Compras y ventas de directivos de Caterpillar (CAT)
Qué compran y venden los consejeros y directivos del S&P 500 en sus propias empresas, tal cual lo presentan en los Formularios 4 de la SEC (2 días hábiles de plazo): cada fila con su código oficial y sin filtrar nada.
Las compras en mercado abierto (código P) son la señal rara, en verde; las ventas (código S) son frecuentes y muchas van programadas (10b5-1). La tabla II (derivados) no se incluye: sus precios son de ejercicio, no de mercado. Guía: compras de directivos.
| Fecha | Ticker | Directivo | Cargo | Acciones | Precio | Importe | % posición | Tipo / documento |
|---|
Descargar estas transacciones en CSV Sin cuenta y sin registro. Los datos son públicos: salen de los Formularios 4 de la SEC.
Compras y ventas de directivos de Caterpillar Inc. (CAT): 2 compras y 32 ventas
141 transacciones de la tabla I del Formulario 4 declaradas ante la SEC por directivos de Caterpillar Inc. entre el 2025-09-03 y el 2026-09-01 (histórico de 15 meses): 2 compras y 32 ventas en mercado abierto, y 107 transacciones con otros códigos del Formulario 4, desglosados uno a uno más abajo. La mayor operación en mercado abierto es una venta de $26,7M de Johnson Denise C el 2026-02-02.
Compras y ventas de directivos de Caterpillar en los últimos 12 meses
Entre el 21 oct 2025 y el 20 oct 2026, los directivos de Caterpillar declararon 2 compras por $390k y 29 ventas por $244,4M en mercado abierto. El saldo neto es vendedor: salen $244,0M más de los que entran.
Quien más compró fue Maclennan David (Consejero): $390k en 2 compras, el único comprador. Quien más vendió fue De Lange Bob (Group President): $78,7M en 6 ventas, de 8 vendedores distintos.
La mayor operación del período fue una venta de $26,7M el 2 feb 2026, de Johnson Denise C (Group President). Formulario 4 en sec.gov (0001104659-26-010372).
De las 29 ventas, 5 (el 17%, $20,6M) llevan en el Formulario 4 la marca de plan 10b5-1, es decir, se programaron con meses de antelación; las otras 24 no la llevan.
En los tres últimos meses hay 0 compras y 1 venta, frente a 1 y 9 en los tres anteriores. La última compra es del 4 may 2026; la última venta, del 28 ago 2026.
Frente a su sector (Industria, 75 empresas con página de directivos en esta web), en las mismas fechas la mediana es de 8 ventas y 0 compras en mercado abierto. Caterpillar tiene más ventas que 66 de las otras 74, es la 3.ª de 75 por dinero neto vendido, y 28 de las 75 tienen al menos una compra, Caterpillar incluida.
Las 20 operaciones más importantes
Primero las 2 compras en mercado abierto y después el resto, cada tipo de mayor a menor importe. El histórico completo está en la herramienta de arriba, ya buscado.
Ver las 141 operaciones de CAT en el histórico completo →
| Operación | Declarada | Directivo | Cargo | Importe | Código | Documento |
|---|---|---|---|---|---|---|
| 2026-05-04 | 2026-05-05 | Maclennan David | Consejero | $219k | P — Compra en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 Includes adjustment for dividends accrued. | SEC |
| 2025-11-06 | 2025-11-06 | Maclennan David | Consejero | $171k | P — Compra en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 Includes adjustments for dividends accrued. | SEC |
| 2026-02-02 | 2026-02-04 | Johnson Denise C | Group President | $26,7M | S — Venta en mercado abierto7 notas del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $678.25 to $678.82. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 This transaction was executed in multiple trades at prices ranging from $680.35 to $681.29. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 This transaction was executed in multiple trades at prices ranging from $681.35 to $682.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 This transaction was executed in multiple trades at prices ranging from $682.38 to $683.36. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F6 This transaction was executed in multiple trades at prices ranging from $683.37 to $684.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F7 This transaction was executed in a trade at a price of $684.93. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-08-28 | 2026-09-01 | Creed Joseph E | Chief Executive Officer | $26,2M | S — Venta en mercado abierto14 notas del Formulario 4 (texto original de la SEC, en inglés)F2 The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F6 The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F7 The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F8 The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F9 The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F10 The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F11 The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F12 The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F13 The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F14 The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F15 The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-05-06 | 2026-05-07 | De Lange Bob | Group President | $22,4M | S — Venta en mercado abierto2 notas del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $922.08 to $923.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 This transaction was executed in multiple trades at prices ranging from $923.08 to $924.02. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-02-06 | 2026-02-09 | De Lange Bob | Group President | $16,3M | S — Venta en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $720.02 to $721.01. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-05-11 | 2026-05-12 | Fassino Anthony D. | Group President | $14,9M | S — Venta en mercado abierto2 notas del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 This transaction was executed in multiple trades at prices ranging from $917.40 to $917.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-05-06 | 2026-05-07 | Bonfield Andrew R J | CFO Emeritus | $14,4M | S — Venta en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $918.50 to $919.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-05-14 | 2026-05-15 | Johnson Denise C | Group President | $11,4M | S — Venta en mercado abierto8 notas del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 This transaction was executed in multiple trades at prices ranging from $905.25 to $906.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected F4 This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected F5 This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected F6 This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected F7 This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected F8 This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected | SEC |
| 2026-02-04 | 2026-02-05 | De Lange Bob | Group President | $11,3M | S — Venta en mercado abierto3 notas del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $704.22 to $705.21. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 This transaction was executed in multiple trades at prices ranging from $705.26 to $706.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 This transaction was executed in a trade at a price of $706.28. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-02-02 | 2026-02-03 | De Lange Bob | Group President | $10,9M | S — Venta en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $682.93 to $683.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2026-02-11 | 2026-02-13 | De Lange Bob | Group President | $9,6M | S — Venta en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $766.95 to $767.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2025-10-10 | 2025-10-14 | Umpleby Iii Donald J | Executive Chairman | $8,7M | S — Venta en mercado abierto (programada 10b5-1)Nota del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was entered as multiple trades, at prices ranging from $501.40 to $506.98. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number. | SEC |
| 2026-05-06 | 2026-05-07 | Fassino Anthony D. | Group President | $8,5M | S — Venta en mercado abierto2 notas del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $925.67 to $926.56. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 This transaction was executed in multiple trades at prices ranging from $926.67 to $926.85. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2025-11-05 | 2025-11-07 | De Lange Bob | Group President | $8,2M | S — Venta en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F2 This transaction was executed in multiple trades at prices ranging from $562.32 to $562.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2025-09-22 | 2025-09-23 | Umpleby Iii Donald J | Executive Chairman | $7,9M | S — Venta en mercado abierto (programada 10b5-1)Nota del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was entered as multiple trades, at prices ranging from $460.62 to $466.98. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number. | SEC |
| 2026-02-02 | 2026-02-03 | Fassino Anthony D. | Group President | $7,3M | S — Venta en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 The transaction was executed in multiple trades at prices ranging from $680.16 to $681.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2025-09-02 | 2025-09-03 | Umpleby Iii Donald J | Executive Chairman | $7,1M | S — Venta en mercado abierto (programada 10b5-1)2 notas del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was entered as multiple trades, at prices ranging from $410.37 to $414.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number F2 Includes dividends accrued. | SEC |
| 2026-02-13 | 2026-02-17 | Fassino Anthony D. | Group President | $6,1M | S — Venta en mercado abiertoNota del Formulario 4 (texto original de la SEC, en inglés)F1 This transaction was executed in multiple trades at prices ranging from $776.69 to $777.13. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. | SEC |
| 2025-11-11 | 2025-11-13 | Kaiser Jason | Group President | $6,0M | S — Venta en mercado abierto (programada 10b5-1)13 notas del Formulario 4 (texto original de la SEC, en inglés)F2 This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F3 This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F4 This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F5 This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F6 This transaction was entered as multiple trades at $565.06. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F7 This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F8 This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F9 This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F10 This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F11 This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F12 This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F13 This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F14 This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. | SEC |
El saldo del período: cuánto dinero entra y cuánto sale
En los Formularios 4 presentados entre el 3 sept 2025 y el 1 sept 2026, el mercado abierto de Caterpillar Inc. suma 2 compras por $390k y 32 ventas por $268,1M. El saldo es de $267,7M a favor de las ventas.
Solo cuentan los códigos P y S, donde el directivo pone o saca su propio dinero. Que el saldo de Caterpillar Inc. salga vendedor es lo habitual en el S&P 500, donde buena parte del sueldo se cobra en acciones. No es una recomendación de comprar ni de vender: es lo que se declaró.
Todas las transacciones, código por código
| Código | Qué significa | Operaciones | Importe declarado |
|---|---|---|---|
| F | Retención fiscal (acciones entregadas por impuestos) | 54 | $108,0M |
| S | Venta en mercado abierto | 32 | $268,1M |
| A | Adjudicación o premio de acciones | 28 | $0 |
| M | Ejercicio de opciones | 21 | $76,2M |
| G | Regalo o donación | 4 | $0 |
| P | Compra en mercado abierto | 2 | $390k |
| Total | Todo lo declarado en el período | 141 | $452,7M |
32 de las 141 filas no traen un importe utilizable en el Formulario 4: cuentan como operación y suman $0. Las etiquetas son las del índice de códigos de la SEC.
Quién ha operado
En los 15 meses del histórico han declarado operaciones de Caterpillar Inc. 20 personas o entidades distintas. De ellas, 1 compró en mercado abierto y 9 vendieron. Se cuentan por su CIK, el número fijo que la SEC da a cada declarante, y no por el nombre, que cada uno escribe a su manera.
De los 9 que vendieron en mercado abierto (32 ventas en total), los tres que más vendieron suman $168,3M de los $268,1M: el 63% del dinero en tres personas.
| Declarante | Cargo | Transacciones | Comprado (nº) | Vendido (nº) | Última declarada |
|---|---|---|---|---|---|
| De Lange Bob | Group President | 24 | — | $78,7M (6) | 2026-05-07 |
| Fassino Anthony D. | Group President | 23 | — | $45,8M (6) | 2026-05-12 |
| Johnson Denise C | Group President | 15 | — | $43,7M (3) | 2026-05-15 |
| Creed Joseph E | Chief Executive Officer | 10 | — | $28,0M (2) | 2026-09-01 |
| Bonfield Andrew R J | CFO Emeritus | 10 | — | $25,9M (3) | 2026-05-07 |
| Umpleby Iii Donald J | Executive Chairman | 8 | — | $23,7M (3) | 2026-03-06 |
| Kaiser Jason | Group President | 13 | — | $12,3M (3) | 2026-05-06 |
| Shurman Rodney Michael | Group President | 10 | — | $8,2M (3) | 2026-05-06 |
Se enseñan los 8 que más dinero movieron, de 20. Los demás están en el histórico completo, que se abre con el enlace de arriba. El nombre lleva a todas sus operaciones, en cualquier empresa. «Transacciones» cuenta cualquier código; el dinero, solo mercado abierto. Cargo: el de su última declaración.
Mes a mes
Por el mes en que se operó, no en el que se presentó el formulario; los meses sin operaciones van a cero. El mes con más movimiento fue feb 2026: 0 compras y 12 ventas, por $97,7M. 7 de los 15 meses no tienen ninguna.
| Mes | Compras | Importe | Ventas | Importe |
|---|---|---|---|---|
| ago 2025 | 0 | $0 | 0 | $0 |
| sept 2025 | 0 | $0 | 2 | $15,0M |
| oct 2025 | 0 | $0 | 1 | $8,7M |
| nov 2025 | 1 | $171k | 4 | $19,6M |
| dic 2025 | 0 | $0 | 2 | $11,5M |
| ene 2026 | 0 | $0 | 0 | $0 |
| feb 2026 | 0 | $0 | 12 | $97,7M |
| mar 2026 | 0 | $0 | 1 | $1,8M |
| abr 2026 | 0 | $0 | 0 | $0 |
| may 2026 | 1 | $219k | 9 | $87,6M |
| jun 2026 | 0 | $0 | 0 | $0 |
| jul 2026 | 0 | $0 | 0 | $0 |
| ago 2026 | 0 | $0 | 1 | $26,2M |
| sept 2026 | 0 | $0 | 0 | $0 |
| oct 2026 | 0 | $0 | 0 | $0 |
El último mes puede ir incompleto: el Formulario 4 se presenta hasta dos días hábiles después. La tabla no dice si el patrón es bueno o malo; dice cuándo pasó.
Ficha de análisis de Caterpillar Inc. (CAT) →
Otras empresas de Industria con operaciones de directivos
Están las 500 en el índice de la sección →
Qué directivos están comprando acciones de su propia empresa →
Cómo leer estos datos
4 de las 18 ventas de la tabla van marcadas como programadas (plan 10b5-1): se firman con meses de antelación y se ejecutan solas, así que no dicen lo que el directivo piensa hoy. Las 2 compras en mercado abierto (código P) de Caterpillar son la señal rara: los directivos ya cobran en acciones, y comprar más es poner dinero propio. La última presentación es del 1 sept 2026, y el Formulario 4 llega hasta dos días hábiles después de operar.
20 de las 20 filas de la tabla llevan notas al pie del propio Formulario 4, plegadas en la columna del código y copiadas tal cual, en inglés; una fila sin nota es que el formulario no la trae.
Guía: Compras de directivos · todas las guías
Lo que hay detrás de estas operaciones
Los conceptos de esta página, explicados desde cero en la Academia. Gratis y sin cuenta.
- Qué dice y qué NO dice la hipótesis de eficienciaSi la compra de un directivo es pública y cualquiera puede leerla, ¿queda información dentro? Es la pregunta exacta que trae a esta página.
- Quién mueve realmente el mercado: los tipos de inversoresQuién hay al otro lado de cada orden, y qué sitio ocupan entre ellos los directivos de la propia empresa.
- Oferta, demanda y el precio: por qué sube y baja constantementeCómo acaba una noticia metida en el precio, y por qué la reacción a una venta declarada rara vez es la que uno esperaría.
Fuente: SEC EDGAR Formulario 4. Esto es una lista de hechos públicos, no asesoramiento financiero ni una recomendación de compra o venta.