Stock (163,615) $138.35 March 4, 2029 163,615 Acquired
Dec. 18, 2023 CAT Employee Stock Options Common Stock (182,944) $151.12 March 5, 2028 182,944 Acquired
March 6, 2023 CAT Employee Stock Options Common Stock (112,156) $253.98 March 6, 2033 112,156 Acquired
Nov. 8, 2022 CAT Employee Stock Options Common Stock (151,402) $127.60 March 2, 2030 151,402 Disposed
March 7, 2022 CAT Employee Stock Options Common Stock (130,579) $196.70 March 7, 2032 130,579 Acquired
March 1, 2021 CAT Employee Stock Options Common Stock (155,411) $219.76 March 1, 2031 155,411 Acquired
Nov. 24, 2020 CAT Employee Stock Options Common Stock (214,370) $95.66 March 6, 2027 214,370 Disposed
Nov. 3, 2020 CAT Employee Stock Option Common Stock (114,049) $74.77 March 7, 2026 114,049 Disposed
Nov. 3, 2020 CAT Employee Stock Options Common Stock (172,621) $83.00 March 2, 2025 172,621 Disposed
Nov. 3, 2020 CAT Employee Stock Options Common Stock (85,606) $96.31 March 3, 2024 85,606 Disposed
Sept. 2, 2020 CAT Employee Stock Options Common Stock (79,976) $89.75 March 4, 2023 79,976 Acquired
Sept. 2, 2020 CAT Employee Stock Options Common Stock (21,416) $110.09 March 5, 2022 21,416 Acquired
March 2, 2020 CAT Employee Stock Options Common Stock (227,103) $127.60 March 2, 2030 227,103 Acquired
Nov. 4, 2019 CAT Stock Appreciation Rights [F3] Common Stock (22,696) $102.13 March 7, 2021 22,696 Disposed
Oct. 28, 2019 CAT Stock Appreciation Rights [F2] Common Stock (6,781) $57.85 March 1, 2020 6,781 Disposed
Aug. 28, 2019 CAT Phantom Stock Units Common Stock (9,413) — — 9,413 Acquired
March 4, 2019 CAT Employee Stock Option Common Stock (163,615) $138.35 March 4, 2029 163,615 Acquired
March 5, 2018 CAT Employee Stock Option Common Stock (182,944) $151.12 March 5, 2028 182,944 Acquired
March 6, 2017 CAT Employee Stock Option Common Stock (214,370) $95.66 March 6, 2027 214,370 Acquired
Nov. 14, 2016 CAT Stock Appreciation Right Common Stock (6,619) $22.17 March 2, 2019 6,619 Disposed
Nov. 14, 2016 CAT Stock Appreciation Right Common Stock (4,661) $73.20 March 2, 2018 4,661 Disposed
April 29, 2016 CAT Stock Appreciation Right Common Stock (2,141) $63.04 March 2, 2017 2,141 Disposed
March 18, 2016 CAT Stock Appreciation Right Common Stock (1,200) $63.04 March 2, 2017 1,200 Disposed
March 7, 2016 CAT Employee Stock Option Common Stock (114,049) $74.77 March 7, 2026 114,049 Acquired
Nov. 30, 2015 CAT Phantom Stock Units Common Stock (5,431) — — 5,431 Acquired
Nov. 11, 2015 CAT Phantom Stock Units Common Stock (2,234) — — 2,234 Acquired
July 29, 2015 CAT Phantom Stock Units Common Stock (7,060) — — 7,060 Acquired
March 2, 2015 CAT Employee Stock Option Common Stock (172,621) $83.00 March 2, 2025 172,621 Acquired
May 1, 2014 CAT Employee Stock Option Common Stock (8,400) $45.64 Feb. 18, 2015 8,400 Disposed
March 3, 2014 CAT Employee Stock Option Common Stock (85,606) $96.31 March 3, 2024 85,606 Acquired
Jan. 30, 2014 CAT Employee Stock Option Common Stock (10,000) $38.63 June 8, 2014 10,000 Disposed
March 4, 2013 CAT Employee Stock Option (right to buy) Common Stock (79,976) $89.75 March 4, 2023 79,976 Acquired
March 1, 2013 CAT Restricted Stock Units Common Stock (490) — March 1, 2013 490 Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 14 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date Ticker Security Shares Ownership
March 2, 2018 CVX Common Stock 41 Indirect
Jan. 11, 2013 CAT Common Stock 24,318 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (10,000) 10,000 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (8,400) 8,400 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (7,150) 7,150 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (3,341) 3,341 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (4,661) 4,661 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (6,619) 6,619 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (6,781) 6,781 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (22,696) 22,696 Direct
Jan. 11, 2013 CAT Employee Stock Option→ Common Stock (21,416) 21,416 Direct
Jan. 11, 2013 CAT Restricted Stock Units→ Common Stock (2,500) 2,500 Direct
Jan. 11, 2013 CAT Restricted Stock Units→ Common Stock (490) 490 Direct
Jan. 11, 2013 CAT Phantom Stock Units→ Common Stock (4,839) 4,839 Direct

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

CAT

III(7) Chairman and CEO
Fiscal year Salary Bonus Stock awards Option awards Non-equity incentive Pension change Other Total
2024 $1,811,250 — $14,079,975 $4,125,037 $4,363,800 $25,261,296 $881,234 $25,261,296
2023 $1,752,500 — $8,499,949 $8,500,034 $5,733,900 $25,830,332 $1,343,949 $25,830,332
2017 $1,200,000 $1,070,000 — — — $14,035,209 — $14,035,209

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.