Caterpillar CAT Insider Ownership

NYSE CAT

$758.33 -41.04 (-5.13%)

As of: Oct 13, 2026 · 11:44 AM EDT

Insider Holdings by Owner

967.01K Shares

Insider Ownership Statistics

as of 30 Sep, 2026

Insider Ownership

0.191%

▲+0.0000% pp QoQ

Shares Held by Insiders

877.97K

filed for Sep 2026

▲+0.01% QoQ

Shares Outstanding

460.40Mn

460,400,000 shares

Direct Holdings

841.43K

Indirect: 36.54K

Net Shares Traded (QoQ)

+48

net buying in Sep 2026

Insiders Holding Shares

with Form 4 holdings on file

Shares Owned by Insiders

Shares held % of outstanding

Latest —

Average ownership —

Peak ownership —

Shares Purchased/Sold by Insiders

Bought Sold

Latest quarter —

Net over range —

Buying quarters —

Insider Ownership Summary

Updated Oct 11, 2026

Over the past year, CAT insiders bought $389,868 of stock (550 shares) and sold $244.42 million (323.05K shares) on the open market.

Counted by insider, open-market buying of CAT stock in the past 12 months came from one insider and selling from 8 insiders.
Among Caterpillar's insiders, David Maclennan (Director) was the largest open-market buyer over the past 12 months, purchasing $389,868 of stock (550 shares), most recently on May 4, 2026.
On the selling side, Bob De Lange (Group President) was the top open-market seller of Caterpillar over the past 12 months, with $78.74 million sold (106.07K shares) and the latest sale on May 6, 2026.
Caterpillar's latest insider trade on the open market was a sale of 32.4K shares for $26.21 million by Joseph E. Creed (Chief Executive Officer) on August 28, 2026.
Outside the open market, Caterpillar insiders received 71.61K shares in stock awards, acquired 393.09K shares through option exercises and conversions, gave up 139.06K shares to cover taxes or exercise prices and gave away 4.63K shares as gifts over the past 12 months.
Per Business Quant data, Caterpillar insiders hold 877.97K shares in total based on their latest Form 4 filings, up 0.01% from 877.92K shares at the end of Q2 2026 and down 2.01% from 896.01K shares at the end of Q3 2025.
By type of ownership, CAT insiders hold 95.84% of their shares directly (841.43K shares) and 4.16% indirectly (36.54K shares).
Per Business Quant, 22 insiders of CAT hold shares, counting officers, directors and 10% owners who have filed a Form 4 in the past two years.
CAT's largest insider holders by reported holdings are Donald J. Umpleby III (Executive Chairman, 500.24K shares), Bob De Lange (Group President, 86.03K shares) and Andrew R. J. Bonfield (CFO Emeritus, 52.94K shares).
Of the shares held by CAT insiders, 56.98% belong to Donald J. Umpleby III.
Institutions held 72.25% of Caterpillar's outstanding shares in their Q2 2026 13F filings, insiders about 0.19% based on their latest Form 4 filings, and other investors, including the public, the remaining 27.56%.
Over the past 12 months, 21 insiders reported transactions in Caterpillar stock in 115 Form 4 filings.
The insider holdings and trades above for Caterpillar reflect Form 4 filings through October 1, 2026.

Form 4 Holdings

Insiders Holding CAT

Insiders 27

Shares held 967.01K

Of outstanding 0.210%

#	Insider	Position	Direct	Total	Share of Insiders	Last Filed
1	Iii Donald J Umpleby	Executive Chairman	464,199	464,199	48.0%	06 Mar, 2026
2	Lange Bob De	Group President	86,029	86,029	8.9%	07 May, 2026
3	Andrew R J Bonfield	Cfo Emeritus	52,935	52,935	5.5%	07 May, 2026
4	Denise C Johnson	Group President	49,825	49,825	5.2%	15 May, 2026
5	David L Calhoun	Director	49,815	49,815	5.2%	15 Jun, 2023
6	Edward B Jr Rust	Director	47,382	47,382	4.9%	09 Jun, 2022
7	Anthony D. Fassino	Group President	46,041	46,041	4.8%	12 May, 2026
8	Joseph E Creed	Chief Executive Officer	34,555	34,555	3.6%	01 Sep, 2026
9	Kyle Joseph Epley	Chief Financial Officer	17,705	17,705	1.8%	12 May, 2026
10	Cheryl H Johnson	Chief Human Resources Officer	15,255	15,255	1.6%	05 Mar, 2025
11	Suzette M Long	Clo/General Counsel	13,890	13,890	1.4%	08 Jun, 2023
12	Debra L Reed	Director	13,204	13,204	1.4%	11 Jun, 2026
13	Jason Kaiser	Group President	9,300	9,300	1.0%	06 May, 2026
14	David Maclennan	Director	8,420	8,420	0.9%	11 Jun, 2026
15	Rayford Jr Wilkins	Director	8,416	8,416	0.9%	11 Jun, 2026
16	Miles D White	Director	8,382	8,382	0.9%	02 Mar, 2022
17	Derek Owens	Chief Legal Officer	8,203	8,203	0.8%	06 Mar, 2026
18	Susan C Schwab	Director	6,197	6,197	0.6%	11 Jun, 2026
19	Kelly Ayotte	Director	6,113	6,113	0.6%	15 Jun, 2023
20	Daniel M Dickinson	Director	4,728	4,728	0.5%	06 Dec, 2024
21	Gerald Johnson	Director	3,907	3,907	0.4%	11 Jun, 2026
22	James C Jr Fish	Director	3,687	3,687	0.4%	11 Jun, 2026
23	Christine M Pambianchi	Chief Human Resources Officer	3,083	3,083	0.3%	12 May, 2026
24	Rodney Michael Shurman	Group President	2,546	2,546	0.3%	06 May, 2026
25	Judith Fran Marks	Director	1,938	1,938	0.2%	11 Jun, 2026
26	Nazzic S Keene	Director	728	728	0.1%	11 Jun, 2026
27	William E Schaupp	Chief Accounting Officer	530	530	0.1%	14 May, 2026

Each row is that insider’s most recently reported position, from Form 4 filings over the last 60 months — which is why this total does not tie to the quarterly series above, where a quarter counts only the insiders who filed in it. Shares held through a fund or institutional portfolio are counted on the institutional ownership page instead.

Form 4 Filings

3,977 Insider Transactions

Source SEC Form 4

Latest quarter Sep 2026

Date	Insider	Position	Transaction	Shares	Price	Value	Shares Held After	Ownership
30 Sep, 2026	David Maclennan	Director	Acquired A	28	$821.01	$22.99K	505	Direct
30 Sep, 2026	Lynn J Good	Director	Acquired A	30	$821.01	$24.63K	30	Direct
25 Sep, 2026	Jason Kaiser	Group President	Acquired A	11	$821.58	$9.04K	5,449	Direct
25 Sep, 2026	Joseph E Creed	Chief Executive Officer	Acquired A	19	$821.58	$15.61K	11,234	Direct
25 Sep, 2026	Kyle Joseph Epley	Chief Financial Officer	Acquired A	11	$821.58	$9.04K	5,839	Direct
25 Sep, 2026	Kyle Joseph Epley	Chief Financial Officer	Acquired A	7	$821.58	$5.75K	5,846	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Acquired M	44,403	$219.76	$9.76Mn	78,958	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed F	12,002	$812.98	$9.76Mn	66,956	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	480	$800.19	$384.09K	66,476	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	540	$801.10	$432.59K	65,936	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	280	$802.10	$224.59K	65,656	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	750	$803.39	$602.54K	64,906	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	520	$803.86	$418.01K	64,386	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	1,351	$805.36	$1.09Mn	63,035	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	3,382	$806.31	$2.73Mn	59,653	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	6,135	$807.41	$4.95Mn	53,518	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	2,639	$808.20	$2.13Mn	50,879	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	2,137	$809.08	$1.73Mn	48,742	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	3,041	$810.31	$2.46Mn	45,701	Direct
28 Aug, 2026	Joseph E Creed	Chief Executive Officer	Disposed S	5,035	$811.31	$4.08Mn	40,666	Direct

Showing 1 to 20 of 3,977 transactions