Caterpillar Inc.
MX ˙ BMV ˙ US1491231015
SecurityMX:CAT / Caterpillar Inc.
InstitutionEmpirical Finance, LLC
Latest Disclosed Ownership19,081 shares
Latest Disclosed Value $ 13,518,125
Empirical Finance, LLC reports 0.25% decrease in ownership of CAT / Caterpillar Inc.

On May 14, 2026 - Empirical Finance, LLC filed a 13F-HR/A form disclosing ownership of 19,081 shares of Caterpillar Inc. (MX:CAT) valued at $13,518,125 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 12, 2026 disclosing 19,128 shares of Caterpillar Inc.. This represents a change in shares of -0.25% 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)
2026-05-14 2026-03-31 13F/A-1 CATERPILLAR COM 149123101 19,081 -47 -0.25 13,518 23.37 0.6352
2026-05-14 2026-03-31 13F CATERPILLAR COM 149123101 19,081 -47 13,518 0.6352
2026-02-12 2025-12-31 13F CATERPILLAR COM 149123101 19,128 -791 -3.97 10,958 15.29 0.5227
2025-11-13 2025-09-30 13F CATERPILLAR COM 149123101 19,919 2,112 11.86 9,504 37.50 0.4525
2025-08-11 2025-06-30 13F CATERPILLAR COM 149123101 17,807 102 0.58 6,913 18.38 0.3619
2025-05-07 2025-03-31 13F CATERPILLAR COM 149123101 17,705 219 1.25 5,839 -7.95 0.3526
2025-01-28 2024-12-31 13F CATERPILLAR COM 149123101 17,486 -242 -1.37 6,343 -8.51 0.3670
2024-11-06 2024-09-30 13F CATERPILLAR COM 149123101 17,728 267 1.53 6,934 19.21 0.4043
2024-07-30 2024-06-30 13F CATERPILLAR COM 149123101 17,461 -1,438 -7.61 5,816 -16.01 0.3633
2024-05-06 2024-03-31 13F CATERPILLAR COM 149123101 18,899 618 3.38 6,925 28.12 0.4250
2024-02-14 2023-12-31 13F CATERPILLAR COM 149123101 18,281 40 0.22 5,405 8.56 0.3769
2023-11-02 2023-09-30 13F CATERPILLAR COM 149123101 18,241 1,580 9.48 4,980 21.47 0.3658
2023-07-27 2023-06-30 13F CATERPILLAR COM 149123101 16,661 1,783 11.98 4,099 20.42 0.3175
2023-04-05 2023-03-31 13F CATERPILLAR COM 149123101 14,878 642 4.51 3,405 -0.18 0.3189
2023-02-21 2022-12-31 13F/A-1 CATERPILLAR COM 149123101 14,236 1,041 7.89 3,410 57.51 0.3531
2023-01-24 2022-12-31 13F CATERPILLAR COM 149123101 14,236 1,041 3 0.3531
2022-11-04 2022-09-30 13F CATERPILLAR COM 149123101 13,195 2,146 19.42 2,165 9.62 0.2568
2022-08-01 2022-06-30 13F CATERPILLAR COM 149123101 11,049 587 5.61 1,975 -15.27 0.2517
2022-04-21 2022-03-31 13F CATERPILLAR COM 149123101 10,462 1,093 11.67 2,331 20.34 0.2611
2022-02-04 2021-12-31 13F CATERPILLAR COM 149123101 9,369 2,429 35.00 1,937 45.42 0.2287
2021-11-12 2021-09-30 13F CATERPILLAR COM 149123101 6,940 403 6.16 1,332 -6.39 0.2008
2021-08-10 2021-06-30 13F/A-1 CATERPILLAR COM 149123101 6,537 934 16.67 1,423 39.51 0.2320
2021-08-04 2021-06-30 13F CATERPILLAR COM 149123101 5,603 0 1,020 0.1794
2021-05-13 2021-03-31 13F CATERPILLAR COM 149123101 5,603 0 0.00 1,020 0.00 0.1794
2021-02-02 2020-12-31 13F CATERPILLAR COM 149123101 5,603 964 20.78 1,020 47.40 0.1794
2020-10-28 2020-09-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 4,639 -7,631 -62.19 692 -55.41 0.1483
2020-10-26 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 11,976 -294 1,513 422,506.4996
2020-07-20 2020-06-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 12,270 586 5.02 1,552 14.45 0.3971
2020-07-20 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 7,321 1,552
2020-04-16 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 11,684 1,130 10.71 1,356 -13.02 0.4215
2020-01-27 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 10,554 -1,422 -11.87 1,559 3.04 0.3791
2019-10-30 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 11,976 118 1.00 1,513 -6.37 0.4225
2019-07-09 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 11,858 90 0.76 1,616 1.38 0.4429
2019-05-10 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 11,768 332 2.90 1,594 9.70 0.4056
2019-01-22 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 11,436 11,436 -2.82 1,453 -8.85 0.4306
2018-07-09 2018-06-30 13F CATERPILLAR INC DEL COM 149123101 0 -11,768 -100.00 0 -100.00
2019-05-10 2018-03-31 13F CATERPILLAR INC DEL COM 149123101 11,768 11,768 1,594 0.3335
2017-05-11 2017-03-31 13F CATERPILLAR INC DEL COM 149123101 0 -281 -100.00 0 -100.00
2017-02-13 2016-12-31 13F CATERPILLAR INC DEL COM 149123101 281 281 27 0.0182
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.