CATERPILLAR INC (CAT)
Institutional ownership reported to the SEC as of Q3 2026, across 32 quarters.
209
Reporting holders
$641.4M
Reported value
0.1%
Calls
0.1%
Puts
-3,870
Holder change
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 |
|---|---|---|---|---|---|
| Farther Finance Advisors, LLC | $34.8M | 42,881 | 0.25% | 16q | +12.3%+$3.8M |
| PARK NATIONAL CORP /OH/ | $32.8M | 40,449 | 0.89% | 32q | +5.1%+$1.6M |
| MassMutual Private Wealth & Trust, FSB | $32.3M | 39,829 | 0.85% | 32q | -6.3%-$2.2M |
| CONGRESS ASSET MANAGEMENT CO | $32.2M | 39,765 | 0.21% | 26q | -4.5%-$1.5M |
| Valeo Financial Advisors, LLC | $26.4M | 32,612 | 0.56% | 32q | -1.7%-$469.5K |
| AMERICAN NATIONAL BANK & TRUST | $20.6M | 25,461 | 1.89% | 26q | -4.7%-$1.0M |
| Venture Visionary Partners LLC | $19.6M | 24,185 | 0.51% | 24q | +6.3%+$1.2M |
| Overbrook Management Corp | $19.2M | 23,655 | 2.98% | 3q | +2.0%+$379.4K |
| FERGUSON WELLMAN CAPITAL MANAGEMENT, INC | $15.5M | 19,140 | 0.19% | 32q | -5.0%-$815.6K |
| CENTRAL BANK & TRUST CO | $15.0M | 18,517 | 2.14% | 25q | -2.7%-$416.7K |
| FIRST FINANCIAL BANK - TRUST DIVISION | $14.3M | 17,696 | 1.04% | 25q | -4.1%-$617.0K |
| GAMMA Investing LLC | $12.8M | 15,749 | 0.43% | 12q | +7.0%+$831.9K |
| Gerald Baker Financial Group LLC | $12.4M | 15,331 | 3.51% | 3q | HELD |
| Gouws Capital LLC | $12.2M | 15,075 | 5.78% | 18q | HELD |
| EASTERN BANK | $11.5M | 14,133 | 0.17% | 32q | HELD |
| CANANDAIGUA NATIONAL BANK & TRUST CO | $11.4M | 14,001 | 0.99% | 20q | -6.4%-$771.9K |
| CoreCap Advisors, LLC | $9.5M | 11,734 | 0.27% | 9q | -8.0%-$828.7K |
| SAPIENT CAPITAL LLC | $9.2M | 11,325 | 0.12% | 12q | -49.2%-$8.9M |
| Monument Capital Management | $9.0M | 11,063 | 1.87% | 32q | -1.9%-$175.9K |
| Wedmont Private Capital | $8.4M | 10,543 | 0.20% | 20q | +5.3%+$422.8K |
| Stokes Capital Advisors, LLC | $8.3M | 10,255 | 1.83% | 7q | +2.4%+$191.3K |
| RFG - Bristol Wealth Advisors, LLC | $7.4M | 9,113 | 1.76% | 8q | -4.5%-$347.8K |
| Coastline Trust Co | $7.3M | 8,990 | 0.68% | 32q | -3.9%-$295.9K |
| Factor Wealth Management LTD | $6.8M | 8,352 | 1.04% | 8q | HELD |
| Exchange Bank | $6.1M | 7,561 | 3.79% | 14q | +1.2%+$72.2K |
| Financial Enhancement Group LLC | $5.9M | 7,233 | 0.68% | 8q | +23.6%+$1.1M |
| Apella Capital, LLC | $5.9M | 7,225 | 0.07% | 12q | +12.4%+$647.8K |
| Boltwood Capital Management | $5.8M | 7,190 | 1.32% | 32q | -2.3%-$137.0K |
| Iowa State Bank | $5.6M | 6,967 | 0.95% | 32q | -22.2%-$1.6M |
| Greenfield Savings Bank | $5.2M | 6,378 | 1.96% | 18q | HELD |
| Quintet Private Bank (Europe) S.A. | $4.5M | 5,582 | 0.20% | 16q | +22.3%+$824.6K |
| Everhart Financial Group, Inc. | $4.4M | 5,383 | 0.27% | 16q | +2.4%+$101.4K |
| Avidian Wealth Enterprises, LLC | $4.3M | 5,302 | 0.12% | 30q | -1.0%-$43.8K |
| CHAPIN DAVIS, INC. | $4.3M | 5,302 | 0.83% | 16q | -2.6%-$115.9K |
| Cooper Financial Group | $4.1M | 5,097 | 0.33% | 25q | +8.6%+$326.7K |
| BOS Asset Management, LLC | $4.1M | 5,014 | 0.95% | 16q | -1.0%-$40.5K |
| Atlas Brown,Inc. | $3.7M | 4,537 | 0.97% | 32q | -3.1%-$115.9K |
| LAWOOD & CO | $3.6M | 4,427 | 2.48% | 4q | -1.8%-$64.9K |
| First Heartland Consultants, Inc. | $3.6M | 4,396 | 0.24% | 32q | +3.1%+$107.0K |
| Emprise Bank | $3.5M | 4,370 | 1.35% | 11q | -1.7%-$60.8K |
| BENEDICT FINANCIAL ADVISORS INC | $3.5M | 4,358 | 0.70% | 24q | -9.7%-$379.5K |
| Werlinich Asset Management, LLC | $3.4M | 4,217 | 1.32% | 23q | HELD |
| Wealth Enhancement Trust Services, Inc. | $3.2M | 4,008 | 0.35% | 4q | +25.9%+$668.1K |
| Bath Savings Trust Co | $3.1M | 3,832 | 0.32% | 32q | -1.4%-$45.4K |
| FINANCIAL MANAGEMENT NETWORK INC | $2.9M | 3,415 | 0.42% | 24q | -14.0%-$471.8K |
| Byrne Asset Management LLC | $2.8M | 3,415 | 1.58% | 20q | -0.7%-$20.7K |
| Montecito Bank & Trust | $2.7M | 3,319 | 0.41% | 31q | -0.6%-$15.4K |
| Deane Retirement Strategies, Inc. | $2.6M | 3,266 | 1.09% | 6q | +23.9%+$510.3K |
| Roxbury Financial LLC | $2.6M | 3,162 | 1.97% | 8q | HELD |
| ROCKLAND TRUST CO | $2.5M | 3,089 | 0.10% | 32q | HELD |
| Sound Income Strategies, LLC | $2.5M | 3,143 | 0.11% | 32q | -1.2%-$31.1K |
| Douglas Lane & Associates, LLC | $2.4M | 3,014 | 0.03% | 32q | -0.8%-$20.3K |
| Gradient Investments LLC | $2.4M | 2,989 | 0.03% | 32q | +59.5%+$904.0K |
| First Citizens Financial Corp | $2.4M | 2,975 | 1.01% | 27q | -0.6%-$13.8K |
| Legacy Private Trust Co. | $2.3M | 2,851 | 0.13% | 5q | +1.8%+$41.4K |
| Heartwood Wealth Advisors LLC | $2.3M | 2,850 | 0.18% | 17q | -4.2%-$101.3K |
| Bullock Wealth Management Group | $2.3M | 2,784 | 0.95% | 11q | HELD |
| Bank & Trust Co | $2.3M | 2,835 | 1.45% | 10q | HELD |
| Acropolis Investment Management, LLC | $2.2M | 2,720 | 0.09% | 29q | -48.0%-$2.0M |
| Pathway Financial Advisors LLC | $2.2M | 2,709 | 0.24% | 31q | HELD |
| TITLEIST ASSET MANAGEMENT, LLC | $2.2M | 2,669 | 0.14% | 15q | +1.6%+$33.2K |
| Canandaigua National Trust Co of Florida | $2.1M | 2,632 | 1.18% | 2q | +754.5%+$1.9M |
| CYPRESS ASSET MANAGEMENT INC/TX | $2.1M | 2,587 | 0.41% | 15q | -3.6%-$77.8K |
| TOTH FINANCIAL ADVISORY CORP | $2.1M | 2,543 | 0.21% | 32q | -0.9%-$18.6K |
| WINEBRENNER CAPITAL MANAGEMENT LLC | $2.1M | 2,541 | 1.33% | 8q | HELD |
| Cadent Capital Advisors, LLC | $2.1M | 2,532 | 0.44% | 3q | +14.7%+$263.5K |
| MOODY NATIONAL BANK TRUST DIVISION | $2.0M | 2,480 | 0.17% | 32q | -25.5%-$689.2K |
| Versant Capital Management, Inc | $2.0M | 2,465 | 0.17% | 32q | +7.5%+$139.5K |
| ATWOOD & PALMER INC | $2.0M | 2,445 | 0.10% | 32q | HELD |
| Bell Asset Management Ltd | $2.0M | 2,443 | 0.72% | new | NEW |
| Arbor Wealth Advisors LLC | $2.0M | 2,437 | 1.23% | 12q | HELD |
| Lincoln Capital LLC | $1.9M | 2,355 | 0.34% | 6q | HELD |
| Legacy Wealth Asset Management, LLC | $1.9M | 2,349 | 0.42% | 24q | -4.1%-$81.9K |
| Strong Retirement Solutions LLC | $1.7M | 2,127 | 0.97% | 4q | +438.5%+$1.4M |
| Vann Equity Management LLC | $1.7M | 2,097 | 1.01% | 3q | +3.8%+$61.6K |
| Breakwater Capital Group | $1.7M | 2,038 | 0.20% | 16q | +4.7%+$74.6K |
| ARMSTRONG ADVISORY GROUP, INC | $1.6M | 2,028 | 0.10% | 16q | +4.3%+$68.1K |
| Adelphi Trust Co | $1.6M | 2,027 | 1.08% | 4q | -0.8%-$13.0K |
| Baring Financial LLC | $1.6M | 1,992 | 0.86% | 8q | -18.8%-$372.9K |
| TOMPKINS FINANCIAL CORP | $1.6M | 1,969 | 0.11% | 31q | -1.2%-$18.6K |
| Olistico Wealth, LLC | $1.6M | 1,962 | 0.67% | 16q | +1.0%+$16.2K |
| AVITY INVESTMENT MANAGEMENT INC. | $1.5M | 1,895 | 0.10% | 24q | +60.6%+$579.7K |
| Castle Rock Wealth Management, LLC | $1.5M | 1,757 | 0.29% | 14q | +85.1%+$697.5K |
| Trust Co | $1.5M | 1,859 | 0.13% | 32q | -2.4%-$36.5K |
| DOLIVER ADVISORS, LP | $1.5M | 1,818 | 0.32% | 17q | HELD |
| Whalen Wealth Management Inc. | $1.5M | 1,816 | 0.63% | 6q | +1.3%+$18.6K |
| Violich Capital Management, Inc. | $1.5M | 1,800 | 0.16% | 6q | HELD |
| Rosenberg Matthew Hamilton | $1.4M | 1,776 | 0.26% | 27q | +5.4%+$73.8K |
| Montz Harcus Wealth Management LLC | $1.4M | 1,775 | 0.50% | 20q | -4.7%-$71.4K |
| DIVERSIFIED MANAGEMENT INC | $1.4M | 1,749 | 0.25% | 4q | +2.3%+$31.6K |
| VISTA INVESTMENT PARTNERS LLC | $1.4M | 1,729 | 0.37% | 12q | +39.8%+$398.9K |
| Stonebridge Financial Group, LLC | $1.4M | 1,693 | 0.10% | 8q | +3.5%+$47.0K |
| HALL LAURIE J TRUSTEE | $1.4M | 1,682 | 0.43% | 30q | -1.5%-$20.3K |
| Balefire, LLC | $1.4M | 1,675 | 0.21% | 14q | -3.3%-$47.0K |
| Grove Bank & Trust | $1.3M | 1,655 | 0.13% | 23q | HELD |
| Kaydan Wealth Management, Inc. | $1.3M | 1,650 | 0.46% | 20q | HELD |
| SILVIA MCCOLL WEALTH MANAGEMENT, LLC | $1.3M | 1,622 | 0.79% | 16q | HELD |
| Mirador Capital Partners LP | $1.3M | 1,582 | 0.15% | 14q | -4.1%-$54.3K |
| Trinity Financial Advisors LLC | $1.3M | 1,550 | 0.32% | 17q | HELD |
| Pacifica Partners Inc. | $1.2M | 1,495 | 0.37% | 28q | HELD |
Showing the largest 100 of 215 reported holders.
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 |
|---|---|---|---|
| 2026-09-01 | 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 |
| 2026-05-06 | De Lange Bob | Group President | Sold | 24,222 | $22.4M ×2 |
| 2026-05-11 | Fassino Anthony D. | Group President | Sold | 16,283 | $14.9M ×2 |
| 2026-05-06 | BONFIELD ANDREW R J | CFO Emeritus | Sold | 15,674 | $14.4M |
| 2026-05-14 | Johnson Denise C | Group President | Sold | 12,605 | $11.4M ×8 |
| 2026-05-06 | Fassino Anthony D. | Group President | Sold | 9,152 | $8.5M ×2 |
| 2026-05-13 | Johnson Denise C | Group President | Sold | 6,196 | $5.6M ×2 |
| 2026-05-05 | Shurman Rodney Michael | Group President | Sold | 5,639 | $5.1M ×2 |
| 2026-05-04 | Kaiser Jason | Group President | Sold | 5,642 | $5.0M |
| 2026-05-13 | Schaupp William E | Chief Accounting Officer | Sold | 360 | $326.2K |
| 2026-05-04 | MacLennan David | Director | Bought | 250 | $219.2K |
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 | 209 | $641.4M | 789,552 | 5 | 67 | 75 | 0.1% |
| Q2 2026 | 4,079 | $431.0B | 374,890,169 | 401 | 1,304 | 1,446 | 7.8% |
| Q1 2026 | 3,759 | $251.4B | 334,509,846 | 321 | 1,117 | 1,414 | 5.5% |
| Q4 2025 | 3,557 | $200.2B | 331,377,585 | 293 | 1,064 | 1,186 | 5.2% |
| Q3 2025 | 3,174 | $169.0B | 337,427,567 | 274 | 978 | 1,095 | 4.7% |
| Q2 2025 | 3,038 | $134.8B | 332,061,527 | 243 | 994 | 1,028 | 4.4% |
| Q1 2025 | 2,912 | $113.7B | 330,927,599 | 116 | 998 | 1,025 | 4.1% |
| Q4 2024 | 3,021 | $132.9B | 353,074,711 | 122 | 929 | 935 | 3.7% |
| Q3 2024 | 2,859 | $145.9B | 355,678,159 | 210 | 888 | 929 | 4.7% |
| Q2 2024 | 2,736 | $126.5B | 358,302,008 | 137 | 898 | 897 | 5.7% |
| Q1 2024 | 2,742 | $144.6B | 365,101,992 | 222 | 804 | 995 | 7.6% |
| Q4 2023 | 2,618 | $114.2B | 363,395,886 | 158 | 767 | 875 | 6.1% |
| Q3 2023 | 2,423 | $112.1B | 388,907,801 | 158 | 755 | 814 | 5.3% |
| Q2 2023 | 2,351 | $93.9B | 358,668,440 | 150 | 787 | 791 | 5.5% |
| Q1 2023 | 2,298 | $89.3B | 369,669,108 | 136 | 736 | 780 | 5.4% |
| Q4 2022 | 2,310 | $95.4B | 369,210,009 | 294 | 640 | 710 | 7.3% |
| Q3 2022 | 1,997 | $62.7B | 360,290,613 | 75 | 694 | 655 | 5.4% |
| Q2 2022 | 2,085 | $69.2B | 366,887,681 | 97 | 705 | 732 | 5.3% |
| Q1 2022 | 2,184 | $86.2B | 368,246,360 | 154 | 850 | 642 | 4.8% |
| Q4 2021 | 2,169 | $80.0B | 364,003,479 | 156 | 737 | 583 | 6.0% |
| Q3 2021 | 1,947 | $76.0B | 370,146,050 | 85 | 719 | 622 | 6.6% |
| Q2 2021 | 2,025 | $86.3B | 377,480,231 | 121 | 764 | 611 | 4.8% |
| Q1 2021 | 2,028 | $92.9B | 380,136,304 | 199 | 669 | 685 | 5.2% |
| Q4 2020 | 1,903 | $74.3B | 377,774,844 | 191 | 626 | 566 | 7.3% |
| Q3 2020 | 1,666 | $58.9B | 372,348,789 | 187 | 514 | 562 | 5.8% |
| Q2 2020 | 1,557 | $48.8B | 365,022,718 | 147 | 457 | 602 | 5.5% |
| Q1 2020 | 1,505 | $44.8B | 368,785,878 | 84 | 527 | 586 | 4.6% |
| Q4 2019 | 1,677 | $59.3B | 377,800,699 | 143 | 446 | 565 | 5.9% |
| Q3 2019 | 1,499 | $49.0B | 364,729,899 | 71 | 479 | 589 | 6.0% |
| Q2 2019 | 1,571 | $54.9B | 373,031,488 | 80 | 523 | 590 | 7.4% |
| Q1 2019 | 1,603 | $54.4B | 381,215,475 | 128 | 518 | 551 | 5.1% |
| Q4 2018 | 1,572 | $53.5B | 395,829,179 | 14 | 27 | 24 | 6.1% |