Caterpillar insider activity
What the executives and directors of Caterpillar actually did with their own shares, decoded from their SEC Form 4 filings. Each figure says the stretch of time it covers.
−$261M
net open-market flow, 12 m
2 open-market buys, 12 m
14.3%
of sale value on 10b5-1 plans, 12 m
140 days since an insider bought, whole record
The tape: three years of insider trades
Open-market buy
Discretionary sale
Planned sale (10b5-1)
Reported-price path
Routine
Every marker sits at the price reported on the Form 4. The line is the monthly median of all prices insiders reported, so the chart needs no market feed; the grey strip is the routine flow (grants, vestings, tax withholding and gifts) that a headline gets wrong by counting it as selling.
The 137 routine events on the chart, as a list
| Date | Insider | Shares |
|---|---|---|
| Aug 28, 2026 | Creed Joseph E | 56K |
| Jun 10, 2026 | WILKINS RAYFORD JR | 211 |
| Jun 10, 2026 | SCHWAB SUSAN C | 211 |
| Jun 10, 2026 | REED DEBRA L | 211 |
| Jun 10, 2026 | MacLennan David | 211 |
| Jun 10, 2026 | Fish James C Jr | 211 |
| Jun 10, 2026 | KEENE NAZZIC S | 211 |
| Jun 10, 2026 | Marks Judith Fran | 211 |
| Jun 10, 2026 | Johnson Gerald | 211 |
| May 14, 2026 | Johnson Denise C | 29K |
| May 11, 2026 | Pambianchi Christine M | 224 |
| May 11, 2026 | Creed Joseph E | 574 |
| May 11, 2026 | Fassino Anthony D. | 27K |
| May 8, 2026 | Epley Kyle Joseph | 515 |
| May 6, 2026 | Kaiser Jason | 10K |
| May 6, 2026 | BONFIELD ANDREW R J | 30K |
| May 6, 2026 | De Lange Bob | 32K |
| May 6, 2026 | Fassino Anthony D. | 15K |
| May 5, 2026 | Shurman Rodney Michael | 5,639 |
| Mar 4, 2026 | BONFIELD ANDREW R J | 2,643 |
| Mar 4, 2026 | Johnson Denise C | 2,333 |
| Mar 4, 2026 | De Lange Bob | 2,425 |
| Mar 4, 2026 | Schaupp William E | 139 |
| Mar 4, 2026 | Creed Joseph E | 6,322 |
| Mar 4, 2026 | Kaiser Jason | 2,376 |
| Mar 4, 2026 | Owens Derek | 2,034 |
| Mar 4, 2026 | Shurman Rodney Michael | 1,537 |
| Mar 4, 2026 | Umpleby III Donald J | 3,137 |
| Mar 4, 2026 | Fassino Anthony D. | 683 |
| Mar 2, 2026 | Pambianchi Christine M | 1,155 |
| Feb 23, 2026 | Shurman Rodney Michael | 2,278 |
| Feb 13, 2026 | Fassino Anthony D. | 27K |
| Feb 11, 2026 | De Lange Bob | 31K |
| Feb 10, 2026 | BONFIELD ANDREW R J | 15K |
| Feb 10, 2026 | Umpleby III Donald J | 49K |
| Feb 10, 2026 | Johnson Denise C | 13K |
| Feb 10, 2026 | Schaupp William E | 803 |
| Feb 10, 2026 | Creed Joseph E | 12K |
| Feb 10, 2026 | Kaiser Jason | 3,248 |
| Feb 10, 2026 | Owens Derek | 648 |
| Feb 10, 2026 | Shurman Rodney Michael | 3,356 |
| Feb 6, 2026 | De Lange Bob | 82K |
| Feb 6, 2026 | Fassino Anthony D. | 30K |
| Feb 2, 2026 | Johnson Denise C | 75K |
| Jan 12, 2026 | Johnson Denise C | 473 |
| Jan 12, 2026 | De Lange Bob | 473 |
| Jan 12, 2026 | Fassino Anthony D. | 473 |
| Dec 19, 2025 | Fish James C Jr | 1,000 |
| Nov 28, 2025 | Umpleby III Donald J | 2,350 |
| Nov 19, 2025 | SCHWAB SUSAN C | 990 |
| Nov 11, 2025 | Kaiser Jason | 23K |
| Nov 10, 2025 | Fassino Anthony D. | 17K |
| Nov 5, 2025 | De Lange Bob | 25K |
| Aug 18, 2025 | MacLennan David | 500 |
| Aug 11, 2025 | Kaiser Jason | 6,021 |
| Jul 17, 2025 | BONFIELD ANDREW R J | 65K |
| Jun 11, 2025 | WILKINS RAYFORD JR | 482 |
| Jun 11, 2025 | SCHWAB SUSAN C | 482 |
| Jun 11, 2025 | REED DEBRA L | 482 |
| Jun 11, 2025 | MacLennan David | 482 |
Where the shares went, last 12 months
Every Form 4 movement decomposed: what flowed in (grants, vested equity, purchases) and what flowed out (tax withholding, plan sales, discretionary sales, gifts). Counted in shares, because grants carry no price.
The chart, in numbers
| Flow | Shares |
|---|---|
| From holdings | 6,611 |
| Granted | 106K |
| Vested / exercised | 393K |
| Bought on market | 550 |
| Withheld for tax | 144K |
| Planned sales (10b5-1) | 69K |
| Discretionary sales | 288K |
| Gifts | 4,634 |
Skin in the game
Directly held shares as reported after each trade, indexed to 100 at the start of the window, up to five years back. Direct holdings only: trust and family-entity positions are per-entity in the filings and do not sum honestly, so this chart refuses to guess. The steps are the trades.
The chart, in numbers
| Insider | Start of the window | Latest reported | Indexed, start = 100 |
|---|---|---|---|
| De Lange Bob | 37K | 86K | 233.1 |
Who holds what
the 14 largest holdings of 22| Insider | Role | Shares held | Buys 12 m | Sales 12 m | 12 m | Last trade |
|---|---|---|---|---|---|---|
| Umpleby III Donald J Executive Chairman Last trade Oct 10, 2025 | Officer | 464K | – | $17M | net selling over the year: 0 months buying, 2 months selling | Oct 10, 2025 |
| De Lange Bob Group President Last trade May 6, 2026 | Officer | 114K | – | $79M | net selling over the year: 0 months buying, 3 months selling | May 6, 2026 |
| Creed Joseph E Chief Executive Officer Last trade Aug 28, 2026 | CEO | 79K | – | $28M | net selling over the year: 0 months buying, 2 months selling | Aug 28, 2026 |
| Fassino Anthony D. Group President Last trade May 11, 2026 | Officer | 67K | – | $46M | net selling over the year: 0 months buying, 3 months selling | May 11, 2026 |
| Johnson Denise C Group President Last trade May 14, 2026 | Officer | 66K | – | $44M | net selling over the year: 0 months buying, 2 months selling | May 14, 2026 |
| BONFIELD ANDREW R J CFO Emeritus Last trade May 6, 2026 | CFO | 65K | – | $26M | net selling over the year: 0 months buying, 2 months selling | May 6, 2026 |
| Epley Kyle Joseph Chief Financial Officer | CFO | 18K | – | – | – | |
| Johnson Cheryl H Chief Human Resources Officer Last trade Nov 4, 2024 | Officer | 15K | – | – | Nov 4, 2024 | |
| REED DEBRA L | Director | 13K | – | – | – | |
| Kaiser Jason Group President Last trade May 4, 2026 | Officer | 9,300 | – | $12M | net selling over the year: 0 months buying, 3 months selling | May 4, 2026 |
| MacLennan David Last trade May 4, 2026 | Director | 8,420 | $390K | – | net buying over the year: 2 months buying, 0 months selling | May 4, 2026 |
| WILKINS RAYFORD JR | Director | 8,416 | – | – | – | |
| Owens Derek Chief Legal Officer | Officer | 8,203 | – | – | – | |
| Shurman Rodney Michael Group President Last trade May 5, 2026 | Officer | 8,185 | – | $8.2M | net selling over the year: 0 months buying, 2 months selling | May 5, 2026 |
Open-market trade log
the 60 most recent of 433| Date | Insider | Type | Shares | Price | Value | Since trade | Filed |
|---|---|---|---|---|---|---|---|
| Aug 28, 2026 | Creed Joseph E (CEO) 280 shares $802.10 +0.7% since trade filed Sep 1, 2026 | Discretionary sale | 280 | $802.10 | $225K | +0.7% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 480 shares $800.19 +0.9% since trade filed Sep 1, 2026 | Discretionary sale | 480 | $800.19 | $384K | +0.9% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 520 shares $803.86 +0.4% since trade filed Sep 1, 2026 | Discretionary sale | 520 | $803.86 | $418K | +0.4% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 540 shares $801.10 +0.8% since trade filed Sep 1, 2026 | Discretionary sale | 540 | $801.10 | $433K | +0.8% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 750 shares $803.39 +0.5% since trade filed Sep 1, 2026 | Discretionary sale | 750 | $803.39 | $603K | +0.5% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 1,280 shares $812.09 −0.6% since trade filed Sep 1, 2026 | Discretionary sale | 1,280 | $812.09 | $1.0M | −0.6% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 1,351 shares $805.36 +0.3% since trade filed Sep 1, 2026 | Discretionary sale | 1,351 | $805.36 | $1.1M | +0.3% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 2,137 shares $809.08 −0.2% since trade filed Sep 1, 2026 | Discretionary sale | 2,137 | $809.08 | $1.7M | −0.2% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 2,639 shares $808.20 −0.1% since trade filed Sep 1, 2026 | Discretionary sale | 2,639 | $808.20 | $2.1M | −0.1% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 3,041 shares $810.31 −0.4% since trade filed Sep 1, 2026 | Discretionary sale | 3,041 | $810.31 | $2.5M | −0.4% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 3,382 shares $806.31 +0.1% since trade filed Sep 1, 2026 | Discretionary sale | 3,382 | $806.31 | $2.7M | +0.1% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 4,831 shares $813.72 −0.8% since trade filed Sep 1, 2026 | Discretionary sale | 4,831 | $813.72 | $3.9M | −0.8% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 5,035 shares $811.31 −0.5% since trade filed Sep 1, 2026 | Discretionary sale | 5,035 | $811.31 | $4.1M | −0.5% | Sep 1, 2026 |
| Aug 28, 2026 | Creed Joseph E (CEO) 6,135 shares $807.41 +0.0% since trade filed Sep 1, 2026 | Discretionary sale | 6,135 | $807.41 | $5.0M | +0.0% | Sep 1, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 402 shares $910.65 −11.3% since trade filed May 15, 2026 | Discretionary sale | 402 | $910.65 | $366K | −11.3% | May 15, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 1,191 shares $907.98 −11.1% since trade filed May 15, 2026 | Discretionary sale | 1,191 | $907.98 | $1.1M | −11.1% | May 15, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 1,491 shares $906.73 −11.0% since trade filed May 15, 2026 | Discretionary sale | 1,491 | $906.73 | $1.4M | −11.0% | May 15, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 1,568 shares $909.70 −11.2% since trade filed May 15, 2026 | Discretionary sale | 1,568 | $909.70 | $1.4M | −11.2% | May 15, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 1,605 shares $911.92 −11.5% since trade filed May 15, 2026 | Discretionary sale | 1,605 | $911.92 | $1.5M | −11.5% | May 15, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 1,787 shares $904.70 −10.8% since trade filed May 15, 2026 | Discretionary sale | 1,787 | $904.70 | $1.6M | −10.8% | May 15, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 2,259 shares $905.73 −10.9% since trade filed May 15, 2026 | Discretionary sale | 2,259 | $905.73 | $2.0M | −10.9% | May 15, 2026 |
| May 14, 2026 | Johnson Denise C (Officer) 2,302 shares $908.76 −11.2% since trade filed May 15, 2026 | Discretionary sale | 2,302 | $908.76 | $2.1M | −11.2% | May 15, 2026 |
| May 13, 2026 | Johnson Denise C (Officer) 2,650 shares $910.24 −11.3% since trade filed May 14, 2026 | Discretionary sale | 2,650 | $910.24 | $2.4M | −11.3% | May 14, 2026 |
| May 13, 2026 | Johnson Denise C (Officer) 3,546 shares $909.46 −11.2% since trade filed May 14, 2026 | Discretionary sale | 3,546 | $909.46 | $3.2M | −11.2% | May 14, 2026 |
| May 13, 2026 | Schaupp William E (Officer) 360 shares $906.00 −10.9% since trade filed May 14, 2026 | Discretionary sale | 360 | $906.00 | $326K | −10.9% | May 14, 2026 |
| May 11, 2026 | Fassino Anthony D. (Officer) 843 shares $917.73 −12.0% since trade filed May 12, 2026 | Discretionary sale | 843 | $917.73 | $774K | −12.0% | May 12, 2026 |
| May 11, 2026 | Fassino Anthony D. (Officer) 15K shares $916.75 −11.9% since trade filed May 12, 2026 | Discretionary sale | 15K | $916.75 | $14M | −11.9% | May 12, 2026 |
| May 6, 2026 | BONFIELD ANDREW R J (CFO) 16K shares $918.71 −12.1% since trade filed May 7, 2026 | Discretionary sale | 16K | $918.71 | $14M | −12.1% | May 7, 2026 |
| May 6, 2026 | De Lange Bob (Officer) 9,752 shares $923.47 −12.6% since trade filed May 7, 2026 | Discretionary sale | 9,752 | $923.47 | $9.0M | −12.6% | May 7, 2026 |
| May 6, 2026 | De Lange Bob (Officer) 14K shares $922.55 −12.5% since trade filed May 7, 2026 | Discretionary sale | 14K | $922.55 | $13M | −12.5% | May 7, 2026 |
| May 6, 2026 | Fassino Anthony D. (Officer) 350 shares $926.83 −12.9% since trade filed May 7, 2026 | Discretionary sale | 350 | $926.83 | $324K | −12.9% | May 7, 2026 |
| May 6, 2026 | Fassino Anthony D. (Officer) 8,802 shares $926.23 −12.8% since trade filed May 7, 2026 | Discretionary sale | 8,802 | $926.23 | $8.2M | −12.8% | May 7, 2026 |
| May 5, 2026 | Shurman Rodney Michael (Officer) 487 shares $903.55 −10.6% since trade filed May 6, 2026 | Discretionary sale | 487 | $903.55 | $440K | −10.6% | May 6, 2026 |
| May 5, 2026 | Shurman Rodney Michael (Officer) 5,152 shares $903.14 −10.6% since trade filed May 6, 2026 | Discretionary sale | 5,152 | $903.14 | $4.7M | −10.6% | May 6, 2026 |
| May 4, 2026 | MacLennan David (Director) 250 shares $876.84 −7.9% since trade filed May 5, 2026 | Open-market buy | 250 | $876.84 | $219K | −7.9% | May 5, 2026 |
| May 4, 2026 | Kaiser Jason (Officer) 5,642 shares $883.03 −8.6% since trade filed May 5, 2026 | Discretionary sale | 5,642 | $883.03 | $5.0M | −8.6% | May 5, 2026 |
| Mar 5, 2026 | Creed Joseph E (CEO) 120 shares $721.00 +12.0% since trade filed Mar 6, 2026 | Planned sale (10b5-1) | 120 | $721.00 | $87K | +12.0% | Mar 6, 2026 |
| Mar 5, 2026 | Creed Joseph E (CEO) 420 shares $717.01 +12.6% since trade filed Mar 6, 2026 | Planned sale (10b5-1) | 420 | $717.01 | $301K | +12.6% | Mar 6, 2026 |
| Mar 5, 2026 | Creed Joseph E (CEO) 575 shares $720.10 +12.1% since trade filed Mar 6, 2026 | Planned sale (10b5-1) | 575 | $720.10 | $414K | +12.1% | Mar 6, 2026 |
| Mar 5, 2026 | Creed Joseph E (CEO) 585 shares $719.39 +12.2% since trade filed Mar 6, 2026 | Planned sale (10b5-1) | 585 | $719.39 | $421K | +12.2% | Mar 6, 2026 |
| Mar 5, 2026 | Creed Joseph E (CEO) 800 shares $718.44 +12.4% since trade filed Mar 6, 2026 | Planned sale (10b5-1) | 800 | $718.44 | $575K | +12.4% | Mar 6, 2026 |
| Feb 23, 2026 | Shurman Rodney Michael (Officer) 2,278 shares $759.61 +6.3% since trade filed Feb 24, 2026 | Discretionary sale | 2,278 | $759.61 | $1.7M | +6.3% | Feb 24, 2026 |
| Feb 17, 2026 | Schaupp William E (Officer) 972 shares $764.20 +5.7% since trade filed Feb 18, 2026 | Discretionary sale | 972 | $764.20 | $743K | +5.7% | Feb 18, 2026 |
| Feb 17, 2026 | Shurman Rodney Michael (Officer) 1,764 shares $763.39 +5.8% since trade filed Feb 18, 2026 | Discretionary sale | 1,764 | $763.39 | $1.3M | +5.8% | Feb 18, 2026 |
| Feb 13, 2026 | Fassino Anthony D. (Officer) 7,891 shares $776.90 +3.9% since trade filed Feb 17, 2026 | Discretionary sale | 7,891 | $776.90 | $6.1M | +3.9% | Feb 17, 2026 |
| Feb 12, 2026 | Kaiser Jason (Officer) 1,690 shares $776.70 +4.0% since trade filed Feb 13, 2026 | Planned sale (10b5-1) | 1,690 | $776.70 | $1.3M | +4.0% | Feb 13, 2026 |
| Feb 11, 2026 | De Lange Bob (Officer) 13K shares $767.08 +5.3% since trade filed Feb 13, 2026 | Discretionary sale | 13K | $767.08 | $9.6M | +5.3% | Feb 13, 2026 |
| Feb 6, 2026 | De Lange Bob (Officer) 23K shares $720.11 +12.1% since trade filed Feb 9, 2026 | Discretionary sale | 23K | $720.11 | $16M | +12.1% | Feb 9, 2026 |
| Feb 6, 2026 | Fassino Anthony D. (Officer) 6,033 shares $722.15 +11.8% since trade filed Feb 9, 2026 | Discretionary sale | 6,033 | $722.15 | $4.4M | +11.8% | Feb 9, 2026 |
| Feb 4, 2026 | De Lange Bob (Officer) 30 shares $706.28 +14.3% since trade filed Feb 5, 2026 | Discretionary sale | 30 | $706.28 | $21K | +14.3% | Feb 5, 2026 |
| Feb 4, 2026 | De Lange Bob (Officer) 6,817 shares $705.70 +14.4% since trade filed Feb 5, 2026 | Discretionary sale | 6,817 | $705.70 | $4.8M | +14.4% | Feb 5, 2026 |
| Feb 4, 2026 | De Lange Bob (Officer) 9,223 shares $704.42 +14.6% since trade filed Feb 5, 2026 | Discretionary sale | 9,223 | $704.42 | $6.5M | +14.6% | Feb 5, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 1,000 shares $678.52 +19.0% since trade filed Feb 4, 2026 | Discretionary sale | 1,000 | $678.52 | $679K | +19.0% | Feb 4, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 1,138 shares $684.93 +17.9% since trade filed Feb 4, 2026 | Discretionary sale | 1,138 | $684.93 | $779K | +17.9% | Feb 4, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 1,431 shares $680.11 +18.7% since trade filed Feb 4, 2026 | Discretionary sale | 1,431 | $680.11 | $973K | +18.7% | Feb 4, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 2,258 shares $683.90 +18.1% since trade filed Feb 4, 2026 | Discretionary sale | 2,258 | $683.90 | $1.5M | +18.1% | Feb 4, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 2,761 shares $682.84 +18.2% since trade filed Feb 4, 2026 | Discretionary sale | 2,761 | $682.84 | $1.9M | +18.2% | Feb 4, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 2,994 shares $681.69 +18.4% since trade filed Feb 4, 2026 | Discretionary sale | 2,994 | $681.69 | $2.0M | +18.4% | Feb 4, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 7,411 shares $680.11 +18.7% since trade filed Feb 4, 2026 | Discretionary sale | 7,411 | $680.11 | $5.0M | +18.7% | Feb 4, 2026 |
| Feb 2, 2026 | Johnson Denise C (Officer) 20K shares $680.76 +18.6% since trade filed Feb 4, 2026 | Discretionary sale | 20K | $680.76 | $14M | +18.6% | Feb 4, 2026 |
“Since trade” compares with the latest insider-implied price, not a market quote: these pages are built from filings alone. A role here is the one on that day's Form 4, so somebody promoted since appears under both titles.
Filing hygiene
302 Forms 4, 3 years
1 filed late
1 amendments
1.6 avg. days to file
How to read this
A Form 4 transaction code decides everything. P is an open-market purchase and S an open-market sale; those two are the only codes where an insider chose to trade. A is a grant, M an option exercise or vesting, F shares withheld to cover tax, G a gift. Most “insiders dumped billions” headlines are code F and M mechanics.
Sales flagged 10b5-1 run on a plan the insider adopted in advance; since 2023 every Form 4 carries that flag. Buys have historically predicted returns, sales mostly have not, and this page states filings, not advice.