Caterpillar Inc.
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionPinnacle Associates Ltd
Latest Disclosed Ownership111,072 shares
Latest Disclosed Value $ 78,690,340
Pinnacle Associates Ltd reports 0.91% decrease in ownership of CAT / Caterpillar Inc.

On April 21, 2026 - Pinnacle Associates Ltd filed a 13F-HR form disclosing ownership of 111,072 shares of Caterpillar Inc. (US:CAT) valued at $78,690,069 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 5, 2026 disclosing 112,090 shares of Caterpillar Inc.. This represents a change in shares of -0.91% during the quarter. The current value of the position is $102,872,665 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)
2026-04-21 2026-03-31 13F CATERPILLAR COM 149123101 111,072 -1,018 -0.91 78,690 22.55 1.0087
2026-02-05 2025-12-31 13F CATERPILLAR COM 149123101 112,090 -906 -0.80 64,213 19.10 0.8239
2025-11-13 2025-09-30 13F CATERPILLAR COM 149123101 112,996 334 0.30 53,916 23.28 0.7154
2025-08-04 2025-06-30 13F CATERPILLAR COM 149123101 112,662 414 0.37 43,737 18.14 0.6332
2025-05-06 2025-03-31 13F CATERPILLAR COM 149123101 112,248 642 0.58 37,019 -8.56 0.5424
2025-02-14 2024-12-31 13F CATERPILLAR COM 149123101 111,606 15,600 16.25 40,486 42.63 0.5493
2024-10-25 2024-09-30 13F CATERPILLAR COM 149123101 96,006 -15,159 -13.64 28,386 -23.34 0.4827
2024-07-30 2024-06-30 13F CATERPILLAR COM 149123101 111,165 15,300 15.96 37,029 5.41 0.5798
2024-04-26 2024-03-31 13F CATERPILLAR COM 149123101 95,865 -141 -0.15 35,128 23.75 0.5536
2024-01-19 2023-12-31 13F CATERPILLAR COM 149123101 96,006 5,237 5.77 28,386 14.56 0.4776
2023-10-24 2023-09-30 13F CATERPILLAR COM 149123101 90,769 10,445 13.00 24,780 25.38 0.4606
2023-07-27 2023-06-30 13F CATERPILLAR COM 149123101 80,324 13,633 20.44 19,764 29.50 0.3429
2023-05-05 2023-03-31 13F CATERPILLAR COM 149123101 66,691 -318 -0.47 15,262 -4.93 0.3121
2023-02-01 2022-12-31 13F/A-1 CATERPILLAR COM 149123101 67,009 5,851 9.57 16,053 59.96 0.3498
2023-01-25 2022-12-31 13F CATERPILLAR COM 149123101 67,222 6,064 15,844 0.0003
2022-11-01 2022-09-30 13F CATERPILLAR COM 149123101 61,158 -296 -0.48 10,035 -8.65 0.2303
2022-08-02 2022-06-30 13F CATERPILLAR COM 149123101 61,454 -958 -1.53 10,985 -21.01 0.2395
2022-05-05 2022-03-31 13F CATERPILLAR COM 149123101 62,412 -6,262 -9.12 13,907 -2.05 0.2462
2022-02-02 2021-12-31 13F CATERPILLAR COM 149123101 68,674 3,306 5.06 14,198 13.14 0.2449
2021-10-19 2021-09-30 13F CATERPILLAR COM 149123101 65,368 515 0.79 12,549 -11.09 0.2313
2021-08-02 2021-06-30 13F CATERPILLAR COM 149123101 64,853 -1,712 -2.57 14,114 -8.55 0.2552
2021-05-12 2021-03-31 13F CATERPILLAR COM 149123101 66,565 -13,682 -17.05 15,434 5.66 0.2943
2021-01-26 2020-12-31 13F CATERPILLAR COM 149123101 80,247 5,177 6.90 14,607 30.45 0.2966
2020-10-23 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 75,070 1,587 2.16 11,197 20.45 0.2659
2020-08-14 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 73,483 -188 -0.26 9,296 8.74 0.2292
2020-05-13 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 73,671 -10,960 -12.95 8,549 -31.60 0.2597
2020-02-03 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 84,631 -1,729 -2.00 12,498 14.58 0.2737
2019-11-08 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 86,360 10,234 13.44 10,908 5.14 0.2569
2019-08-05 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 76,126 5,087 7.16 10,375 7.79 0.2429
2019-05-10 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 71,039 835 1.19 9,625 7.89 0.2174
2019-02-05 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 70,204 2,855 4.24 8,921 -13.14 0.2303
2018-11-09 2018-09-30 13F CATERPILLAR INC DEL COM 149123101 67,349 824 1.24 10,270 13.80 0.2131
2018-08-08 2018-06-30 13F CATERPILLAR INC DEL COM 149123101 66,525 294 0.44 9,025 -7.54 0.1857
2018-05-11 2018-03-31 13F CATERPILLAR INC DEL COM 149123101 66,231 11,267 20.50 9,761 12.70 0.1913
2018-02-12 2017-12-31 13F CATERPILLAR INC DEL COM 149123101 54,964 -220 -0.40 8,661 25.85 0.1664
2017-11-13 2017-09-30 13F CATERPILLAR INC DEL COM 149123101 55,184 -56 -0.10 6,882 15.94 0.1269
2017-08-09 2017-06-30 13F CATERPILLAR INC DEL COM 149123101 55,240 -750 -1.34 5,936 14.29 0.1141
2017-05-09 2017-03-31 13F CATERPILLAR INC DEL COM 149123101 55,990 -11,403 -16.92 5,194 -16.90 0.0992
2017-02-10 2016-12-31 13F CATERPILLAR INC DEL COM 149123101 67,393 -1,195 -1.74 6,250 2.64 0.1261
2016-11-14 2016-09-30 13F CATERPILLAR INC DEL COM 149123101 68,588 -804 -1.16 6,089 15.74 0.1221
2016-08-15 2016-06-30 13F CATERPILLAR INC DEL COM 149123101 69,392 -1,968 -2.76 5,261 -3.68 0.1134
2016-05-13 2016-03-31 13F CATERPILLAR INC DEL COM 149123101 71,360 -1,889 -2.58 5,462 9.72 0.1168
2016-02-11 2015-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 73,249 -6,525 -8.18 4,978 -4.53 0.1044
2016-02-09 2015-12-31 13F CATERPILLAR INC DEL COM 149123101 73,249 -6,525 4,978 0.1064
2015-11-10 2015-09-30 13F CATERPILLAR INC DEL COM 149123101 79,774 -9,985 -11.12 5,214 -31.51 0.1154
2015-08-12 2015-06-30 13F CATERPILLAR INC DEL COM 149123101 89,759 136 0.15 7,613 6.15 0.1413
2015-05-15 2015-03-31 13F Caterpillar COM 149123101 89,623 3,687 4.29 7,172 -8.82 0.1338
2015-02-12 2014-12-31 13F Caterpillar COM 149123101 85,936 2,509 3.01 7,866 -4.79 0.1542
2014-11-12 2014-09-30 13F Caterpillar COM 149123101 83,427 -13,705 -14.11 8,262 -21.72 0.1682
2014-08-14 2014-06-30 13F Caterpillar COM 149123101 97,132 -1,778 -1.80 10,555 7.39 0.2060
2014-05-14 2014-03-31 13F Caterpillar COM 149123101 98,910 -408 -0.41 9,829 8.98 0.1917
2014-02-12 2013-12-31 13F Caterpillar COM 149123101 99,318 -36 -0.04 9,019 8.85 0.1761
2013-11-14 2013-09-30 13F Caterpillar COM 149123101 99,354 -100 -0.10 8,286 1.00 0.1714
2013-08-13 2013-06-30 13F Caterpillar COM 149123101 99,454 99,454 8,204 0.1844
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.