Donald J. Umpleby III
Donald J. Umpleby III: Executive Chairman at Caterpillar. What Donald J. Umpleby III holds in an AI or semiconductor company tracked on Silicon Floor, from their SEC filings, broken down: the shares held and how, then any restricted shares, options or other rights declared.
Caterpillar (CAT)
Donald J. Umpleby III holds 560,268 Caterpillar shares (0.12% of the company), worth about $478.4M at the last price, according to the Form 4 of Mar 4, 2026.
- Shares held: 464,199 (0.10%), $396.4M — Held in their own name.
- Shares held: 59,000 (0.01%), $50.4M — Held through trusts (Held by Irrevocable Trust for Descendants).
- Shares held: 36,040 (0.01%), $30.8M — Held by a spouse or a family member (Held by Children's Irrevocable Trust).
- Shares held: 1,029 (0.00%), $878,699.12 — Held in a retirement account (Held by 401(k) Plan).
- Options: 43,526 (0.01%), $37.2M — The right to buy 43,526 shares at $196.70 each, until 2032. Not bought yet.
- Options: 39,915 (0.01%), $34.1M — The right to buy 39,915 shares at $332.04 each, until 2035. Not bought yet.
Declarations
- Caterpillar (CAT) — Form 4 of Mar 4, 2026 (Executive Chairman): shares withheld for tax of 1,546 at $738.42; 560,268 shares after 0001104659-26-024564
- Caterpillar (CAT) — Form 4 of Mar 3, 2026 (Executive Chairman): shares withheld for tax of 1,591 at $719.13; 561,814 shares after 0001104659-26-023609
- Caterpillar (CAT) — Form 4 of Feb 10, 2026 (Executive Chairman): grant or award of 34,986; shares withheld for tax of 13,571 at $744.83; 563,385 shares after 0001104659-26-014522
- Caterpillar (CAT) — Form 4 of Nov 28, 2025 (Executive Chairman): gift of 2,350; 541,949 shares after 0001104659-25-117569
- Caterpillar (CAT) — Form 4 of Oct 10, 2025 (Executive Chairman): open-market sale of 17,166 at $505.29; 544,242 shares after 0001104659-25-099169
- Caterpillar (CAT) — Form 4 of Sep 22, 2025 (Executive Chairman): open-market sale of 17,166 at $462.65; 561,409 shares after 0001104659-25-092496
- Caterpillar (CAT) — Form 4 of Sep 2, 2025 (Executive Chairman): open-market sale of 17,168 at $412.87; 578,573 shares after 0001104659-25-087153
- Caterpillar (CAT) — Form 4 of Mar 4, 2025 (Chief Executive Officer): grant or award of 12,733; shares withheld for tax of 1,528 at $325.30; 595,577 shares after 0001104659-25-021014
- Caterpillar (CAT) — Form 4 of Feb 11, 2025 (Chairman & CEO): grant or award of 36,126; shares withheld for tax of 14,163 at $362.70; 584,323 shares after 0001104659-25-012855
- Caterpillar (CAT) — Form 4 of Nov 7, 2024 (Chairman & CEO): gift of 2,400; option exercise or conversion of 87,053 at $196.70; 562,311 shares after 0001104659-24-115989
Sources: SEC Schedules 13D and 13G (stakes above 5%, which count everything a person votes or can acquire within 60 days) and Forms 3, 4 and 5 (the shares a director, officer or 10% owner holds, filed within two business days of each trade). Values at the last price.