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Caterpillar Inc

CAT
Exchange
NYSE
Industry
Construction Machinery & Equip
SEC CIK
0000018230

In the last 90 days, Caterpillar Inc insiders filed 1 open-market purchase and 1 sale; 4,084 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.

Holders of 5% or more of CAT

Holders whose latest Schedule 13D or 13G filing reports 5% or more of Caterpillar Inc, largest stake first. The change is against the holder's previous filing.

Holders of 5% or more of CAT
HolderLatest formStakeChangeFirst filedLatest filingFiling
Vanguard Capital Management LLC13G7.47%34.8M sharesNewApr 29, 20261 filingApr 29, 2026SEC

Stakes are as of each holder's latest filing. Holders whose last filing was in the old format (before December 18, 2024) have no stake on record and are not listed, and after an acquisition or delisting holders usually stop filing.

13D and 13G filings

18 Schedule 13D and 13G filings on Caterpillar Inc, newest first, including old-format filings without a stake.

Schedule 13D and 13G filings on CAT
Filed (ET)FilerFormStakeChangeEvent dateFiling
Apr 29, 20265:48 PM ETVanguard Capital Management LLC13G7.47%34.8M sharesNewMar 31, 2026SEC
Mar 26, 20262:23 PM ETVanguard Group Inc13G/A0.00%0 shares−10.06 ppfrom 10.06%Below 5%Mar 13, 2026SEC
Mar 5, 20261:24 PM ETVanguard Group Inc13G/A10.06%46.8M shares–Feb 27, 2026SEC
Nov 13, 2024Capital World Investors13G/AOld format–––SEC
Feb 13, 2024Vanguard Group Inc13G/AOld format–––SEC
Feb 12, 20244:17 PM ETBlackRock Inc.13G/AOld format–––SEC
Feb 9, 2024Capital World Investors13G/AOld format–––SEC
Jan 30, 2024State Street Corp13G/AOld format–––SEC
Feb 13, 2023Capital World Investors13GOld format–New–SEC
Feb 9, 2023Vanguard Group Inc13G/AOld format–––SEC
Feb 9, 2023State Street Corp13G/AOld format–––SEC
Jan 31, 20231:58 PM ETBlackRock Inc.13G/AOld format–––SEC
Feb 11, 2022State Street Corp13G/AOld format–––SEC
Feb 9, 2022Vanguard Group Inc13G/AOld format–––SEC
Jan 31, 20225:59 PM ETBlackRock Inc.13G/AOld format–––SEC
Feb 12, 2021State Street Corp13GOld format–New–SEC
Feb 10, 2021Vanguard Group Inc13G/AOld format–––SEC
Jan 28, 20216:11 PM ETBlackRock Inc.13G/AOld format–––SEC

Form 144: proposed insider sales

62 notices from officers, directors and other affiliates planning to sell Caterpillar Inc shares, newest first.

Form 144 notices for CAT
Filed (ET)SellerShares to sellMarket valuePlanned saleBrokerFiling
Aug 28, 20264:41 PM ETJoseph E CreedOfficer32.4K$26.2MAug 28, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 14, 20264:37 PM ETDenise C JohnsonOfficer12.6K$11.4MMay 14, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 13, 20264:46 PM ETDenise C JohnsonOfficer6.20K$5.64MMay 13, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 13, 20264:07 PM ETWilliam SchauppOfficer360$326.2KMay 13, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 11, 20264:34 PM ETAnthony FassinoOfficer16.3K$14.9MMay 11, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 6, 20264:20 PM ETBob De LangeOfficer24.2K$22.4MMay 6, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 6, 20264:11 PM ETAnthony FassinoOfficer9.15K$8.48MMay 6, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 6, 20264:04 PM ETAndrew BonfieldOfficer15.7K$14.4MMay 6, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 5, 20264:12 PM ETRodney M ShurmanOfficer5.64K$5.09MMay 5, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
May 4, 20264:07 PM ETJason KaiserOfficer5.64K$4.98MMay 4, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Mar 5, 20264:28 PM ETJoseph E CreedOfficer2.50K$1.80MMar 5, 202610b5-1Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 23, 20264:10 PM ETRodney M ShurmanOfficer2.28K$1.73MFeb 23, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 17, 20265:53 PM ETWilliam SchauppOfficer972$742.8KFeb 17, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 17, 20264:59 PM ETRodney M ShurmanOfficer1.76K$1.35MFeb 17, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 13, 20264:29 PM ETAnthony FassinoOfficer7.89K$6.13MFeb 13, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 12, 20264:02 PM ETJason KaiserOfficer1.69K$1.31MFeb 12, 202610b5-1Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 11, 20264:22 PM ETBob De LangeOfficer12.5K$9.59MFeb 11, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 6, 20265:18 PM ETBob De LangeOfficer22.7K$16.3MFeb 6, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 6, 20264:04 PM ETAnthony FassinoOfficer6.03K$4.36MFeb 6, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 4, 20264:02 PM ETBob De LangeOfficer16.1K$11.3MFeb 4, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 2, 20265:49 PM ETDenise C JohnsonOfficer39.1K$26.7MFeb 2, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 2, 20265:06 PM ETBob De LangeOfficer16.0K$10.9MFeb 2, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Feb 2, 20265:02 PM ETAnthony FassinoOfficer10.7K$7.26MFeb 2, 2026Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC
Dec 1, 20255:14 PM ETAndrew R. J. BonfieldOfficer20.0K$11.5MDec 1, 202510b5-1J.P. Morgan Securities LLCSEC
Nov 12, 20259:11 AM ETJason KaiserOfficer10.7K$6.03MNov 11, 202510b5-1Morgan Stanley Smith Barney LLC Executive Financial ServicesSEC

Showing the latest 25. See the CAT notices from the last 12 months