Caterpillar Inc
CAT- Exchange
- NYSE
- Industry
- Construction Machinery & Equip
- SEC CIK
- 0000018230
In the last 90 days, Caterpillar Inc insiders filed 0 open-market purchases and 1 sale; 4,070 institutions reported holding it in 13F filings for Q2 2026, worth $351.1B in total; 5 superinvestors hold it, including Gates Foundation Trust and Markel Group.
13F holders, Q3 2021
Institutional positions in Caterpillar Inc as of Sep 30, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 1,943
- −52 vs. Q2 2021
- Shares held
- 370.3M
- −6.45M (−1.7%) vs. Q2 2021
- Total value
- $71.1B
- −$10.8B (−13.2%) vs. Q2 2021
- New holders
- 99
- 824 more added
- Sold out
- 151
- 692 more reduced
33 institutions that held it in Q2 2021 haven't filed for Q3 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting CAT on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 4,070 | $351.1B |
| Q1 2026 | 3,772 | $232.0B |
| Q4 2025 | 3,542 | $188.7B |
| Q3 2025 | 3,150 | $159.0B |
| Q2 2025 | 3,022 | $128.0B |
| Q1 2025 | 2,902 | $109.0B |
| Q4 2024 | 3,009 | $123.4B |
| Q3 2024 | 2,837 | $133.6B |
| Q2 2024 | 2,712 | $114.5B |
| Q1 2024 | 2,713 | $127.6B |
| Q4 2023 | 2,582 | $104.6B |
| Q3 2023 | 2,408 | $97.3B |
| Q2 2023 | 2,328 | $88.0B |
| Q1 2023 | 2,284 | $82.6B |
| Q4 2022 | 2,287 | $87.1B |
| Q3 2022 | 1,992 | $59.2B |
| Q2 2022 | 2,077 | $65.6B |
| Q1 2022 | 2,176 | $82.0B |
| Q4 2021 | 2,161 | $74.9B |
| Q3 2021 | 1,943 | $71.1B |
| Q2 2021 | 2,028 | $82.0B |
| Q1 2021 | 2,015 | $88.0B |
Institutions, Q3 2021
Shares, value and share of portfolio for each institution holding Caterpillar Inc; share changes are against Q2 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Nomura Holdings Inc | 46,867 | $9.17M | 0.07% | +38,465+457.8% | Added |
| Capital International Inc | 47,889 | $9.19M | 0.09% | −2,737−5.4% | Reduced |
| Central Trust Co | 48,106 | $9.23M | 0.33% | −1,914−3.8% | Reduced |
| Edge Capital Group, LLC | 48,109 | $9.23M | 0.73% | +2,965+6.6% | Added |
| Beacon Pointe Advisors, LLC | 48,167 | $9.25M | 0.23% | +30,406+171.2% | Added |
| Richard C. Young & CO., LTD. | 48,336 | $9.28M | 1.27% | +297+0.6% | Added |
| Howe & Rusling Inc | 48,408 | $9.29M | 1.17% | +1,119+2.4% | Added |
| Advisors Asset Management, Inc. | 48,753 | $9.36M | 0.14% | −4,157−7.9% | Reduced |
| Mastrapasqua Asset Management Inc | 49,243 | $9.45M | 1.03% | +2,852+6.1% | Added |
| Clear Harbor Asset Management, LLC | 49,701 | $9.54M | 1.13% | −10.0% | Reduced |
| Transform Wealth, LLC | 49,839 | $9.57M | 1.10% | −1,247−2.4% | Reduced |
| Arosa Capital Management LP | 50,000 | $9.60M | 3.39% | +30,000+150.0% | Added |
| SeaTown Holdings Pte. Ltd. | 50,000 | $9.60M | 0.43% | +50,000 | New |
| Avalon Investment & Advisory | 50,046 | $9.61M | 0.22% | −34,455−40.8% | Reduced |
| Oppenheimer & Co Inc | 50,145 | $9.63M | 0.18% | +6,642+15.3% | Added |
| Panagora Asset Management Inc | 50,149 | $9.63M | 0.05% | +12,294+32.5% | Added |
| Becker Capital Management Inc | 51,002 | $9.79M | 0.41% | −311−0.6% | Reduced |
| James Investment Research Inc | 51,541 | $9.89M | 0.92% | −3,389−6.2% | Reduced |
| Andra AP-fonden | 52,200 | $10.0M | 0.21% | −1,100−2.1% | Reduced |
| CIBC Asset Management Inc | 52,591 | $10.1M | 0.04% | +1,736+3.4% | Added |
| Dai-Ichi Life Insurance Company, Ltd | 52,743 | $10.1M | 0.13% | −1,291−2.4% | Reduced |
| DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main | 52,796 | $10.2M | 0.02% | +22,307+73.2% | Added |
| Texas Capital Bank Wealth Management Services Inc | 53,502 | $10.3M | 1.05% | +20,161+60.5% | Added |
| KCM Investment Advisors LLC | 53,807 | $10.3M | 0.41% | +13,322+32.9% | Added |
| Cetera Investment Advisers | 54,331 | $10.4M | 0.17% | +6,698+14.1% | Added |
| Tufton Capital Management | 54,668 | $10.5M | 1.78% | +253+0.5% | Added |
| D.A. Davidson & Co. | 54,895 | $10.5M | 0.12% | −403−0.7% | Reduced |
| Brandywine Global Investment Management, LLC | 55,268 | $10.6M | 0.08% | −655−1.2% | Reduced |
| Illinois Municipal Retirement Fund | 55,389 | $10.6M | 0.39% | +10,788+24.2% | Added |
| Nikko Asset Management Americas, Inc. | 55,309 | $10.7M | 0.05% | −149,114−72.9% | Reduced |
| Inverness Counsel LLC | 57,401 | $11.0M | 0.40% | +57,401 | New |
| LaFleur & Godfrey LLC | 57,761 | $11.1M | 1.53% | +1,838+3.3% | Added |
| Candriam Luxembourg S.C.A. | 57,888 | $11.1M | 0.08% | −1,439−2.4% | Reduced |
| InterOcean Capital Group, LLC | 58,229 | $11.2M | 0.56% | +56,431+3,138.5% | Added |
| Peapack Gladstone Financial Corp | 58,454 | $11.2M | 0.23% | −231−0.4% | Reduced |
| Moore Capital Management, LP | 58,482 | $11.2M | 0.23% | +58,482 | New |
| Dearborn Partners LLC | 58,993 | $11.3M | 0.46% | −4,747−7.4% | Reduced |
| Birmingham Capital Management Co Inc | 59,120 | $11.3M | 4.35% | −250.0% | Reduced |
| Hartford Investment Management Co | 59,141 | $11.4M | 0.31% | −6,604−10.0% | Reduced |
| Nissay Asset Management Corp | 59,455 | $11.4M | 0.10% | +2,386+4.2% | Added |
| PEAK6 Investments LLC | 59,912 | $11.5M | 0.23% | −93,652−61.0% | Reduced |
| Blackhill Capital Inc | 60,000 | $11.5M | 1.00% | 00.0% | Unchanged |
| Ilmarinen Mutual Pension Insurance Co | 60,000 | $11.5M | 0.12% | 00.0% | Unchanged |
| Gofen & Glossberg LLC | 60,128 | $11.5M | 0.27% | −1,518−2.5% | Reduced |
| Fiduciary Trust Co | 60,396 | $11.6M | 0.21% | +627+1.0% | Added |
| Quilter Plc | 60,573 | $11.6M | 0.32% | +195+0.3% | Added |
| Blue Chip Partners, Inc. | 60,711 | $11.7M | 1.64% | +2,861+4.9% | Added |
| Brown Advisory Inc | 60,962 | $11.7M | 0.02% | +801+1.3% | Added |
| Whittier Trust Co | 61,124 | $11.7M | 0.21% | −489−0.8% | Reduced |
| Lee Danner & Bass Inc | 61,675 | $11.8M | 1.09% | −2,129−3.3% | Reduced |
| Connor, Clark & Lunn Investment Management Ltd. | 61,805 | $11.9M | 0.06% | −70,869−53.4% | Reduced |
| Schroder Investment Management Group | 62,118 | $11.9M | 0.02% | −28,912−31.8% | Reduced |
| Fred Alger Management, LLC | 62,331 | $12.0M | 0.03% | +62,331 | New |
| Independent Advisor Alliance | 63,437 | $12.2M | 0.68% | −6,699−9.6% | Reduced |
| Integrated Advisors Network LLC | 63,507 | $12.2M | 0.81% | +3,739+6.3% | Added |
| Marco Investment Management LLC | 63,895 | $12.3M | 1.35% | +915+1.5% | Added |
| Philadelphia Trust Co | 64,154 | $12.3M | 0.91% | −5,952−8.5% | Reduced |
| Cetera Advisor Networks LLC | 64,242 | $12.3M | 0.17% | +1,810+2.9% | Added |
| Badgley Phelps Wealth Managers, LLC | 65,090 | $12.5M | 0.45% | +65,090 | New |
| Ashfield Capital Partners, LLC | 65,311 | $12.5M | 0.89% | +682+1.1% | Added |
| SEI Investments Co | 64,686 | $12.5M | 0.03% | −49,214−43.2% | Reduced |
| Pinnacle Associates Ltd | 65,368 | $12.5M | 0.23% | +515+0.8% | Added |
| Delta Asset Management LLC | 66,642 | $12.8M | 1.24% | +606+0.9% | Added |
| Captrust Financial Advisors | 67,242 | $12.9M | 0.11% | +6,210+10.2% | Added |
| Bank Julius Baer & Co. Ltd, Zurich | 67,548 | $13.0M | 0.08% | −14,904−18.1% | Reduced |
| Commonwealth of Pennsylvania Public School Empls Retrmt Sys | 68,607 | $13.2M | 0.15% | −250.0% | Reduced |
| Kestra Advisory Services, LLC | 69,103 | $13.3M | 0.13% | +5,630+8.9% | Added |
| Grassi Investment Management | 69,604 | $13.4M | 1.50% | +40.0% | Added |
| CCM Investment Advisers LLC | 70,408 | $13.5M | 1.76% | +60.0% | Added |
| FineMark National Bank & Trust | 70,999 | $13.6M | 0.58% | −243−0.3% | Reduced |
| IFM Investors Pty Ltd | 72,584 | $13.9M | 0.29% | −66−0.1% | Reduced |
| Bridgeway Capital Management, LLC | 72,650 | $13.9M | 0.27% | −10,700−12.8% | Reduced |
| Stephens Inc | 73,098 | $14.0M | 0.22% | +5,605+8.3% | Added |
| Janney Capital Management LLC | 73,612 | $14.1M | 0.95% | −32,861−30.9% | Reduced |
| Leonteq Securities AG | 74,072 | $14.2M | 0.76% | +54,536+279.2% | Added |
| Ziegler Capital Management, LLC | 74,138 | $14.3M | 0.52% | −4,821−6.1% | Reduced |
| Mirae Asset Global Investments Co., Ltd. | 74,857 | $14.4M | 0.04% | +7,408+11.0% | Added |
| Mercer Global Advisors Inc | 75,237 | $14.4M | 0.10% | +4,708+6.7% | Added |
| Norinchukin Bank, The | 75,547 | $14.5M | 0.20% | +3,106+4.3% | Added |
| Cubist Systematic Strategies, LLC | 75,898 | $14.6M | 0.18% | +11,826+18.5% | Added |
| Community Bank of Raymore | 76,025 | $14.6M | 4.37% | 00.0% | Unchanged |
| Kovitz Investment Group Partners, LLC | 76,274 | $14.6M | 0.29% | +29,053+61.5% | Added |
| Verition Fund Management LLC | 76,376 | $14.7M | 0.22% | +66,156+647.3% | Added |
| MUFG Securities EMEA plc | 76,634 | $14.7M | 0.19% | +36,634+91.6% | Added |
| Mutual of America Capital Management LLC | 76,647 | $14.7M | 0.15% | +391+0.5% | Added |
| Westchester Capital Management, Inc. | 76,824 | $14.7M | 4.11% | +2,727+3.7% | Added |
| Stock Yards Bank & Trust Co | 79,516 | $15.3M | 0.96% | +1,368+1.8% | Added |
| Cutler Investment Counsel LLC | 80,413 | $15.4M | 2.44% | −1,969−2.4% | Reduced |
| Banco Santander, S.A. | 80,848 | $15.5M | 0.08% | +4,270+5.6% | Added |
| Tredje AP-fonden | 81,530 | $15.7M | 0.33% | +81,530 | New |
| Colony Group LLC | 82,510 | $15.8M | 0.30% | +2,511+3.1% | Added |
| Old National Bancorp | 82,555 | $15.8M | 0.60% | −310.0% | Reduced |
| KBC Group NV | 83,760 | $16.1M | 0.06% | +135+0.2% | Added |
| Mackay Shields LLC | 83,768 | $16.1M | 0.15% | −2,424−2.8% | Reduced |
| Swiss Life Asset Management Ltd | 84,382 | $16.2M | 0.22% | −21,631−20.4% | Reduced |
| Massachusetts Financial Services Co | 84,414 | $16.2M | 0.00% | −33,462−28.4% | Reduced |
| Texas Permanent School Fund | 84,576 | $16.2M | 0.20% | −6,427−7.1% | Reduced |
| Group One Trading, L.P. | 85,132 | $16.3M | 0.36% | −15,351−15.3% | Reduced |
| Metropolitan Life Insurance Co | 86,155 | $16.5M | 0.24% | −2,883−3.2% | Reduced |
| Guggenheim Capital LLC | 86,295 | $16.6M | 0.10% | −3,104−3.5% | Reduced |