NYSE$CAT

Caterpillar · Q1 2021 earnings

Q1 2021 earnings · · Investor relations

Briefing

Caterpillar's performance improved due to higher sales volume and improving conditions in end markets.

Caterpillar reported a 12% increase in sales and revenues for Q1 2021, driven by higher end-user demand and changes in dealer inventories. The company's operating profit margin increased to 15.3%, and adjusted profit per share reached $2.87. Caterpillar ended the quarter with a strong balance sheet, including $11.3 billion in enterprise cash.

  • Sales and revenues increased by 12% compared to Q1 2020, reaching $11.9 billion.
  • First-quarter profit per share was $2.77, with an adjusted profit per share of $2.87.
  • Operating profit margin improved to 15.3% compared to 13.2% in the previous year.
  • Strong balance sheet maintained with $11.3 billion of enterprise cash on hand.

Headline financials

Total Revenue

$11.9B

Previous: $10.6B+11.8%
EPS (adj)

$2.87

Previous: $1.60+79.4%
Capital Expenditures

-$252M

Previous: -$305M+17.4%
Free Cash Flow

$1.28B

Previous: $788M+62.3%
Net Income

$1.53B

Previous: $1.09B+40.1%
Operating Income

$1.81B

Previous: $1.4B+29.2%
Gross Profit

$3.88B

Previous: $3.37B+15.0%
Cash & Equivalents

$11.3B

Previous: $7.13B+59.1%
Total Assets

$80.7B

Previous: $75.9B+6.4%

Revenue & EPS history

Caterpillar · Revenue · Quarterly

$11.9B

Q1 2021+11.8%vs Q1 2020
Beat estimate in 11 of 16 quarters(69%)
ActualEstimate

Revenue by segment

Caterpillar · $12.9B total across 4 segments · Q1 2021

  • Construction Industries
    $5.46B+26.8%
  • Power & Energy
    $4.51B+3.6%
  • Resource Industries
    $2.22B+6.3%
  • Financial Products
    $761M-6.5%

Forward guidance

Caterpillar is encouraged by improving conditions in its end markets and is proactively managing supply chain risks.

Historical earnings impact

How earnings announcements have historically affected this stock's price.

Avg. return before/after earnings

Based on 20 quarterly earnings reports · overlaid with Q1 2021

Historical avgQ1 2021

-0.4%

Avg return

Earnings day

+0.2%

Avg return

5 days after

+2.2%

Avg return

30 days after

47%

34 / 73 earnings

Positive

+11.6%

Q3 2025

Best reaction

-12.7%

Q3 2018

Worst reaction

Earnings price reactions
QuarterReport dateReaction (Day 0)+5 days+30 days
Q1 2026-0.7%+11.7%+7.8%
Q4 2025+2.8%+9.3%+15.5%
Q3 2025+11.6%+8.8%+9.8%
Q2 2025-1.5%-5.9%-2.6%
Q1 2025+0.6%+5.1%+13.2%
Q4 2024-4.6%-8.0%-12.5%
Q3 2024-2.9%-2.8%+4.8%
Q2 2024+2.8%+6.8%+5.3%
Q1 2024-5.5%-8.0%-4.0%
Q4 2023+2.4%+0.7%+6.5%
Q3 2023-4.3%-0.6%+3.5%
Q2 2023+8.4%+4.3%+6.0%
Q1 2023+1.2%-0.5%-2.0%
Q4 2022-4.6%-5.3%-3.6%
Q3 2022+11.4%+10.9%+19.7%
Q2 2022-6.2%-4.9%-6.4%
Q1 2022-1.6%-0.2%+1.5%
Q4 2021-5.0%-3.4%-11.8%
Q3 2021+4.0%+5.6%+1.3%
Q2 2021-3.5%-3.8%+0.1%
Q1 2021-1.8%+0.5%+3.8%
Q4 2020+0.2%+3.9%+17.1%
Q3 2020-7.4%-3.8%+7.0%
Q2 2020-3.6%-1.3%+5.0%
Q1 2020+4.2%-3.7%+4.8%
Q4 2019-4.1%+1.5%-8.2%
Q3 2019+0.1%+4.8%+7.6%
Q2 2019-2.5%-2.6%-17.4%
Q1 2019-4.2%-2.1%-13.5%
Q4 2018-7.5%-4.3%+2.0%
Q3 2018-12.7%-10.6%-3.8%
Q2 2018+0.9%-2.8%-0.5%
Q1 2018-5.7%-6.0%+2.4%
Q4 2017-0.8%-2.7%-3.5%
Q3 2017+3.9%+4.7%+4.8%
Q2 2017+4.9%+5.5%+6.1%
Q1 2017+8.1%+5.6%+8.5%
Q4 2016+0.9%-2.5%-2.7%
Q3 2016-2.2%-2.5%+11.9%
Q2 2016+6.9%+5.2%+5.3%
Q1 2016-2.4%
Q4 2015+6.7%
Q3 2015+3.0%
Q2 2015-4.6%
Q1 2015-0.3%
Q4 2014-7.0%
Q3 2014+5.1%
Q2 2014-3.3%
Q1 2014+1.3%
Q4 2013+7.3%
Q3 2013-5.2%
Q2 2013-4.0%
Q1 2013+4.6%
Q4 2012+3.2%
Q3 2012-0.3%
Q2 2012+2.3%
Q1 2012-3.7%
Q4 2011+1.6%
Q3 2011-1.0%
Q2 2011-5.5%
Q1 2011+2.3%
Q4 2008-5.5%
Q4 2010-5.5%
Q3 2010+4.6%
Q2 2010+1.9%
Q1 2010-2.0%
Q1 2009-2.0%
Q4 2009+0.4%
Q4 2007+0.4%
Q3 2008-3.1%
Q3 2009-3.1%
Q2 2008+1.9%
Q2 2009+1.9%

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