Daiwa Securities Group Inc. reports 1.82% increase in ownership of CAT / Caterpillar Inc.

Caterpillar Inc.

US ˙ NYSE ˙ US1491231015

Security	CAT / Caterpillar Inc.
Institution	Daiwa Securities Group Inc.
Latest Disclosed Ownership	174,585 shares
Latest Disclosed Value	$ 123,686,489

On May 13, 2026 - Daiwa Securities Group Inc. filed a 13F-HR form disclosing ownership of 174,585 shares of Caterpillar Inc. (US:CAT) valued at $123,686,489 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 10, 2026 disclosing 171,467 shares of Caterpillar Inc.. This represents a change in shares of 1.82% during the quarter. The current value of the position is $164,193,701 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	Reported Shares	ΔShares	ΔShares (%)	Reported Value (x1000)	ΔValue (%)	Alloc (%)
2026-05-13	2026-03-31	13F	CATERPILLAR	COM	149123101	174,585	3,118	1.82	123,686	126,110.20	0.2087
2026-02-10	2025-12-31	13F	CATERPILLAR	COM	149123101	171,467	5,300	3.19	98	24.05	0.3138
2025-11-14	2025-09-30	13F	CATERPILLAR	COM	149123101	166,167	3,907	2.41	79	27.42	0.2676
2025-08-14	2025-06-30	13F	CATERPILLAR	COM	149123101	162,260	387	0.24	63	16.98	0.2325
2025-05-13	2025-03-31	13F	CATERPILLAR	COM	149123101	161,873	13,196	8.88	53	0.00	0.2257
2025-02-07	2024-12-31	13F	CATERPILLAR	COM	149123101	148,677	4,318	2.99	54	-5.36	0.2408
2024-11-12	2024-09-30	13F	CATERPILLAR	COM	149123101	144,359	7,602	5.56	56	24.44	0.2608
2024-08-07	2024-06-30	13F	CATERPILLAR	COM	149123101	136,757	9,157	7.18	46	-2.17	0.2423
2024-05-02	2024-03-31	13F	CATERPILLAR	COM	149123101	127,600	-237,452	-65.05	47	27.78	0.2638
2024-01-31	2023-12-31	13F	CATERPILLAR	COM	149123101	365,052	131,160	56.08	36	5.88	0.2252
2023-11-01	2023-09-30	13F	CATERPILLAR	COM	149123101	233,892	125,946	116.68	34	30.77	0.2424
2023-07-31	2023-06-30	13F	CATERPILLAR	COM	149123101	107,946	-214,404	-66.51	27	4.00	0.1756
2023-05-02	2023-03-31	13F	CATERPILLAR	COM	149123101	322,350	29,046	9.90	25	4.17	0.1757
2023-02-06	2022-12-31	13F	CATERPILLAR	COM	149123101	293,304	200,351	215.54	25	-99.84	0.1915
2022-11-02	2022-09-30	13F	CATERPILLAR	COM	149123101	92,953	3,700	4.15	15,252	-15.51	0.1267
2022-08-09	2022-06-30	13F	CATERPILLAR	COM	149123101	89,253	-251,503	-73.81	18,052	-16.49	0.1379
2022-04-29	2022-03-31	13F	CATERPILLAR	COM	149123101	340,756	12,412	3.78	21,616	-6.50	0.1000
2022-04-29	2022-03-31	13F	CATERPILLAR	COM	149123101	84,500			21,309
2022-02-03	2021-12-31	13F	CATERPILLAR	COM	149123101	328,344	169,178	106.29	23,119	-0.71	0.1360
2021-11-05	2021-09-30	13F	CATERPILLAR	COM	149123101	159,166	-11,050	-6.49	23,284	5.86	0.1531
2021-08-06	2021-06-30	13F	CATERPILLAR	COM	149123101	170,216	83,768	96.90	21,996	9.74	0.1482
2021-05-03	2021-03-31	13F	CATERPILLAR	COM	149123101	86,448	737	0.86	20,044	28.48	0.1492
2021-02-04	2020-12-31	13F	CATERPILLAR	COM	149123101	85,711	-50,651	-37.14	15,601	46.04	0.1206
2020-11-02	2020-09-30	13F	CATERPILLAR	COM	149123101	136,362	-40,166	-22.75	10,683	415.59	0.0968
2020-08-11	2020-06-30	13F	CATERPILLAR	COM	149123101	176,528	0	0.00	2,072	-82.52	0.0437
2020-05-14	2020-03-31	13F	CATERPILLAR	COM	149123101	176,528	113,477	179.98	11,856	11.45	0.1230
2020-01-31	2019-12-31	13F	CATERPILLAR	COM	149123101	63,051	-5,024	-7.38	10,638	23.73	0.0878
2019-11-04	2019-09-30	13F	CATERPILLAR	COM	149123101	68,075	-113,871	-62.59	8,598	-36.13	0.0728
2019-07-24	2019-06-30	13F	CATERPILLAR	COM	149123101	181,946	15,732	9.46	13,462	8.89	0.1189
2019-04-26	2019-03-31	13F	CATERPILLAR	COM	149123101	166,214	83,178	100.17	12,363	7.69	0.1080
2019-02-05	2018-12-31	13F	CATERPILLAR	COM	149123101	83,036	2,290	2.84	11,480	-16.77	0.1101
2018-11-01	2018-09-30	13F	CATERPILLAR	COM	149123101	80,746	-5,227	-6.08	13,793	0.31	0.1155
2018-07-30	2018-06-30	13F	CATERPILLAR	COM	149123101	85,973	-14,844	-14.72	13,751	-33.18	0.1083
2018-05-02	2018-03-31	13F	CATERPILLAR	COM	149123101	100,817	-35,330	-25.95	20,580	-4.07	0.1648
2018-02-06	2017-12-31	13F	CATERPILLAR	COM	149123101	136,147	-19,324	-12.43	21,453	10.65	0.1517
2017-11-02	2017-09-30	13F	CATERPILLAR	COM	149123101	155,471	-7,154	-4.40	19,389	10.95	0.1328
2017-07-28	2017-06-30	13F	CATERPILLAR	COM	149123101	162,625	-47,907	-22.76	17,475	-10.51	0.1129
2017-05-02	2017-03-31	13F	CATERPILLAR	COM	149123101	210,532	143,092	212.18	19,528	212.20	0.1227
2017-02-01	2016-12-31	13F	CATERPILLAR	COM	149123101	67,440	14,700	27.87	6,255	33.63	0.0401
2017-01-10	2016-09-30	13F/A-1	CATERPILLAR	COM	149123101	52,740	-7,560	-12.54	4,681	2.41	0.0280
2016-11-04	2016-09-30	13F	CATERPILLAR	COM	149123101	52,740			4,681
2016-07-25	2016-06-30	13F	CATERPILLAR	COM	149123101	60,300	-8,000	-11.71	4,571	-12.57	0.0273
2016-05-12	2016-03-31	13F	CATERPILLAR	COM	149123101	68,300	-11,700	-14.62	5,228	-3.83	0.0330
2016-02-04	2015-12-31	13F	CATERPILLAR	COM	149123101	80,000	12,000	17.65	5,436	22.29	0.0360
2015-11-10	2015-09-30	13F	CATERPILLAR	COM	149123101	68,000	2,300	3.50	4,445	-20.24	0.0316
2015-08-05	2015-06-30	13F	CATERPILLAR	COM	149123101	65,700	19,500	42.21	5,573	50.74	0.0396
2015-05-12	2015-03-31	13F	CATERPILLAR	COM	149123101	46,200	-18,400	-28.48	3,697	-45.83	0.0247
2015-02-13	2014-12-31	13F	CATERPILLAR	COM	149123101	64,600	16,900	35.43	6,825	31.00	0.0482
2014-11-12	2014-09-30	13F	CATERPILLAR	COM	149123101	47,700	30,800	182.25	5,210	183.61	0.0395
2014-08-13	2014-06-30	13F/A-1	CATERPILLAR	COM	149123101	16,900	-400		1,837		0.0137
2014-08-13	2014-06-30	13F/A-2	CATERPILLAR	COM	149123101	16,900	-400	-2.31	1,837	6.86	0.0396
2014-08-13	2014-06-30	13F	CATERPILLAR	COM	149123101	16,900			1,837
2014-05-14	2014-03-31	13F/A-1	CATERPILLAR	COM	149123101	17,300	-500		1,719		0.0135
2014-05-15	2014-03-31	13F/A-2	CATERPILLAR	COM	149123101	17,300	-500	-2.81	1,719	6.37	0.0135
2014-05-13	2014-03-31	13F	CATERPILLAR	COM	149123101	17,300			1,719
2014-02-13	2013-12-31	13F	CATERPILLAR	COM	149123101	17,800	-7,600	-29.92	1,616	-23.70	0.0137
2013-11-14	2013-09-30	13F	CATERPILLAR	COM	149123101	25,400	0	0.00	2,118	1.10	0.0169
2013-08-16	2013-06-30	13F/A-1	CATERPILLAR	COM	149123101	25,400	25,400		2,095		0.0159
2013-08-13	2013-06-30	13F	CATERPILLAR	COM	149123101	25,400			2,095

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.