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 |
|---|---|---|---|---|---|
| Diamond Hill Capital Management Inc | 1,279,110 | $245.6M | 0.93% | +63,850+5.3% | Added |
| Barclays PLC | 1,326,187 | $254.6M | 0.18% | +127,157+10.6% | Added |
| Renaissance Technologies LLC | 1,382,300 | $265.4M | 0.34% | +339,522+32.6% | Added |
| Bank of Montreal | 1,494,712 | $307.5M | 0.15% | +148,674+11.0% | Added |
| D. E. Shaw & Co., Inc. | 1,611,838 | $309.4M | 0.39% | +1,368,570+562.6% | Added |
| Boston Partners | 1,611,723 | $309.5M | 0.39% | −409,786−20.3% | Reduced |
| Deutsche Bank AG | 1,662,474 | $319.1M | 0.15% | −191,396−10.3% | Reduced |
| Ameriprise Financial Inc | 1,717,446 | $329.6M | 0.11% | +171,074+11.1% | Added |
| Parametric Portfolio Associates LLC | 1,725,371 | $331.2M | 0.19% | −58,516−3.3% | Reduced |
| TD Asset Management Inc | 1,752,577 | $336.4M | 0.35% | +94,167+5.7% | Added |
| Sumitomo Mitsui Trust Holdings, Inc. | 1,895,876 | $364.0M | 0.23% | −216,390−10.2% | Reduced |
| Two Sigma Advisers, LP | 2,000,600 | $384.1M | 1.00% | +1,794,400+870.2% | Added |
| Swiss National Bank | 2,166,041 | $415.8M | 0.26% | −57,700−2.6% | Reduced |
| Amundi | 2,179,987 | $418.5M | 0.29% | −407,051−15.7% | Reduced |
| Dimensional Fund Advisors LP | 2,407,121 | $462.2M | 0.15% | −40,504−1.7% | Reduced |
| Charles Schwab Investment Management Inc | 2,546,041 | $488.8M | 0.16% | +23,996+1.0% | Added |
| Royal Bank of Canada | 2,736,024 | $525.2M | 0.15% | −94,459−3.3% | Reduced |
| Wells Fargo & Company | 2,902,910 | $557.3M | 0.13% | +312,520+12.1% | Added |
| Goldman Sachs Group Inc | 3,005,175 | $576.9M | 0.15% | +1,208,429+67.3% | Added |
| UBS Asset Management Americas Inc | 3,008,782 | $577.6M | 0.24% | −91,607−3.0% | Reduced |
| Capital Research Global Investors | 3,226,605 | $619.4M | 0.14% | −203,074−5.9% | Reduced |
| Nuveen Asset Management, LLC | 3,239,858 | $622.0M | 0.19% | −886,413−21.5% | Reduced |
| Primecap Management Co | 3,515,258 | $674.8M | 0.48% | −40,887−1.1% | Reduced |
| Wellington Management Group LLP | 3,680,305 | $706.5M | 0.12% | −62,235−1.7% | Reduced |
| Legal & General Group Plc | 3,702,285 | $710.7M | 0.23% | +82,964+2.3% | Added |
| Bank of America Corp | 4,011,328 | $770.1M | 0.09% | +89,038+2.3% | Added |
| Invesco Ltd. | 4,220,728 | $810.3M | 0.21% | +407,276+10.7% | Added |
| Price T Rowe Associates Inc | 4,448,589 | $854.0M | 0.08% | −4,313,093−49.2% | Reduced |
| Bank of New York Mellon Corp | 4,788,199 | $919.2M | 0.18% | +13,127+0.3% | Added |
| Morgan Stanley | 4,808,009 | $923.0M | 0.12% | −262,440−5.2% | Reduced |
| FMR LLC | 5,023,043 | $964.3M | 0.08% | −1,472,004−22.7% | Reduced |
| Norges Bank | 5,335,937 | $1.02B | 0.23% | +295,539+5.9% | Added |
| Fisher Asset Management, LLC | 6,836,104 | $1.31B | 0.82% | +192,752+2.9% | Added |
| Northern Trust Corp | 7,530,137 | $1.45B | 0.26% | +1,026,426+15.8% | Added |
| Capital International Investors | 7,703,590 | $1.48B | 0.34% | −1,027,115−11.8% | Reduced |
| Geode Capital Management, LLC | 8,567,001 | $1.64B | 0.22% | +49,786+0.6% | Added |
| Gates Foundation TrustSuperinvestorGates Foundation Trust | 9,685,132 | $1.86B | 8.02% | −471,624−4.6% | Reduced |
| Capital World Investors | 11,889,031 | $2.28B | 0.39% | −222,525−1.8% | Reduced |
| State Farm Mutual Automobile Insurance Co | 17,761,276 | $3.41B | 3.79% | −1,425,021−7.4% | Reduced |
| BlackRock Inc. | 37,727,559 | $7.24B | 0.20% | +838,706+2.3% | Added |
| State Street Corp | 40,777,593 | $7.83B | 0.41% | −264,148−0.6% | Reduced |
| Vanguard Group Inc | 47,854,764 | $9.19B | 0.23% | +419,797+0.9% | Added |
| Westside Investment Management, Inc. | 708 | – | – | +60+9.3% | Added |
| Artemis Investment Management LLP | 0 | $0 | 0.00% | −347,908−100.0% | Sold out |
| Duquesne Family Office LLCSuperinvestorDuquesne Family Office | 0 | $0 | 0.00% | −156,400−100.0% | Sold out |
| Southpoint Capital Advisors LP | 0 | $0 | 0.00% | −150,000−100.0% | Sold out |
| Telemark Asset Management, LLC | 0 | $0 | 0.00% | −150,000−100.0% | Sold out |
| Alyeska Investment Group, L.P. | 0 | $0 | 0.00% | −132,470−100.0% | Sold out |
| Prudential PLC | 0 | $0 | 0.00% | −116,850−100.0% | Sold out |
| Healthcare of Ontario Pension Plan Trust Fund | 0 | $0 | 0.00% | −101,400−100.0% | Sold out |
| Sandbar Asset Management LLP | 0 | $0 | 0.00% | −96,302−100.0% | Sold out |
| Point72 Asset Management, L.P. | 0 | $0 | 0.00% | −94,618−100.0% | Sold out |
| Paloma Partners Management Co | 0 | $0 | 0.00% | −91,180−100.0% | Sold out |
| Bridgewater Associates, LP | 0 | $0 | 0.00% | −86,402−100.0% | Sold out |
| Zweig-DiMenna Associates LLC | 0 | $0 | 0.00% | −76,178−100.0% | Sold out |
| Capital Fund Management S.A. | 0 | $0 | 0.00% | −66,869−100.0% | Sold out |
| Adams Asset Advisors, LLC | 0 | $0 | 0.00% | −44,416−100.0% | Sold out |
| Westfield Capital Management Co LP | 0 | $0 | 0.00% | −39,235−100.0% | Sold out |
| Geneva Partners, LLC | 0 | $0 | 0.00% | −28,894−100.0% | Sold out |
| Scopus Asset Management, L.P. | 0 | $0 | 0.00% | −28,315−100.0% | Sold out |
| Schwab Charitable Fund | 0 | $0 | 0.00% | −27,262−100.0% | Sold out |
| Sitrin Capital Management LLC | 0 | $0 | 0.00% | −25,656−100.0% | Sold out |
| Arrowstreet Capital, Limited Partnership | 0 | $0 | 0.00% | −25,500−100.0% | Sold out |
| HAP Trading, LLC | 0 | $0 | 0.00% | −24,789−100.0% | Sold out |
| Graham Capital Management, L.P. | 0 | $0 | 0.00% | −18,178−100.0% | Sold out |
| Hudson Bay Capital Management LP | 0 | $0 | 0.00% | −18,000−100.0% | Sold out |
| Chase Investment Counsel Corp | 0 | $0 | 0.00% | −15,667−100.0% | Sold out |
| Shay Capital LLC | 0 | $0 | 0.00% | −12,300−100.0% | Sold out |
| BP PLC | 0 | $0 | 0.00% | −12,243−100.0% | Sold out |
| Twin Tree Management, LP | 0 | $0 | 0.00% | −11,271−100.0% | Sold out |
| Symmetry Investments LP | 0 | $0 | 0.00% | −11,250−100.0% | Sold out |
| Graticule Asia Macro Advisors LLC | 0 | $0 | 0.00% | −11,000−100.0% | Sold out |
| Black Swift Group, LLC | 0 | $0 | 0.00% | −11,000−100.0% | Sold out |
| Advent Capital Management | 0 | $0 | 0.00% | −10,500−100.0% | Sold out |
| Lee Capital Holdings LLC | 0 | $0 | 0.00% | −10,000−100.0% | Sold out |
| Banco de Sabadell, S.A | 0 | $0 | 0.00% | −8,877−100.0% | Sold out |
| Radnor Capital Management, LLC | 0 | $0 | 0.00% | −8,657−100.0% | Sold out |
| Aigen Investment Management, LP | 0 | $0 | 0.00% | −8,408−100.0% | Sold out |
| Lockheed Martin Investment Management Co | 0 | $0 | 0.00% | −8,386−100.0% | Sold out |
| Veracity Capital LLC | 0 | $0 | 0.00% | −6,731−100.0% | Sold out |
| Fulcrum Equity Management | 0 | $0 | 0.00% | −6,530−100.0% | Sold out |
| Bridgefront Capital, LLC | 0 | $0 | 0.00% | −6,375−100.0% | Sold out |
| Brookfield Asset Management Inc. | 0 | $0 | 0.00% | −6,164−100.0% | Sold out |
| New World Advisors LLC | 0 | $0 | 0.00% | −5,956−100.0% | Sold out |
| Westshore Wealth, LLC | 0 | $0 | 0.00% | −5,734−100.0% | Sold out |
| Claybrook Capital, LLC | 0 | $0 | 0.00% | −5,282−100.0% | Sold out |
| Core Wealth Advisors, Inc. | 0 | $0 | 0.00% | −5,028−100.0% | Sold out |
| Precept Management LLC | 0 | $0 | 0.00% | −5,000−100.0% | Sold out |
| Glaxis Capital Management, LLC | 0 | $0 | 0.00% | −5,000−100.0% | Sold out |
| Scott & Selber, Inc. | 0 | $0 | 0.00% | −4,804−100.0% | Sold out |
| Capital CS Group, LLC | 0 | $0 | 0.00% | −4,705−100.0% | Sold out |
| Camarda Financial Advisors, LLC | 0 | $0 | 0.00% | −4,695−100.0% | Sold out |
| Wharton Business Group, LLC | 0 | $0 | 0.00% | −4,575−100.0% | Sold out |
| Patton Fund Management, Inc. | 0 | $0 | 0.00% | −4,538−100.0% | Sold out |
| Arjuna Capital | 0 | $0 | 0.00% | −4,246−100.0% | Sold out |
| Campbell Capital Management Inc | 0 | $0 | 0.00% | −4,080−100.0% | Sold out |
| Blackhawk Capital Partners LLC. | 0 | $0 | 0.00% | −3,636−100.0% | Sold out |
| Weil Company, Inc. | 0 | $0 | 0.00% | −3,746−100.0% | Sold out |
| Gyon Technologies Capital Management, LP | 0 | $0 | 0.00% | −3,327−100.0% | Sold out |
| WealthShield Partners, LLC | 0 | $0 | 0.00% | −2,854−100.0% | Sold out |