# D. James Umpleby III

> Alpha governed public record. Unknown, unavailable, and unpublished values are never inferred as zero.

## Record

| Field | Value |
| --- | --- |
| Representation | alpha-profile-markdown-v3 |
| Protocol | Alpha Governance Facts Protocol 0.1 |
| Schema | alpha.governance.entity.public.v1 |
| Record version | public-0 |
| Canonical entity | alpha:person:d-james-umpleby-iii |
| Entity type | Person |
| Canonical URL | https://registry.alpha.ac/people/d-james-umpleby-iii |
| Publication | PUBLISHED |
| Verification | corroborated |
| Verification schema | alpha-verification-states-v1 |
| Ownership | unclaimed |
| Published claims | 22 |
| Claims under review | 0 |
| Evidence records | 9 |
| Conflicts | 0 |
| Conflicts in internal review | 2 |
| Observed | 2026-09-12T13:14:00.725863+00:00 |
| Last reviewed | 2026-05-07T18:25:07.783+00:00 |

## Identity

- Legal name: D. James Umpleby III
- Display name: D. James Umpleby III

## Leadership

- PUBLISHED

## Roles

- Chair at Caterpillar Inc.. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:5.
- Director at Chevron Corporation. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:7.

## Governance

- PUBLISHED

## Board committees

- PUBLISHED

## AI and ML experience

- AI and ML experience: not identified in the cited filing. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:1, alpha:evidence:person:d-james-umpleby-iii:3.

## AI expertise

- AI expertise: not identified in the cited filing. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:8, alpha:evidence:person:d-james-umpleby-iii:9.

## AI governance relevance

- AI governance relevance: not identified in the cited filing. Publication: PUBLISHED. Verification: source_reported. Review: internal_review. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:9.
- AI governance relevance reported from role and filings. Publication: PUBLISHED. Verification: source_reported. Review: internal_review. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:8.

## Board independence

- Independent director. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:6.

## Board membership

- Serves on the board of Caterpillar Inc.. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:5, alpha:evidence:person:d-james-umpleby-iii:6.
- Serves on the board of Chevron. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:6, alpha:evidence:person:d-james-umpleby-iii:7.

## Board role

- Board role: Chair. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:4.
- Board role: Director. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:1.

## Committee assignments

- No committee assignment disclosed in the cited filing. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:4, alpha:evidence:person:d-james-umpleby-iii:6.
- Committee assignments: Nominating/Governance, ESG. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:1.

## Cybersecurity experience

- Cybersecurity experience: not identified in the cited filing. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:1, alpha:evidence:person:d-james-umpleby-iii:3.

## Executive company

- Executive at Caterpillar Inc.. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:4, alpha:evidence:person:d-james-umpleby-iii:3, alpha:evidence:person:d-james-umpleby-iii:8.
- Executive at Citizens Financial Group, Inc.. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:2, alpha:evidence:person:d-james-umpleby-iii:9.

## Executive function

- Enterprise Leadership (EXECUTIVE_CHAIRMAN). Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:8.
- Other Executive (OTHER_EXECUTIVE). Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:9.

## Executive title

- Executive title: Executive Chairman. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:4, alpha:evidence:person:d-james-umpleby-iii:3, alpha:evidence:person:d-james-umpleby-iii:8.
- Executive title: Executive Officer. Publication: PUBLISHED. Verification: corroborated. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:2, alpha:evidence:person:d-james-umpleby-iii:9.

## Technology background

- Technology background: not identified in the cited filing. Publication: PUBLISHED. Verification: source_reported. Review: internal_review. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:3.
- Technology background reported in filings. Publication: PUBLISHED. Verification: source_reported. Review: internal_review. Assertion: source_reported. Evidence: alpha:evidence:person:d-james-umpleby-iii:1.

## Coverage states

| Field | Value |
| --- | --- |
| Identity | PUBLISHED |
| Business | NOT_APPLICABLE |
| Leadership | PUBLISHED |
| Board and committees | PUBLISHED |
| Governance | PUBLISHED |
| Financials | NOT_APPLICABLE |
| Workforce | NOT_APPLICABLE |
| Ownership | NOT_APPLICABLE |
| Ratings | NOT_PUBLISHED |
| Market and index context | NOT_APPLICABLE |

## Public sources

- alpha:evidence:person:d-james-umpleby-iii:1: [CVX DEF 14A director slate](https://www.sec.gov/Archives/edgar/data/93410/000119312526145617/d77994ddef14a.htm).
- alpha:evidence:person:d-james-umpleby-iii:2: [CFG DEF 14A executive officers](https://www.sec.gov/Archives/edgar/data/759944/000075994426000064/cfg-20260309.htm).
- alpha:evidence:person:d-james-umpleby-iii:3: [CAT 10-K executive officers](https://www.sec.gov/Archives/edgar/data/18230/000001823026000008/cat-20251231.htm).
- alpha:evidence:person:d-james-umpleby-iii:4: [CAT DEF 14A director slate](https://www.sec.gov/Archives/edgar/data/0000018230/000130817925000529/cat012723-def14a.htm).
- alpha:evidence:person:d-james-umpleby-iii:5: [sec_filing](https://www.sec.gov/Archives/edgar/data/0000018230/000130817925000529/cat012723-def14a.htm).
- alpha:evidence:person:d-james-umpleby-iii:6: [Chevron director board source](https://www.sec.gov/Archives/edgar/data/93410/000119312525076803/d891532ddef14a.htm).
- alpha:evidence:person:d-james-umpleby-iii:7: [sec_filing](https://www.sec.gov/Archives/edgar/data/93410/000119312525076803/d891532ddef14a.htm).
- alpha:evidence:person:d-james-umpleby-iii:8: CAT executive roster source.
- alpha:evidence:person:d-james-umpleby-iii:9: CFG executive roster source.

## Rights

| Field | Value |
| --- | --- |
| public_retrieval | allowed |
| agent_retrieval | allowed |
| redistribution | not_granted |
| model_training | not_granted |
| commercial_use | not_specified |
| relationship_pathfinding | not_granted |
| direct_contact | not_granted |

## Limitations

- Only permissioned public claims and evidence are included.
- Absence of a claim is not evidence that the underlying fact is false.
- Public retrieval does not grant model-training or redistribution rights.
- Private relationships and Council activity are excluded.

## Alternate representations

- [Canonical profile](https://registry.alpha.ac/people/d-james-umpleby-iii)
- [Public Markdown](https://registry.alpha.ac/people/d-james-umpleby-iii.md)
- [Public JSON](https://registry.alpha.ac/api/public/profiles/d-james-umpleby-iii)
- [JSON-LD](https://registry.alpha.ac/api/public/profiles/d-james-umpleby-iii?format=jsonld)
- MCP resource: `alpha://people/d-james-umpleby-iii` at https://mcp.alpha.ac/mcp