Umpleby D. James's most recent trade in Caterpillar Inc. was a trade of 17,166 Common Stock done at an average price of $505.3 . Disclosure was reported to the exchange on Oct. 10, 2025.
| Stock | Client Name | Client Category | Action | Reported to Exchange | Quantity | Post Transaction Holding | Traded % | Avg. Price | Value | Security Type |
|---|---|---|---|---|---|---|---|---|---|---|
| Caterpillar | D. James Umpleby | Executive Chairman | Sale of securities on an exchange or to another person at price $ 505.29 per share. | 10 Oct 2025 | 17,166 | 448,173 (0%) | 0% | 505.3 | 8,673,808 | Common Stock |
| Caterpillar | D. James Umpleby | Executive Chairman | Sale of securities on an exchange or to another person at price $ 462.65 per share. | 22 Sep 2025 | 17,166 | 465,339 (0%) | 0% | 462.7 | 7,941,850 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Executive Chairman | Sale of securities on an exchange or to another person at price $ 412.87 per share. | 02 Sep 2025 | 17,168 | 482,505 (0%) | 0% | 412.9 | 7,088,152 | Common Stock |
| Chevron | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jul 2025 | 6 | 55 (0%) | 0% | 0 | Common Stock | |
| Chevron | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jul 2025 | 3 | 3 (0%) | 0% | 0 | Common Stock | |
| Chevron | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 May 2025 | 1,704 | 3,231 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 03 Mar 2025 | 39,915 | 39,915 | - | - | Employee Stock Options | |
| Caterpillar | D. James Umpleby | Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 03 Mar 2025 | 12,733 | 501,041 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Chief Executive Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 325.30 per share. | 03 Mar 2025 | 1,528 | 499,513 (0%) | 0% | 325.3 | 497,058 | Common Stock |
| Caterpillar | D. James Umpleby | Chairman & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Feb 2025 | 36,126 | 502,422 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 362.70 per share. | 11 Feb 2025 | 14,163 | 488,259 (0%) | 0% | 362.7 | 5,136,920 | Common Stock |
| Caterpillar | D. James Umpleby | Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 07 Nov 2024 | 87,053 | 43,526 | - | - | Employee Stock Options | |
| Caterpillar | D. James Umpleby | Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 196.70 per share. | 07 Nov 2024 | 87,053 | 526,102 (0%) | 0% | 196.7 | 17,123,325 | Common Stock |
| Caterpillar | D. James Umpleby | Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 413.02 per share. | 07 Nov 2024 | 59,851 | 466,251 (0%) | 0% | 413.0 | 24,719,660 | Common Stock |
| Caterpillar | D. James Umpleby | Chairman & CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 07 Nov 2024 | 2,400 | 439,049 (0%) | 0% | 0 | Common Stock | |
| Chevron | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 May 2024 | 1,477 | 3,059 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Mar 2024 | 39,561 | 39,561 | - | - | Employee Stock Options | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Mar 2024 | 12,181 | 441,355 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 26 Feb 2024 | 8,081 | 36,040 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | James D. Umpleby | Director, Chief Executive Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 26 Feb 2024 | 8,081 | 0 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Feb 2024 | 42,136 | 438,378 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 313.40 per share. | 13 Feb 2024 | 16,835 | 421,543 (0%) | 0% | 313.4 | 5,276,089 | Common Stock |
| Caterpillar | Umpleby James D. | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 18 Dec 2023 | 182,944 | 0 | - | - | Employee Stock Options | |
| Caterpillar | Umpleby D. James | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 151.12 per share. | 18 Dec 2023 | 182,944 | 457,374 (0%) | 0% | 151.1 | 27,646,497 | Common Stock |
| Caterpillar | James Umpleby D. | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 138.35 per share. | 18 Dec 2023 | 163,615 | 487,522 (0%) | 0% | 138.3 | 22,636,135 | Common Stock |
| Caterpillar | D. Umpleby James | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 18 Dec 2023 | 163,615 | 0 | - | - | Employee Stock Options | |
| Caterpillar | Umpleby D. James | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 286.72 per share. | 18 Dec 2023 | 133,467 | 323,907 (0%) | 0% | 286.7 | 38,267,658 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 286.72 per share. | 18 Dec 2023 | 115,366 | 372,156 (0%) | 0% | 286.7 | 33,077,740 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 127.60 per share. | 18 Dec 2023 | 75,701 | 447,857 (0%) | 0% | 127.6 | 9,659,448 | Common Stock |
| Caterpillar | James D. Umpleby | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 18 Dec 2023 | 75,701 | 0 | - | - | Employee Stock Options | |
| Caterpillar | D. Umpleby James | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 286.72 per share. | 18 Dec 2023 | 51,615 | 396,242 (0%) | 0% | 286.7 | 14,799,053 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 04 Aug 2023 | 5,114 | 27,959 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 04 Aug 2023 | 2,613 | 0 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 04 Aug 2023 | 2,501 | 0 (0%) | 0% | 0 | Common Stock | |
| Chevron | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 May 2023 | 1,534 | 2,872 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 06 Mar 2023 | 112,156 | 112,156 | - | - | Employee Stock Options | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Feb 2023 | 49,260 | 263,312 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chief Executive Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 248.68 per share. | 07 Feb 2023 | 20,978 | 242,334 (0%) | 0% | 248.7 | 5,216,809 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 127.60 per share. | 26 May 2022 | 151,402 | 327,979 (0%) | 0% | 127.6 | 19,318,895 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chairman and CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 26 May 2022 | 151,402 | 75,701 | - | - | Employee Stock Options | |
| Caterpillar | D. James Umpleby | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 229.65 per share. | 26 May 2022 | 113,927 | 214,052 (0%) | 0% | 229.7 | 26,163,336 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 26 May 2022 | 13,835 | 0 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 26 May 2022 | 7,490 | 0 (0%) | 0% | 0 | Common Stock | |
| Chevron | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 25 May 2022 | 1,303 | 10,509 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Mar 2022 | 130,579 | 130,579 | - | - | Employee Stock Options | |
| Chevron | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 May 2021 | 2,166 | 9,101 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 07 May 2021 | 4,495 | 179,692 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Mar 2021 | 155,411 | 155,411 | - | - | Employee Stock Options | |
| Chevron | D. James Umpleby | Director | 31 Dec 2020 | 8 | 49 (0%) | 0% | 0 | Common Stock | ||
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 30 Dec 2020 | 59,000 | 151,726 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2020 | 46,337 | 198,063 (0%) | 0% | 0 | Common Stock | |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 196.78 per share. | 30 Dec 2020 | 19,766 | 178,297 (0%) | 0% | 196.8 | 3,889,553 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 24 Nov 2020 | 214,370 | 0 | - | - | Employee Stock Options | |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 95.66 per share. | 24 Nov 2020 | 214,370 | 367,798 (0%) | 0% | 95.7 | 20,506,634 | Common Stock |
| Caterpillar | D. James Umpleby | Director, Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 176.80 per share. | 24 Nov 2020 | 159,572 | 208,226 (0%) | 0% | 176.8 | 28,212,330 | Common Stock |