CATERPILLAR INC (CAT)
Institutional ownership reported to the SEC as of Q2 2026, across 32 quarters.
Institutions report 332,396,624 shares against 459,674,889 outstanding. Shares only - option lines are excluded, which is why this can be compared with the company at all. The count comes from the cover page of the company's own most recent report, so it is dated when that was filed rather than at quarter end.
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| BlackRock, Inc. | $40.5B | 37,991,505 | 0.60% | 8q | +2.2%+$875.4M |
| STATE STREET CORP | $36.6B | 34,392,316 | 1.08% | 31q | -1.4%-$520.0M |
| VANGUARD CAPITAL MANAGEMENT LLC | $32.0B | 30,077,764 | 0.68% | 2q | -0.5%-$166.9M |
| STATE FARM MUTUAL AUTOMOBILE INSURANCE CO | $15.5B | 14,509,304 | 10.57% | 31q | HELD |
| VANGUARD PORTFOLIO MANAGEMENT LLC | $12.8B | 12,026,244 | 0.58% | 2q | +2.7%+$341.1M |
| GEODE CAPITAL MANAGEMENT, LLC | $11.9B | 11,175,493 | 0.64% | 31q | HELD |
| Fisher Asset Management, LLC | $10.6B | 9,942,521 | 3.15% | 31q | +1.7%+$177.4M |
| JPMORGAN CHASE & CO | $8.3B incl. $742.7M options CALL+PUT | 7,325,731 | 0.46% | 31q | +149.1%+$5.0B |
| MORGAN STANLEY | $8.0B | 7,504,426 | 0.42% | 35q | HELD |
| GATES FOUNDATION TRUST | $6.8B | 6,353,614 | 19.65% | 31q | HELD |
| PRICE T ROWE ASSOCIATES INC /MD/ | $6.6B | 6,171,628 | 0.66% | 31q | +10.6%+$627.9M |
| FMR LLC | $6.2B | 5,781,969 | 0.27% | 31q | +51.2%+$2.1B |
| NORTHERN TRUST CORP | $6.0B | 5,664,155 | 0.70% | 31q | HELD |
| JANE STREET GROUP, LLC | $6.0B incl. $5.7B options CALL+PUT | 234,892 | 0.49% | 31q | +619.7%+$5.1B |
| BANK OF AMERICA CORP /DE/ | $5.8B | 5,463,565 | 0.37% | 31q | -3.8%-$227.9M |
| CITADEL ADVISORS LLC | $5.6B incl. $5.2B options CALL+PUT | 355,861 | 0.64% | 31q | +15.0%+$727.1M |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $5.5B incl. $5.2B options CALL+PUT | 207,310 | 0.43% | 31q | -14.1%-$893.6M |
| GOLDMAN SACHS GROUP INC | $4.2B incl. $373.2M options CALL+PUT | 3,570,493 | 0.36% | 31q | +11.2%+$420.4M |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC | $3.5B | 3,322,782 | 0.47% | 31q | -0.9%-$33.2M |
| Invesco Ltd. | $3.5B | 3,284,093 | 0.28% | 31q | -14.7%-$602.2M |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC | $3.4B | 3,153,638 | 0.61% | 31q | -3.5%-$121.3M |
| Capital World Investors | $3.3B | 3,060,432 | 0.38% | 31q | -13.6%-$514.5M |
| Bank of New York Mellon Corp | $3.2B | 2,998,131 | 0.52% | 31q | -13.1%-$479.2M |
| BARCLAYS PLC | $3.0B incl. $2.0B options CALL+PUT | 917,019 | 0.57% | 31q | -47.5%-$2.7B |
| DIMENSIONAL FUND ADVISORS LP | $2.9B | 2,742,185 | 0.53% | 31q | HELD |
| VANGUARD FIDUCIARY TRUST CO | $2.8B | 2,645,238 | 0.62% | 2q | +0.7%+$19.7M |
| Legal & General Group Plc | $2.8B | 2,613,814 | 0.58% | 31q | -5.7%-$169.1M |
| Nuveen, LLC | $2.8B | 2,600,359 | 0.66% | 6q | +12.6%+$308.9M |
| ROYAL BANK OF CANADA | $2.6B incl. $154.4M options CALL | 2,252,264 | 0.38% | 31q | HELD |
| Capital Research Global Investors | $2.3B | 2,198,729 | 0.33% | 31q | -31.3%-$1.1B |
| WELLS FARGO & COMPANY/MN | $2.3B incl. $18.3M options CALL+PUT | 2,118,690 | 0.37% | 31q | +3.4%+$75.2M |
| IMC-Chicago, LLC | $2.2B CALL+PUT | options only | 0.54% | 19q | OPTIONS |
| Amundi | $2.2B | 2,062,345 | 0.53% | 21q | -7.0%-$165.4M |
| UBS Group AG | $2.0B incl. $196.3M options CALL+PUT | 1,700,215 | 0.26% | 31q | +21.0%+$349.0M |
| MASSACHUSETTS FINANCIAL SERVICES CO /MA/ | $1.9B | 1,748,257 | 0.60% | 5q | +10.4%+$177.4M |
| Capital International Investors | $1.5B | 1,450,769 | 0.32% | 3q | -58.1%-$2.1B |
| CITIGROUP INC | $1.5B incl. $255.7M options CALL+PUT | 1,205,934 | 0.51% | 31q | +1.1%+$16.2M |
| Mitsubishi UFJ Asset Management Co., Ltd. | $1.5B | 1,377,957 | 0.81% | 31q | +2.0%+$28.3M |
| VOYA INVESTMENT MANAGEMENT LLC | $1.5B | 1,377,043 | 1.27% | 31q | -3.0%-$45.3M |
| PeakShares LLC | $1.5B | 1,365,000 | 1.08% | new | NEW |
| DEUTSCHE BANK AG\ | $1.5B | 1,364,014 | 0.42% | 34q | HELD |
| Swiss National Bank | $1.4B | 1,312,380 | 0.73% | 31q | -4.4%-$65.0M |
| Sumitomo Mitsui Trust Group, Inc. | $1.4B | 1,307,930 | 0.80% | 31q | HELD |
| Capital Wealth Planning, LLC | $1.3B | 1,197,856 | 6.37% | 31q | +1.0%+$12.5M |
| LPL Financial LLC | $1.3B incl. $319.5K options PUT | 1,182,150 | 0.28% | 31q | +7.5%+$88.3M |
| WELLINGTON MANAGEMENT GROUP LLP | $1.2B | 1,144,800 | 0.21% | 31q | +2.3%+$27.8M |
| RAYMOND JAMES FINANCIAL INC | $1.1B | 1,055,701 | 0.30% | 7q | +2.9%+$31.4M |
| National Pension Service | $1.1B | 1,010,122 | 0.69% | 31q | +2.2%+$22.8M |
| Vanguard Global Advisers, LLC | $1.1B | 993,341 | 0.49% | 2q | -2.3%-$25.3M |
| California Public Employees Retirement System | $1.0B | 965,570 | 0.58% | 31q | +9.7%+$91.3M |
| HSBC HOLDINGS PLC | $1.0B incl. $5.9M options CALL | 940,436 | 0.42% | 31q | +3.5%+$34.2M |
| AMERIPRISE FINANCIAL INC | $995.0M | 934,284 | 0.20% | 31q | -4.2%-$43.3M |
| CANADA PENSION PLAN INVESTMENT BOARD | $965.9M | 907,030 | 0.53% | 31q | +82.3%+$436.2M |
| BNP PARIBAS FINANCIAL MARKETS | $945.7M incl. $215.4M options CALL+PUT | 685,740 | 0.33% | 31q | +0.7%+$6.6M |
| PRIMECAP MANAGEMENT CO/CA/ | $928.3M | 871,700 | 0.55% | 31q | HELD |
| FRANKLIN RESOURCES INC | $898.5M | 843,713 | 0.19% | 31q | -13.3%-$137.4M |
| VANGUARD ASSET MANAGEMENT, Ltd | $889.2M | 834,999 | 0.60% | 2q | +12.0%+$94.9M |
| RHUMBLINE ADVISERS | $867.2M | 814,357 | 0.65% | 31q | +2.1%+$18.0M |
| NEUBERGER BERMAN GROUP LLC | $862.3M | 810,361 | 0.57% | 31q | -6.4%-$59.1M |
| MILLENNIUM MANAGEMENT LLC | $835.6M incl. $827.2M options CALL+PUT | 7,857 | 0.30% | 31q | -92.0%-$9.6B |
| BANK OF MONTREAL /CAN/ | $785.0M incl. $24.5M options CALL+PUT | 714,120 | 0.26% | 31q | -0.5%-$4.1M |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | $747.3M | 701,786 | 0.69% | 31q | -0.7%-$4.9M |
| PRINCIPAL FINANCIAL GROUP INC | $705.7M | 662,735 | 0.35% | 31q | -0.5%-$3.8M |
| Bank Julius Baer & Co. Ltd, Zurich | $646.5M | 610,219 | 1.68% | 26q | -7.6%-$53.2M |
| FIFTH THIRD BANCORP | $634.6M | 595,946 | 1.03% | 31q | +0.8%+$4.9M |
| STIFEL FINANCIAL CORP | $629.5M | 591,099 | 0.52% | 31q | +2.4%+$14.6M |
| ALLIANCEBERNSTEIN L.P. | $621.3M | 876,982 | 0.21% | 31q | +5.1%+$30.3M |
| DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main | $615.3M | 577,808 | 0.47% | 32q | -37.1%-$363.0M |
| HighTower Advisors, LLC | $601.6M | 564,930 | 0.58% | 31q | -4.6%-$29.2M |
| CTC LLC | $597.3M incl. $546.6M options CALL+PUT | 47,638 | 0.19% | new | NEW |
| Aberdeen Group plc | $581.5M | 546,048 | 0.82% | 31q | +5.6%+$30.8M |
| BESSEMER GROUP INC | $573.7M | 538,696 | 0.79% | 31q | HELD |
| NEW YORK STATE COMMON RETIREMENT FUND | $562.1M | 527,804 | 0.71% | 31q | HELD |
| PRUDENTIAL FINANCIAL INC | $560.2M | 526,085 | 0.61% | 34q | +1.6%+$8.7M |
| AMERICAN CENTURY COMPANIES INC | $546.2M | 512,935 | 0.24% | 31q | -21.7%-$151.7M |
| CIBC Bancorp USA Inc. | $544.9M | 511,515 | 0.66% | 3q | +5.9%+$30.6M |
| Corient Private Wealth LP | $538.7M | 505,859 | 0.75% | 15q | -6.8%-$39.3M |
| TD Asset Management Inc | $533.6M | 501,053 | 0.46% | 31q | -14.4%-$89.9M |
| AQR CAPITAL MANAGEMENT LLC | $533.2M | 505,020 | 0.19% | 31q | +89.2%+$251.4M |
| VICTORY CAPITAL MANAGEMENT INC | $512.3M | 481,112 | 0.29% | 31q | -5.8%-$31.3M |
| US BANCORP \DE\ | $504.7M | 473,894 | 0.55% | 31q | -1.2%-$6.0M |
| SCHRODER INVESTMENT MANAGEMENT GROUP | $484.4M | 454,925 | 0.34% | 31q | -8.1%-$42.6M |
| NATIONAL BANK OF CANADA /FI/ | $480.9M incl. $222.6M options CALL | 242,726 | 0.34% | 19q | -13.4%-$74.3M |
| Cambridge Investment Research Advisors, Inc. | $454.5M | 426,823 | 0.52% | 31q | +102.6%+$230.2M |
| AVIVA PLC | $453.6M | 425,977 | 0.67% | 31q | +2.1%+$9.2M |
| NATIXIS ADVISORS, LLC | $442.1M | 415,152 | 0.50% | 31q | +21.7%+$78.7M |
| Allianz Asset Management GmbH | $426.0M incl. $155.0M options CALL+PUT | 254,402 | 0.35% | 40q | +25.5%+$86.4M |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM | $415.8M | 390,457 | 0.69% | 31q | -4.3%-$18.6M |
| Creative Planning | $404.3M | 379,703 | 0.24% | 31q | +3.8%+$14.8M |
| Eurizon Capital SGR S.p.A. | $404.2M | 382,287 | 1.08% | 3q | +10.2%+$37.3M |
| TORONTO DOMINION BANK | $397.9M incl. $191.7M options CALL | 193,657 | 0.46% | 31q | +30.2%+$92.3M |
| ENVESTNET ASSET MANAGEMENT INC | $394.2M | 370,141 | 0.09% | 31q | -12.6%-$56.9M |
| ProShare Advisors LLC | $393.2M | 369,208 | 0.57% | 31q | -16.0%-$74.8M |
| ADAGE CAPITAL PARTNERS GP, L.L.C. | $391.6M | 367,704 | 0.55% | 7q | -4.9%-$20.3M |
| MACKENZIE FINANCIAL CORP | $387.5M | 363,903 | 0.39% | 31q | -14.8%-$67.1M |
| NOMURA ASSET MANAGEMENT CO LTD | $384.9M | 361,458 | 0.82% | 31q | HELD |
| Quantinno Capital Management LP | $382.1M | 358,789 | 0.46% | 19q | +16.3%+$53.5M |
| NEW YORK STATE TEACHERS RETIREMENT SYSTEM | $378.5M | 355,409 | 0.70% | 31q | -4.1%-$16.0M |
| Winslow Capital Management, LLC | $373.5M | 350,774 | 1.29% | new | NEW |
| SG Americas Securities, LLC | $368.3M incl. $99.8M options CALL+PUT | 252,162 | 0.21% | 31q | -17.4%-$77.8M |
Showing the largest 100 of 4,107 reported holders. The count of 4,105 above leaves out 2 positions whose reported value failed our price check; they are listed here as filed.
Q2 2026 in brief
In Q2 2026, 4,105 managers that file Form 13F reported holding Caterpillar Inc (CAT), $380.9B in all, or about 72% of the shares outstanding. 455 managers opened a position and 145 sold out completely, against 3,795 holders the quarter before. Largest holders: Blackrock, Inc., State Street Corp and Vanguard Capital Management Llc. Largest new positions: Peakshares Llc ($1.5B), Ctc Llc ($597.3M) and Winslow Capital Management, Llc ($373.5M).
Q2 2026 is the latest quarter whose 13F deadline has passed. A 13F shows long US stock positions at quarter end, filed up to 45 days later; an adviser and a sub-adviser can both report the same shares.
What the company announced
Form 8-K filings from the last 120 days, showing only the items worth a reader's attention. Earnings releases, exhibit attachments and general disclosures are filed constantly and are left out. Filed is when the SEC received it; event is the date the company says the thing happened.
| Filed | Event date | What | Source |
|---|---|---|---|
| 2026-10-15 | 2026-10-14 | Directors or officers departed or appointed | filing |
| 2026-09-01 | 2026-08-27 | Material agreement entered | filing |
What the insiders did
Open market purchases and sales reported on Form 4 in the last 180 days. Grants, option exercises and shares surrendered to cover tax are left out: they are compensation rather than a decision to buy or sell. Where a broker filled one order in tranches the lines are summed, because it was one decision.
Officers and directors
| Date | Insider | Role | Side | Shares | Value |
|---|---|---|---|---|---|
| 2026-08-28 | Creed Joseph E | Chief Executive Officer | Sold | 32,401 | $26.2M ×14 |
| 2026-05-11 | Fassino Anthony D. | Group President | Sold | 16,283 | $14.9M ×2 |
| 2026-05-14 | Johnson Denise C | Group President | Sold | 12,605 | $11.4M ×8 |
| 2026-05-13 | Johnson Denise C | Group President | Sold | 6,196 | $5.6M ×2 |
| 2026-05-13 | Schaupp William E | Chief Accounting Officer | Sold | 360 | $326.2K |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 1,686 | $12.2B | 15,041,590 | 48 | 577 | 589 | 0.2% |
| Q2 2026 | 4,105 | $380.9B | 332,396,624 | 403 | 1,282 | 1,477 | 7.4% |
| Q1 2026 | 3,795 | $246.1B | 328,242,786 | 323 | 1,127 | 1,431 | 5.7% |
| Q4 2025 | 3,571 | $200.2B | 331,332,094 | 294 | 1,067 | 1,184 | 5.2% |
| Q3 2025 | 3,180 | $168.9B | 337,153,538 | 275 | 982 | 1,096 | 4.7% |
| Q2 2025 | 3,042 | $134.8B | 332,209,952 | 243 | 993 | 1,030 | 4.4% |
| Q1 2025 | 2,917 | $113.7B | 331,070,645 | 116 | 1,002 | 1,027 | 4.1% |
| Q4 2024 | 3,027 | $133.0B | 353,347,357 | 122 | 931 | 935 | 3.7% |
| Q3 2024 | 2,863 | $146.0B | 355,953,569 | 210 | 890 | 930 | 4.7% |
| Q2 2024 | 2,740 | $126.6B | 358,569,968 | 138 | 899 | 898 | 5.7% |
| Q1 2024 | 2,747 | $144.7B | 365,588,381 | 222 | 806 | 998 | 7.6% |
| Q4 2023 | 2,622 | $114.3B | 363,672,598 | 158 | 768 | 878 | 6.0% |
| Q3 2023 | 2,427 | $112.1B | 389,165,061 | 158 | 756 | 815 | 5.3% |
| Q2 2023 | 2,355 | $94.0B | 358,935,453 | 150 | 790 | 791 | 5.5% |
| Q1 2023 | 2,302 | $89.3B | 369,935,447 | 136 | 738 | 781 | 5.4% |
| Q4 2022 | 2,314 | $95.4B | 369,532,195 | 295 | 615 | 758 | 7.3% |
| Q3 2022 | 1,978 | $172.5B | 1,366,365,818 | 75 | 681 | 654 | 2.0% |
| Q2 2022 | 2,074 | $195.3B | 1,301,423,869 | 96 | 705 | 723 | 1.9% |
| Q1 2022 | 2,174 | $238.1B | 1,353,623,393 | 154 | 843 | 643 | 1.8% |
| Q4 2021 | 2,163 | $214.7B | 1,221,739,485 | 156 | 733 | 583 | 4.8% |
| Q3 2021 | 1,942 | $206.3B | 1,478,225,760 | 85 | 717 | 620 | 4.7% |
| Q2 2021 | 2,020 | $185.9B | 1,250,965,816 | 121 | 760 | 611 | 5.2% |
| Q1 2021 | 2,016 | $276.9B | 1,421,405,712 | 196 | 672 | 679 | 3.8% |
| Q4 2020 | 1,898 | $203.6B | 1,394,093,696 | 191 | 623 | 566 | 3.4% |
| Q3 2020 | 1,664 | $173.4B | 1,668,715,536 | 188 | 511 | 562 | 2.0% |
| Q2 2020 | 1,553 | $157.6B | 1,757,925,256 | 146 | 455 | 602 | 1.7% |
| Q1 2020 | 1,502 | $171.6B | 1,732,514,047 | 84 | 525 | 586 | 1.2% |
| Q4 2019 | 1,670 | $125.3B | 1,264,453,341 | 142 | 447 | 562 | 2.8% |
| Q3 2019 | 1,493 | $106.3B | 2,050,695,946 | 69 | 477 | 588 | 2.8% |
| Q2 2019 | 1,564 | $123.1B | 1,834,987,022 | 79 | 521 | 588 | 3.3% |
| Q1 2019 | 1,599 | $126.8B | 2,173,725,222 | 127 | 517 | 550 | 7.3% |
| Q4 2018 | 1,570 | $124.6B | 1,365,103,592 | 14 | 26 | 24 | 3.2% |