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Caterpillar Inc (CAT)

CAT on New York Consolidated

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9 Dec 2016
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Summary

Name Age Since Current Position

Douglas Oberhelman

63 2010 Chairman of the Board, Chief Executive Officer

Bradley Halverson

56 2013 Group President, Chief Financial Officer

Robert Charter

52 2015 Group President

Denise Johnson

49 2016 Group President - Resources Industries

Thomas Pellette

53 2015 Group President

Donald Umpleby

58 2014 Group President - Energy & Transportation

James Buda

68 2012 Executive Vice President - Law and Public Policy

David Bozeman

47 2013 Senior Vice President

Jananne Copeland

53 2012 Chief Accounting Officer

David Calhoun

58 2011 Independent Director

Daniel Dickinson

55 2006 Independent Director

Juan Gallardo

68 1998 Independent Director

Jesse Greene

71 2011 Independent Director

Jon Huntsman

56 2012 Independent Director

Dennis Muilenburg

52 2011 Independent Director

William Osborn

68 2000 Independent Director

Debra Reed

59 2015 Independent Director

Edward Rust

65 2003 Independent Director

Susan Schwab

61 2009 Independent Director

Miles White

61 2011 Independent Director

Biographies

Name Description

Douglas Oberhelman

Mr. Douglas R. Oberhelman is no longer Chairman of the Board, Chief Executive Officer of Caterpillar, with effect from March 31, 2017. Prior to his current position, Mr. Oberhelman served as Vice Chairman and Chief Executive Officer-Elect and as a Group President of Caterpillar Inc. The Board believes that Mr. Oberhelman’s extensive experience and knowledge of the Company, gained from 40 years of service in a wide range of Caterpillar leadership positions enables him to provide meaningful input and guidance to the Board and the Company.

Bradley Halverson

Mr. Bradley M. Halverson is Group President, Chief Financial Officer of Caterpillar Inc., since January 1, 2013. Mr. Halverson was elected to his current position as a Vice President of the Company in 2010 with responsibility for the Finance Services Division. As Vice President, his primary responsibilities included management and oversight of the accounting, finance, treasury and tax functions of the Company, reporting directly to Mr. Rapp. During his 25 year career, Mr. Halverson has held a number of positions with increasing responsibilities. After gaining auditing and tax experience with the former Price Waterhouse firm (now PricewaterhouseCoopers LLP), he joined the Company in 1988 as an accountant. In 1993, he moved to Geneva, Switzerland, as a strategy and planning consultant with Caterpillar Overseas, S.A. (“COSA”), and in 1995 was named the Controller for COSA with responsibility for financial reporting in EAME. Following Mr. Halverson’s return to the United States in 1996, he became the General Accounting & Finance Systems Manager, and from 1998 to 2002, he was the Business Resource Manager for the Company’s Engine Division. He was the Corporate Business Development Manager before becoming the Company’s Corporate Controller in December 2004, a position which he held until his election as Vice President for the Finance Services Division.

Robert Charter

Mr. Robert B. Charter is Group President of the Caterpillar inc., effective January 1, 2015. He has vast experience working closely with Caterpillar dealers, including those in Australia, Asia and Latin America. His diverse experience also includes product management, most notably his role as product manager in Tokyo, as well as service training, machine sales and service, mining product support, manufacturing, construction, quarry and forestry. In 2005, he was appointed southern region manager in Caterpillar’s Latin America Division, a position he held until 2008. In 2008, the Caterpillar Board of Directors named Charter to vice president with responsibility for the Asia Pacific Distribution Services Division. He held this position until January 2013 when he was appointed as vice president with responsibility for the Excavation Division. Mr. Charter holds a bachelor’s degree in mechanical engineering from Ballarat University in Victoria, Australia, and has completed the Stanford University Executive Program.

Denise Johnson

Ms. Denise Johnson is Group President - Resources Industries of the Company., effective April 1, 2016. Johnson joined Caterpillar in 2011 as the general manager of Caterpillar's Specialty Products business unit where she had responsibility for nearly 20 facilities around the world. She came to Caterpillar after a 22-year career with General Motors, where she built deep expertise in operations and product management in a series of positions in the United States , Canada and Brazil . A year later, she was elected vice president of the Diversified Products Division with responsibility for industries including forestry, paving and on-highway trucks. In 2013, she became vice president of the Integrated Manufacturing Operations Division overseeing major operations in Caterpillar's largest division at the time. She was named to her current role in 2014. Johnson graduated from Michigan State University with a bachelor's degree in mechanical engineering. She earned dual master's degrees in mechanical engineering and business administration from the Massachusetts Institute of Technology . Johnson is a member of numerous outside boards including The Mosaic Company.

Thomas Pellette

Mr. Thomas A. Pellette Group President of the Company., effective January 1, 2015. Mr. Pellette, currently a Caterpillar vice president and the president of Solar Turbines Inc., a wholly owned subsidiary of Caterpillar Inc., Since joining Solar in 1993, Pellette has held a range of sales, engineering and product support positions with increasing responsibility, including significant experience in leadership positions in Europe, Asia and the U.S. Prior to joining Solar, Pellette worked for Tennessee Gas and Leybold Technologies. In 2012, the Caterpillar Board of Directors named Pellette a Caterpillar vice president and the president of Solar Turbines. Pellette, a native of Los Alamos, N.M., graduated in 1985 from Rice University with a bachelor's degree in mechanical engineering. Mr. Pellette will join the other members of the EO based in the company’s headquarters in Peoria, Illinois.

Donald Umpleby

Mr. Donald James Umpleby, III, has been appointed as Chief Executive Officer, Director of the Company, effective January 1, 2017. He is no longer Group President - Energy & Transportation of Caterpillar Inc., effective January 1, 2017, He was elected to his current position as a Vice President of the Company and President of Solar Turbines Incorporated (“Solar”), in 2010. During his 32 year career, Mr. Umpleby has held a number of positions with increasing responsibilities. Mr. Umpleby joined Solar in 1980 as an associate engineer and over the next fifteen years, he held various engineering and sales positions with responsibilities in the U.S. and Asia. In 1995, he became the Director of Power Systems Operations and Facility Manager of Solar’s Kearny Mesa gas turbine packaging facility. In 1997, he became a Solar Vice President with responsibility for customer services, followed by responsibilities as Vice President of Turbomachinery Products and Power Generation. In 2005, Mr. Umpleby assumed responsibilities as the General Manager, Global Services in the Product Support Division. He was named Solar’s Vice President for Oil and Gas in 2007, a position which he held until his election as Vice President of the Company and President of Solar.

James Buda

Mr. James B. Buda is Executive Vice President - Law and Public Policy of CATERPILLAR INC. Mr. Buda joined Caterpillar in 1987 as an attorney in the legal department. He has served in a number of senior corporate attorney positions and was named Associate General Counsel in 1996. In 1999, Buda assumed the position of Associate General Counsel for the Legal Services Division in the United Kingdom legal office. He has held his current position since 2001. Mr. Buda has a Bachelor's degree from Ball State University, a Law Degree from the University of Notre Dame and completed a Harvard University executive program. Mr. Buda is a member of the American Bar Association, American Corporate Counsel Association, American Society of Corporate Secretaries, American Trial Lawyers Association, Association of General Counsels, Civil Justice Reform Group, Corporate Executive Board - General Counsel Roundtable, Defense Research Institute, Federation of Corporate and Insurance Counsel, Illinois and Indiana State Bar Associations, International Association of Defense Counsel, Product Liability Advisory Council, Trial Attorneys of America, Who's Who in American Law and the Illinois Equal Justice Foundation Board.

David Bozeman

Mr. David P. Bozeman is Senior Vice President of Caterpillar inc.

Jananne Copeland

Ms. Jananne A. Copeland is Chief Accounting Officer of Caterpillar Inc., She served as Corporate Controller of the company until Dec. 13, 2012. She was Corporate Consolidations & Tax Accounting Manager (2002-2004), Corporate Financial Reporting Manager, Corporate Services Division (2004-2006), Corporate Financial Reporting Manager, Global Finance & Strategic Support Division (2006 - 2007).

David Calhoun

Mr. David L. Calhoun has been appointed as Non-Executive Independent Chairman of the Board of Caterpiller Inc., with effect from March 31, 2017. Mr. Calhoun was previously Executive Chair of Nielsen Holdings N.V. (2014-2015). Prior to his position at Blackstone, Mr. Calhoun served as Chairman of the Executive Board and Chief Executive Officer of The Nielsen Company B.V. (2006-2013) and Vice Chairman of General Electric Company and President and Chief Executive Officer of GE Infrastructure (2005-2006).

Daniel Dickinson

Mr. Daniel M. Dickinson, J.D., is an Independent Director of Caterpillar Inc. He is currently Managing Partner of HCI Equity Partners (private equity investment). Other current directorships: none. Other directorships within the last five years: Mistras Group, Inc. and Progressive Waste Solutions Ltd. Mr. Dickinson has been a director of the Company since 2006.

Juan Gallardo

Mr. Juan Gallardo is an Independent Director of Caterpillar Inc. Mr. Gallardo is the Chairman of Organización CULTIBA and was its Chief Executive Officer until his retirement from that role in 2016. Mr. Gallardo resides in Mexico where Caterpillar has a significant manufacturing presence. The Board believes that Mr. Gallardo’s international business experience, particularly in Latin America and South America, are important for the Company’s understanding of these key markets. His extensive background in trade-related issues also contributes to the Board’s expertise. In addition, his experience as a chief executive officer and director of large, publicly-traded multinational corporations enables him to provide meaningful input and guidance to the Board and the Company.

Jesse Greene

Mr. Jesse J. Greene, Jr., is an Independent Director of Caterpillar Inc. Mr. Greene is currently an instructor at Columbia Business School in New York City where he teaches corporate governance, risk management and other business topics at the graduate and executive education levels. He was formerly Vice President of Financial Management and Chief Financial Risk Officer of International Business Machines Corporation (computer and office equipment).

Jon Huntsman

Gov. Jon M. Huntsman, Jr., is an Independent Director of Caterpillar Inc., since April 2012. Mr. Huntsman Former United States Ambassador to China (2009- 2011) and former Governor of Utah (2005-2009). Other current directorships are Chevron Corporation Ford Motor Company Hilton Worldwide Holdings Inc.

Dennis Muilenburg

Mr. Dennis A. Muilenburg is an Independent Director of Caterpillar Inc. Prior to his current position, Mr. Muilenburg was Vice Chairman, President and Chief Operating Officer of The Boeing Company (2013-2015). Prior to that, he was Executive Vice President of The Boeing Company and President and Chief Executive Officer of Boeing Defense, Space & Security (2009-2013).

William Osborn

Mr. William A. Osborn is an Independent Director of Caterpillar Inc. He was Former Chairman and CEO of Northern Trust Corporation and The Northern Trust Company. Other current directorships : Abbott Laboratories General Dynamics Corporation.

Debra Reed

Ms. Debra L. Reed is an Independent Director of the Company since 2015. . She is Chairman of the Board and Chief Executive Officer of Sempra Energy. Other current directorships: Halliburton Company , Sempra Energy.

Edward Rust

Mr. Edward B. Rust, Jr., is an Independent Director of Caterpillar Inc. Previously Mr. Rust served as Chief Executive Officer of State Farm Mutual Automobile Insurance Company and as Chairman, President and Chief Executive Officer of State Farm Fire and Casualty Company, State Farm Life Insurance Company and other principal State Farm affiliates. He also previously served as President of State Farm Mutual Automobile Insurance Company and Trustee and President of State Farm Mutual Fund Trust and State Farm Variable Product Trust.

Susan Schwab

Ambassador Susan C. Schwab, Ph.D., is an Independent Director of Caterpillar Inc. Ms. Schwab is currently a Professor at the University of Maryland School of Public Policy and a Strategic Advisor for Mayer Brown LLP. Prior to her current positions, Ambassador Schwab held various positions including United States Trade Representative (member of the President’s cabinet) and Deputy United States Trade Representative. Other current directorships: FedEx Corporation and The Boeing Company. Other directorships within the last five years: none. Ambassador Schwab has been a director of the Company since 2009.

Miles White

Mr. Miles D. White is an Independent Director of Caterpillar Inc. He is currently Chairman and Chief Executive Officer of Abbott Laboratories. Other current directorships Abbott Laboratories McDonald’s Corporation.