Caterpillar Inc.
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionAlps Advisors Inc
Latest Disclosed Ownership10,384 shares
Latest Disclosed Value $ 7,356,649
Alps Advisors Inc reports 15.40% decrease in ownership of CAT / Caterpillar Inc.

On May 8, 2026 - Alps Advisors Inc filed a 13F-HR form disclosing ownership of 10,384 shares of Caterpillar Inc. (US:CAT) valued at $7,356,649 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 12, 2026 disclosing 12,274 shares of Caterpillar Inc.. This represents a change in shares of -15.40% during the quarter. The current value of the position is $9,617,453 USD.

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)
2026-05-08 2026-03-31 13F CATERPILLAR COM 149123101 10,384 -1,890 -15.40 7,357 4.62 0.0318
2026-02-12 2025-12-31 13F CATERPILLAR COM 149123101 12,274 38 0.31 7,031 20.44 0.0410
2025-11-05 2025-09-30 13F CATERPILLAR COM 149123101 12,236 -1,995 -14.02 5,838 5.68 0.0325
2025-08-11 2025-06-30 13F CATERPILLAR COM 149123101 14,231 -911 -6.02 5,525 10.63 0.0319
2025-04-30 2025-03-31 13F CATERPILLAR COM 149123101 15,142 -489 -3.13 4,994 -11.94 0.0290
2025-02-13 2024-12-31 13F CATERPILLAR COM 149123101 15,631 -83 -0.53 5,670 -7.74 0.0358
2024-11-12 2024-09-30 13F CATERPILLAR COM 149123101 15,714 -11,756 -42.80 6,146 -32.83 0.0411
2024-08-13 2024-06-30 13F CATERPILLAR COM 149123101 27,470 -26 -0.09 9,150 -9.18 0.0628
2024-05-14 2024-03-31 13F CATERPILLAR COM 149123101 27,496 7 0.03 10,075 23.97 0.0713
2024-02-14 2023-12-31 13F CATERPILLAR COM 149123101 27,489 105 0.38 8,128 8.72 0.0639
2023-11-14 2023-09-30 13F CATERPILLAR COM 149123101 27,384 16,694 156.16 7,476 184.22 0.0620
2023-08-14 2023-06-30 13F CATERPILLAR COM 149123101 10,690 1,127 11.79 2,630 20.20 0.0228
2023-05-10 2023-03-31 13F CATERPILLAR COM 149123101 9,563 -832 -8.00 2,188 -12.13 0.0193
2023-02-14 2022-12-31 13F CATERPILLAR COM 149123101 10,395 -269 -2.52 2,490 42.29 0.0222
2022-11-14 2022-09-30 13F CATERPILLAR COM 149123101 10,664 10,664 1,750 0.0166
2022-08-15 2022-06-30 13F/A-1 CATERPILLAR COM 149123101 0 -2,254 -100.00 0 -100.00
2022-08-10 2022-06-30 13F CATERPILLAR COM 149123101 0 -2,254 0
2022-05-16 2022-03-31 13F CATERPILLAR COM 149123101 2,254 -1,672 -42.59 502 -38.18 0.0054
2022-02-09 2021-12-31 13F CATERPILLAR COM 149123101 3,926 -99,794 -96.21 812 -95.92 0.0091
2021-11-15 2021-09-30 13F CATERPILLAR COM 149123101 103,720 2,381 2.35 19,911 -9.72 0.1919
2021-08-11 2021-06-30 13F CATERPILLAR COM 149123101 101,339 1,339 1.34 22,054 -4.89 0.1950
2021-05-07 2021-03-31 13F CATERPILLAR COM 149123101 100,000 -197,257 -66.36 23,187 -57.15 0.2265
2021-02-03 2020-12-31 13F CATERPILLAR COM 149123101 297,257 29 0.01 54,107 22.05 0.6093
2020-11-05 2020-09-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 297,228 -97,772 -24.75 44,331 -11.28 0.6526
2020-11-04 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 297,228 -97,772 44,331 568,154.8750
2020-08-05 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 395,000 0 0.00 49,968 9.01 0.6699
2020-05-06 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 395,000 -2,647 -0.67 45,836 -21.95 0.7091
2020-02-07 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 397,647 -103,814 -20.70 58,725 -7.29 0.4577
2019-11-04 2019-09-30 13F CATERPILLAR COMMON STOCK 149123101 501,461 -128 -0.03 63,340 -7.35 0.4931
2019-08-07 2019-06-30 13F CATERPILLAR COMMON STOCK 149123101 501,589 -152 -0.03 68,362 0.56 0.5060
2019-05-01 2019-03-31 13F CATERPILLAR COMMON STOCK 149123101 501,741 -634 -0.13 67,981 6.49 0.4813
2019-02-04 2018-12-31 13F CATERPILLAR COMMON STOCK 149123101 502,375 -34 -0.01 63,837 -16.68 0.4954
2018-10-25 2018-09-30 13F CATERPILLAR COMMON STOCK 149123101 502,409 -2,718 -0.54 76,613 11.79 0.5026
2018-08-02 2018-06-30 13F/A-2 Caterpillar COMMON STOCK 149123101 505,127 505,127 0.54 68,531 -10.55 0.4470
2018-07-31 2018-06-30 13F/A-1 Caterpillar COMMON STOCK 149123101 498,700 -6,427 78,585 0.5025
2018-07-25 2018-06-30 13F Caterpillar COMMON STOCK 149123101 498,700 498,700 78,585
2018-02-20 2017-12-31 13F/A-1 Caterpillar COMMON STOCK 149123101 0 -387,934 -100.00 0 -100.00
2017-11-03 2017-09-30 13F Caterpillar COMMON STOCK 149123101 387,934 -56,488 -12.71 48,379 1.30 0.3429
2017-08-03 2017-06-30 13F Caterpillar COMMON STOCK 149123101 444,422 -65,865 -12.91 47,758 0.90 0.3332
2017-05-12 2017-03-31 13F Caterpillar COMMON STOCK 149123101 510,287 114,295 28.86 47,334 28.89 0.3264
2017-01-24 2016-12-31 13F Caterpillar Common Stock 149123101 395,992 13,694 3.58 36,724 8.21 0.2708
2016-11-02 2016-09-30 13F Caterpillar Common Stock 149123101 382,298 36,457 10.54 33,937 29.44 0.2770
2016-07-27 2016-06-30 13F Caterpillar Common Stock 149123101 345,841 45,798 15.26 26,218 14.17 0.2323
2016-05-10 2016-03-31 13F Caterpillar Common Stock 149123101 300,043 1,799 0.60 22,965 13.30 0.2371
2016-02-05 2015-12-31 13F Caterpillar Common Stock 149123101 298,244 292,624 5,206.83 20,269 3,738.83 0.1978
2014-02-11 2013-12-31 13F CATERPILLAR Common Stock 149123101 5,620 2,730 94.46 528 119.09 0.0053
2013-11-13 2013-09-30 13F CATERPILLAR Common Stock 149123101 2,890 2,890 241 0.0027
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.