Caterpillar Inc (CAT) shareholders
CATNYSEConstruction Machinery & EquipFiscal year ends December 31
Financials through Q3 FY2026, quarter ended Sep 30, 2026Last filing: 10-Q on Nov 4, 2026Score 12/3027% above fair value
$600.20−5.08 (-0.84%)
Close on Nov 13, 2026Market cap $275.90BP/E 23.5Yield 0.99%
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
72.0%
331M of 460M shares
Institutional holders
4,043
451 new, 105 sold out
Net institutional buying
-0M
In Q2 2026
Insider trades, 12 months
3 buys · 75 sales
Net sold $223.75M
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Vanguard Capital Management | 34,776,099 | 7.47% | 13G (passive) | Mar 31, 2026 |
| BlackRock, Inc. | 33,509,816 | 6.60% | 13G (passive) amendment | Dec 31, 2023 |
| State Street Global Advisors Trust Company Joint filing with State Street Corporation (7.41%) | – | 5.88% | 13G (passive) amendment | Dec 31, 2023 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of CAT | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| BlackRock, Inc. | 37,991,505 | 8.26% | $40.46B | +822,072 | 0.60% |
| State Street Corp | 34,392,316 | 7.48% | $36.62B | −488,288 | 1.09% |
| Vanguard Capital Management LLC | 30,077,764 | 6.54% | $32.03B | −156,689 | 0.68% |
| State Farm Mutual Automobile Insurance Co | 14,509,304 | 3.16% | $15.45B | −55,422 | 10.57% |
| Vanguard Portfolio Management LLC | 12,026,244 | 2.62% | $12.81B | +320,354 | 0.58% |
| Geode Capital Management, LLC | 11,175,493 | 2.43% | $11.92B | +48,010 | 0.64% |
| Fisher Asset Management, LLC | 9,942,521 | 2.16% | $10.59B | +166,569 | 3.15% |
| Morgan Stanley | 7,504,426 | 1.63% | $7.99B | +4,764 | 0.42% |
| JPMorgan Chase & Co | 7,325,731 | 1.59% | $7.57B | +4,385,152 | 0.42% |
| Bill & Melinda Gates Foundation Trust | 6,353,614 | 1.38% | $6.77B | – | 19.65% |
| Price T Rowe Associates Inc /Md/ | 6,171,628 | 1.34% | $6.57B | +589,610 | 0.66% |
| FMR LLC | 5,781,969 | 1.26% | $6.16B | +1,957,676 | 0.27% |
| Northern Trust Corp | 5,664,155 | 1.23% | $6.03B | −14,640 | 0.70% |
| Bank Of America Corp /De/ | 5,463,565 | 1.19% | $5.82B | −214,013 | 0.37% |
| Goldman Sachs Group Inc | 3,570,493 | 0.78% | $3.80B | +359,522 | 0.33% |
| Charles Schwab Investment Management Inc | 3,322,782 | 0.72% | $3.53B | −31,221 | 0.47% |
| Invesco Ltd. | 3,284,093 | 0.71% | $3.50B | −565,507 | 0.28% |
| UBS Asset Management Americas Inc | 3,153,638 | 0.69% | $3.36B | −113,895 | 0.61% |
| Capital World Investors | 3,060,432 | 0.67% | $3.26B | −483,508 | 0.38% |
| Bank of New York Mellon Corp | 2,998,131 | 0.65% | $3.19B | −450,038 | 0.52% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | % of shares | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 4,043 | 331M | 72.0% | 451 / 1436 | 1593 / 105 | 16M | 17M |
| Q1 2026 | 3,760 | 332M | 72.2% | 393 / 1287 | 1546 / 115 | 65M | 18M |
| Q4 2025 | 3,529 | 332M | 72.2% | 543 / 1231 | 1304 / 94 | 18M | 23M |
| Q3 2025 | 3,147 | 337M | 73.3% | 299 / 1150 | 1202 / 120 | 28M | 23M |
| Q2 2025 | 3,020 | 333M | 72.4% | 285 / 1151 | 1119 / 126 | 20M | 17M |
| Q1 2025 | 2,899 | 331M | 72.0% | 151 / 1178 | 1124 / 203 | 15M | 22M |
| Q4 2024 | 3,005 | 341M | 74.2% | 384 / 1096 | 1049 / 160 | 13M | 18M |
| Q3 2024 | 2,834 | 347M | 75.5% | 247 / 1054 | 1046 / 91 | 51M | 14M |
| Q2 2024 | 2,708 | 346M | 75.4% | 183 / 1052 | 991 / 148 | 17M | 34M |
| Q1 2024 | 2,711 | 366M | 79.5% | 262 / 951 | 1084 / 91 | 17M | 15M |
| Q4 2023 | 2,580 | 364M | 79.2% | 319 / 925 | 952 / 108 | 24M | 16M |
| Q3 2023 | 2,406 | 357M | 77.6% | 192 / 909 | 903 / 81 | 14M | 16M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
1,172 funds held CAT in Q2 2026, 57% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of CAT | Value | % of fund | As of |
|---|---|---|---|---|---|
| Vanguard Total Stock Market Index Fund | 14,622,043 | 3.18% | $15.57B | 0.68% | Jun 30, 2026 |
| Vanguard 500 Index Fund | 11,933,444 | 2.60% | $12.71B | 0.76% | Jun 30, 2026 |
| iShares Core S&P 500 ETF | 6,335,960 | 1.38% | $6.75B | 0.76% | Jun 30, 2026 |
| Fidelity 500 Index Fund | 5,954,288 | 1.30% | $5.22B | 0.63% | May 31, 2026 |
| Vanguard Value Index Fund | 4,384,117 | 0.95% | $4.67B | 1.83% | Jun 30, 2026 |
| State Street(R) Industrial Select Sector SPDR(R) ETF | 2,714,727 | 0.59% | $2.89B | 8.51% | Jun 30, 2026 |
| Vanguard Dividend Appreciation Index Fund | 2,606,004 | 0.57% | $2.12B | 1.62% | Jul 31, 2026 |
| Vanguard Institutional Index Fund | 2,500,394 | 0.54% | $2.66B | 0.76% | Jun 30, 2026 |
| JPMorgan Large Cap Growth Fund | 2,247,078 | 0.49% | $2.39B | 1.96% | Jun 30, 2026 |
| Vanguard High Dividend Yield Index Fund | 1,829,025 | 0.40% | $1.49B | 1.50% | Jul 31, 2026 |
| Growth Fund of America | 1,805,868 | 0.39% | $1.58B | 0.44% | May 31, 2026 |
| iShares Russell 1000 Growth ETF | 1,734,841 | 0.38% | $1.85B | 1.43% | Jun 30, 2026 |
| Washington Mutual Investors Fund | 1,438,947 | 0.31% | $1.17B | 0.54% | Jul 31, 2026 |
| iShares MSCI USA Momentum Factor ETF | 1,135,260 | 0.25% | $925.02M | 3.65% | Jul 31, 2026 |
| State Street(R) SPDR(R) Portfolio S&P 500(R) ETF | 1,098,182 | 0.24% | $1.17B | 0.76% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | % of shares | Latest filing |
|---|---|---|---|---|
| Derrick Lading York | Group President | 1,600 | 0.00% | Nov 2, 2026 |
| Kyle Joseph Epley | Chief Financial Officer | 20,891 | 0.00% | Oct 27, 2026 |
| Joseph E. Creed | Chief Executive Officer | 78,795 | 0.02% | Oct 27, 2026 |
| Jason Kaiser | Group President | 9,668 | 0.00% | Oct 27, 2026 |
| Denise C. Johnson | Group President | 60,643 | 0.01% | May 15, 2026 |
| William E. Schaupp | Chief Accounting Officer | 530 | 0.00% | May 14, 2026 |
| Anthony D. Fassino | Group President | 48,392 | 0.01% | May 12, 2026 |
| Christine M. Pambianchi | Chief Human Resources Officer | 3,083 | 0.00% | May 12, 2026 |
| Lange Bob De | Group President | 86,029 | 0.02% | May 7, 2026 |
| Andrew R. J. Bonfield | CFO Emeritus | 68,609 | 0.01% | May 7, 2026 |
| Rodney Michael Shurman | Group President | 9,816 | 0.00% | May 6, 2026 |
| III Donald J. Umpleby | Executive Chairman | 560,268 | 0.12% | Mar 6, 2026 |
| Derek Owens | Chief Legal Officer | 8,203 | 0.00% | Mar 6, 2026 |
| Cheryl H. Johnson | Chief Human Resources Officer | 15,510 | 0.00% | Mar 5, 2025 |
| David MacLennan | Director | 8,773 | 0.00% | Nov 13, 2026 |
| James C. Fish Jr | Director | 5,214 | 0.00% | Nov 3, 2026 |
| Lynn J. Good | Director | 122 | 0.00% | Oct 1, 2026 |
| Judith Fran Marks | Director | 1,938 | 0.00% | Jun 11, 2026 |
| Rayford Wilkins Jr | Director | 8,416 | 0.00% | Jun 11, 2026 |
| Susan C. Schwab | Director | 6,197 | 0.00% | Jun 11, 2026 |
| Gerald Johnson | Director | 3,907 | 0.00% | Jun 11, 2026 |
| Nazzic S. Keene | Director | 728 | 0.00% | Jun 11, 2026 |
| Debra L. Reed | Director | 13,204 | 0.00% | Jun 11, 2026 |
| Daniel M. Dickinson | Director | 4,728 | 0.00% | Dec 6, 2024 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| David MacLennan Director | Nov 12, 2026 | Buy | +350 | $596.10 | $208.64K | 8,773 |
| James C. Fish Jr Director | Nov 2, 2026 | Buy | +1,000 | $620.39 | $620.39K | 4,714 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Tax withholding | −12,002 | $812.98 | $9.76M | 66,956 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −480 | $800.19 | $384.09K | 66,476 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −540 | $801.10 | $432.59K | 65,936 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −280 | $802.10 | $224.59K | 65,656 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −750 | $803.39 | $602.54K | 64,906 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −520 | $803.86 | $418.01K | 64,386 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −1,351 | $805.36 | $1.09M | 63,035 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −3,382 | $806.31 | $2.73M | 59,653 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −6,135 | $807.41 | $4.95M | 53,518 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −2,639 | $808.20 | $2.13M | 50,879 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −2,137 | $809.08 | $1.73M | 48,742 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −3,041 | $810.31 | $2.46M | 45,701 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −5,035 | $811.31 | $4.08M | 40,666 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −1,280 | $812.09 | $1.04M | 39,386 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Sale | −4,831 | $813.72 | $3.93M | 34,555 |
| Joseph E. Creed Chief Executive Officer | Aug 28, 2026 | Option exercise | +44,403 | $219.76 | $9.76M | 78,958 |
| David MacLennan Director | Jun 10, 2026 | Award | +211 | – | – | 8,420 |
| Susan C. Schwab Director | Jun 10, 2026 | Award | +211 | – | – | 6,197 |
| Judith Fran Marks Director | Jun 10, 2026 | Award | +211 | – | – | 1,938 |
| James C. Fish Jr Director | Jun 10, 2026 | Award | +211 | – | – | 3,687 |
| Debra L. Reed Director | Jun 10, 2026 | Award | +211 | – | – | 13,204 |
| Nazzic S. Keene Director | Jun 10, 2026 | Award | +211 | – | – | 728 |
| Rayford Wilkins Jr Director | Jun 10, 2026 | Award | +211 | – | – | 8,416 |
| Gerald Johnson Director | Jun 10, 2026 | Award | +211 | – | – | 3,907 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −1,787 | $904.70 | $1.62M | 60,643 |
| Denise C. Johnson Group President | May 14, 2026 | Option exercise | +16,078 | $196.70 | $3.16M | 65,903 |
| Denise C. Johnson Group President | May 14, 2026 | Tax withholding | −3,473 | $910.55 | $3.16M | 62,430 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −1,605 | $911.92 | $1.46M | 49,825 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −2,259 | $905.73 | $2.05M | 58,384 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −402 | $910.65 | $366.08K | 51,430 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −1,568 | $909.70 | $1.43M | 51,832 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −2,302 | $908.76 | $2.09M | 53,400 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −1,191 | $907.98 | $1.08M | 55,702 |
| Denise C. Johnson Group President | May 14, 2026 | Sale | −1,491 | $906.73 | $1.35M | 56,893 |
| William E. Schaupp Chief Accounting Officer | May 13, 2026 | Sale | −360 | $906.00 | $326.16K | 530 |
| Denise C. Johnson Group President | May 13, 2026 | Tax withholding | −1,704 | $911.61 | $1.55M | 56,021 |
| Denise C. Johnson Group President | May 13, 2026 | Option exercise | +7,900 | $196.70 | $1.55M | 57,725 |
| Denise C. Johnson Group President | May 13, 2026 | Sale | −3,546 | $909.46 | $3.22M | 52,475 |
| Denise C. Johnson Group President | May 13, 2026 | Sale | −2,650 | $910.24 | $2.41M | 49,825 |
| Christine M. Pambianchi Chief Human Resources Officer | May 11, 2026 | Tax withholding | −224 | $912.03 | $204.29K | 3,083 |
| Joseph E. Creed Chief Executive Officer | May 11, 2026 | Tax withholding | −574 | $912.03 | $523.51K | 34,507 |
| Anthony D. Fassino Group President | May 11, 2026 | Sale | −15,440 | $916.75 | $14.15M | 46,884 |
| Anthony D. Fassino Group President | May 11, 2026 | Option exercise | +21,403 | $219.76 | $4.70M | 67,444 |
| Anthony D. Fassino Group President | May 11, 2026 | Sale | −843 | $917.73 | $773.65K | 46,041 |
| Anthony D. Fassino Group President | May 11, 2026 | Tax withholding | −5,120 | $918.65 | $4.70M | 62,324 |
| Kyle Joseph Epley Chief Financial Officer | May 8, 2026 | Award | +515 | – | – | 17,705 |
| Andrew R. J. Bonfield CFO Emeritus | May 6, 2026 | Tax withholding | −7,380 | $920.72 | $6.79M | 68,609 |
| Andrew R. J. Bonfield CFO Emeritus | May 6, 2026 | Option exercise | +11,655 | $253.98 | $2.96M | 64,590 |
| Andrew R. J. Bonfield CFO Emeritus | May 6, 2026 | Option exercise | +7,673 | $338.65 | $2.60M | 72,263 |
| Andrew R. J. Bonfield CFO Emeritus | May 6, 2026 | Option exercise | +3,726 | $332.04 | $1.24M | 75,989 |
| Andrew R. J. Bonfield CFO Emeritus | May 6, 2026 | Sale | −15,674 | $918.71 | $14.40M | 52,935 |
| Lange Bob De Group President | May 6, 2026 | Sale | −9,752 | $923.47 | $9.01M | 86,029 |
| Lange Bob De Group President | May 6, 2026 | Sale | −14,470 | $922.55 | $13.35M | 95,781 |
| Lange Bob De Group President | May 6, 2026 | Tax withholding | −3,883 | $923.38 | $3.59M | 110,251 |
| Lange Bob De Group President | May 6, 2026 | Option exercise | +28,105 | $127.60 | $3.59M | 114,134 |
| Anthony D. Fassino Group President | May 6, 2026 | Sale | −350 | $926.83 | $324.39K | 46,041 |
| Anthony D. Fassino Group President | May 6, 2026 | Sale | −8,802 | $926.23 | $8.15M | 46,391 |
| Anthony D. Fassino Group President | May 6, 2026 | Option exercise | +12,000 | $219.76 | $2.64M | 58,041 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of float
1.78%
8M shares short
Days to cover
2.4
At 3M shares a day
Change since last report
+8.4%
From 8M shares
Short volume, 20 days
38.5%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Caterpillar's stock actually held short. Settlement fails (shares not delivered on time) peaked at 70,264 shares on Aug 20, 2026 over the last 90 days.
Planned insider sales
Notices of proposed sale filed on Form 144 before shares are sold
| Seller | Filed | Shares | Market value | Planned sale | Acquired through |
|---|---|---|---|---|---|
| Joseph E. Creed Officer | Aug 28, 2026 | 32,401 | $26.21M | Aug 28, 2026 | Stock Option Exercise |
| Denise C. Johnson Officer | May 14, 2026 | 12,605 | $11.44M | May 14, 2026 | Stock Option Exercise |
| Denise C. Johnson Officer | May 13, 2026 | 6,196 | $5.64M | May 13, 2026 | Stock Option Exercise |
| William E. Schaupp Officer | May 13, 2026 | 360 | $326.16K | May 13, 2026 | Restricted Stock |
| Anthony D. Fassino Officer | May 11, 2026 | 16,283 | $14.93M | May 11, 2026 | Stock Option Exercise |
| Lange Bob De Officer | May 6, 2026 | 24,222 | $22.35M | May 6, 2026 | Stock Option Exercise |
| Anthony D. Fassino Officer | May 6, 2026 | 9,152 | $8.48M | May 6, 2026 | Stock Option Exercise |
| Andrew R. J. Bonfield Officer | May 6, 2026 | 15,674 | $14.40M | May 6, 2026 | Stock Option Exercise |
| Rodney Michael Shurman Officer | May 5, 2026 | 5,639 | $5.09M | May 5, 2026 | Stock Option Exercise |
| Jason Kaiser Officer | May 4, 2026 | 5,642 | $4.98M | May 4, 2026 | Stock Option Exercise |
| Joseph E. Creed Officer | Mar 5, 2026 | 2,500 | $1.80M | Mar 5, 2026 | Performance and Restricted Stock |
| Rodney Michael Shurman Officer | Feb 23, 2026 | 2,278 | $1.73M | Feb 23, 2026 | Stock Option Exercise |
| Rodney Michael Shurman Officer | Feb 17, 2026 | 1,764 | $1.35M | Feb 17, 2026 | Restricted Stock |
| William E. Schaupp Officer | Feb 17, 2026 | 972 | $742.80K | Feb 17, 2026 | Performance Shares |
| Anthony D. Fassino Officer | Feb 13, 2026 | 7,891 | $6.13M | Feb 13, 2026 | Stock Option Exercise |
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