Caterpillar Inc.
MX ˙ BMV ˙ US1491231015
SecurityMX:CAT / Caterpillar Inc.
InstitutionAdvisors Asset Management, Inc.
Latest Disclosed Ownership12,133 shares
Latest Disclosed Value $ 8,595,745
Advisors Asset Management, Inc. reports 27.70% increase in ownership of CAT / Caterpillar Inc.

On May 15, 2026 - Advisors Asset Management, Inc. filed a 13F-HR form disclosing ownership of 12,133 shares of Caterpillar Inc. (MX:CAT) valued at $8,595,745 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 12, 2026 disclosing 9,501 shares of Caterpillar Inc.. This represents a change in shares of 27.70% during the quarter.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-15 2026-03-31 13F CATERPILLAR COM 149123101 12,133 2,632 27.70 8,596 57.94 0.1427
2026-02-12 2025-12-31 13F CATERPILLAR COM 149123101 9,501 2,252 31.07 5,443 57.37 0.0914
2025-11-06 2025-09-30 13F CATERPILLAR COM 149123101 7,249 -1,905 -20.81 3,459 -2.67 0.0587
2025-08-12 2025-06-30 13F CATERPILLAR COM 149123101 9,154 -1,430 -13.51 3,554 1.81 0.0636
2025-05-15 2025-03-31 13F CATERPILLAR COM 149123101 10,584 -6,124 -36.65 3,491 -42.41 0.0656
2025-02-10 2024-12-31 13F CATERPILLAR COM 149123101 16,708 -362 -2.12 6,061 -9.23 0.1116
2024-11-08 2024-09-30 13F CATERPILLAR COM 149123101 17,070 -2,985 -14.88 6,676 -0.06 0.1226
2024-08-14 2024-06-30 13F CATERPILLAR COM 149123101 20,055 -919 -4.38 6,680 -13.08 0.1303
2024-05-14 2024-03-31 13F CATERPILLAR COM 149123101 20,974 -1,361 -6.09 7,686 16.39 0.1477
2024-02-14 2023-12-31 13F CATERPILLAR COM 149123101 22,335 -8 -0.04 6,604 8.26 0.1348
2023-11-14 2023-09-30 13F CATERPILLAR COM 149123101 22,343 -6,818 -23.38 6,100 -15.00 0.1316
2023-08-14 2023-06-30 13F CATERPILLAR COM 149123101 29,161 -6,767 -18.83 7,175 -12.72 0.1466
2023-05-12 2023-03-31 13F CATERPILLAR COM 149123101 35,928 -3,422 -8.70 8,222 -12.78 0.1673
2023-02-13 2022-12-31 13F CATERPILLAR COM 149123101 39,350 -5,652 -12.56 9,427 27.65 0.1942
2022-11-08 2022-09-30 13F CATERPILLAR COM 149123101 45,002 -10,356 -18.71 7,384 -25.38 0.1552
2022-08-08 2022-06-30 13F CATERPILLAR COM 149123101 55,358 4,422 8.68 9,896 -12.81 0.1877
2022-05-17 2022-03-31 13F CATERPILLAR COM 149123101 50,936 -1,482 -2.83 11,350 4.73 0.1748
2022-02-15 2021-12-31 13F CATERPILLAR COM 149123101 52,418 3,665 7.52 10,837 15.79 0.1547
2021-11-12 2021-09-30 13F CATERPILLAR COM 149123101 48,753 -4,157 -7.86 9,359 -18.72 0.1423
2021-07-30 2021-06-30 13F CATERPILLAR COM 149123101 52,910 -33,707 -38.91 11,515 -42.67 0.1699
2021-05-07 2021-03-31 13F CATERPILLAR COM 149123101 86,617 6,196 7.70 20,084 37.20 0.3123
2021-02-12 2020-12-31 13F CATERPILLAR COM 149123101 80,421 -31,862 -28.38 14,638 -12.59 0.2421
2020-11-16 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 112,283 -28,213 -20.08 16,747 -5.77 0.3097
2020-08-12 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 140,496 13,583 10.70 17,773 20.68 0.3460
2020-05-15 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 126,913 40,484 46.84 14,727 15.38 0.3503
2020-05-20 2019-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 86,429 6,920 8.70 12,764 27.09 0.2238
2020-02-14 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 86,429 6,920 12,877 113,973.6249
2019-11-14 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 79,509 28,510 55.90 10,043 44.48 0.1850
2019-11-14 2019-06-30 13F/A-1 CATERPILLAR COM 149123101 50,999 20,083 64.96 6,951 65.93 0.1254
2019-08-14 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 50,999 20,083 6,951
2019-05-15 2019-03-31 13F CATERPILLAR COM 149123101 30,916 -8,978 -22.50 4,189 -17.36 0.0746
2019-02-06 2018-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 39,894 -17,002 -29.88 5,069 -41.57 0.1021
2019-01-31 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 39,894 -17,002 5,069
2018-11-15 2018-09-30 13F CATERPILLAR INC DEL COM 149123101 56,896 294 0.52 8,676 12.98 0.1418
2018-08-22 2018-06-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 56,602 -59,783 -51.37 7,679 -57.29 0.1304
2018-08-15 2018-06-30 13F CATERPILLAR INC DEL COM 149123101 1,129,502 1,013,117 7,679
2018-05-15 2018-03-31 13F CATERPILLAR INC DEL COM 149123101 116,385 -20,607 -15.04 17,979 -16.71 0.3012
2018-02-13 2017-12-31 13F CATERPILLAR INC DEL COM 149123101 136,992 -39,183 -22.24 21,587 -1.75 0.3549
2017-11-07 2017-09-30 13F CATERPILLAR INC DEL COM 149123101 176,175 -88,583 -33.46 21,971 -22.78 0.3680
2017-08-02 2017-06-30 13F CATERPILLAR INC DEL COM 149123101 264,758 -36,657 -12.16 28,451 1.76 0.4755
2017-05-02 2017-03-31 13F CATERPILLAR INC DEL COM 149123101 301,415 -19,864 -6.18 27,959 -1.97 0.4686
2016-10-31 2016-09-30 13F CATERPILLAR INC DEL COM 149123101 321,279 12,573 4.07 28,520 21.86 0.4678
2016-08-08 2016-06-30 13F CATERPILLAR INC DEL COM 149123101 308,706 10,275 3.44 23,403 2.46 0.3794
2016-05-16 2016-03-31 13F CATERPILLAR INC DEL COM 149123101 298,431 58,547 24.41 22,842 40.11 0.3800
2016-02-10 2015-12-31 13F CATERPILLAR INC DEL COM 149123101 239,884 68,542 40.00 16,303 45.58 0.2587
2015-11-16 2015-09-30 13F CATERPILLAR INC DEL COM 149123101 171,342 34,707 25.40 11,199 -3.37 0.1786
2015-08-11 2015-06-30 13F CATERPILLAR INC DEL COM 149123101 136,635 33,042 31.90 11,589 39.78 0.1591
2015-05-13 2015-03-31 13F CATERPILLAR INC DEL COM 149123101 103,593 78,808 317.97 8,291 265.40 0.1104
2015-02-05 2014-12-31 13F CATERPILLAR INC DEL COM 149123101 24,785 10,168 69.56 2,269 56.70 0.0304
2014-11-13 2014-09-30 13F CATERPILLAR INC DEL COM 149123101 14,617 -247 -1.66 1,448 -10.34 0.0200
2014-08-14 2014-06-30 13F CATERPILLAR INC DEL COM 149123101 14,864 -1,233 -7.66 1,615 0.94 0.0224
2014-05-15 2014-03-31 13F CATERPILLAR INC DEL COM 149123101 16,097 -2,871 -15.14 1,600 -7.08 0.0243
2014-02-03 2013-12-31 13F CATERPILLAR INC DEL COM 149123101 18,968 250 1.34 1,722 10.31 0.0278
2013-11-15 2013-09-30 13F CATERPILLAR INC DEL COM 149123101 18,718 -2,186 -10.46 1,561 -9.45 0.0277
2013-08-14 2013-06-30 13F CATERPILLAR INC DEL COM 149123101 20,904 20,904 1,724 0.0326
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.