D. James Umpleby's Insider Trades & SAST Disclosures
D. James Umpleby's most recent trade in Caterpillar Inc. was a trade of 39,915 Employee Stock Options done . Disclosure was reported to the exchange on March 3, 2025.
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| Stock | Client Name | Client Category | Action | Reported to Exchange | Quantity | Post Transaction Holding | Traded % | Avg. Price | Value | Security Type |
|---|---|---|---|---|---|---|---|---|---|---|
| Caterpillar Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Corp. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Corp. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Corp. | 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 Inc. | 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 Corp. | 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 Inc. | 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 Inc. | 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 Corp. | D. James Umpleby | Director | 31 Dec 2020 | 8 | 49 (0%) | 0% | 0 | Common Stock | ||
| Caterpillar Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 Inc. | 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 |
| Caterpillar Inc. | 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. | 03 Nov 2020 | 172,621 | 0 | - | - | Employee Stock Options | |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 83.00 per share. | 03 Nov 2020 | 172,621 | 242,700 (0%) | 0% | 83 | 14,327,543 | Common Stock |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 166.75 per share. | 03 Nov 2020 | 124,329 | 118,371 (0%) | 0% | 166.8 | 20,731,861 | Common Stock |
| Caterpillar Inc. | 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. | 03 Nov 2020 | 114,049 | 0 | - | - | Employee Stock Option | |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 74.77 per share. | 03 Nov 2020 | 114,049 | 232,420 (0%) | 0% | 74.8 | 8,527,444 | Common Stock |
| Caterpillar Inc. | 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. | 03 Nov 2020 | 85,606 | 0 | - | - | Employee Stock Options | |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 96.31 per share. | 03 Nov 2020 | 85,606 | 135,607 (0%) | 0% | 96.3 | 8,244,714 | Common Stock |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 166.84 per share. | 03 Nov 2020 | 78,992 | 153,428 (0%) | 0% | 166.8 | 13,179,025 | Common Stock |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 166.36 per share. | 03 Nov 2020 | 65,528 | 70,079 (0%) | 0% | 166.4 | 10,901,238 | Common Stock |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 89.75 per share. | 02 Sep 2020 | 79,976 | 112,311 (0%) | 0% | 89.8 | 7,177,846 | Common Stock |
| Caterpillar Inc. | 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. | 02 Sep 2020 | 79,976 | 0 | - | - | Employee Stock Options | |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 148.73 per share. | 02 Sep 2020 | 62,310 | 50,001 (0%) | 0% | 148.7 | 9,267,366 | Common Stock |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Exercise or conversion of derivative security received from the company (such as an option) at price $ 110.09 per share. | 02 Sep 2020 | 21,416 | 50,658 (0%) | 0% | 110.1 | 2,357,687 | Common Stock |
| Caterpillar Inc. | 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. | 02 Sep 2020 | 21,416 | 0 | - | - | Employee Stock Options | |
| Caterpillar Inc. | D. James Umpleby | Director, Chairman & CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 148.62 per share. | 02 Sep 2020 | 18,323 | 32,335 (0%) | 0% | 148.6 | 2,723,164 | Common Stock |
| Chevron Corp. | D. James Umpleby | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 May 2020 | 2,411 | 6,806 (0%) | 0% | 0 | Common Stock |
*All Values are in $ Million
Client Category: Promoter/ KMP/ Director / Immediate Relatives / Employee / etc
Security Type: Share/ Warrants / Convertible Debentures
Security Type: Share/ Warrants / Convertible Debentures
Data as reported to USA Exchanges