Caterpillar Inc.
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionStephens Inc /ar/
Latest Disclosed Ownership56,306 shares
Latest Disclosed Value $ 39,890,309
Stephens Inc /ar/ reports 3.33% decrease in ownership of CAT / Caterpillar Inc.

On April 28, 2026 - Stephens Inc /ar/ filed a 13F-HR form disclosing ownership of 56,306 shares of Caterpillar Inc. (US:CAT) valued at $39,890,549 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 5, 2026 disclosing 58,243 shares of Caterpillar Inc.. This represents a change in shares of -3.33% during the quarter. The current value of the position is $52,954,667 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)
2026-04-28 2026-03-31 13F CATERPILLAR COM 149123101 56,306 -1,937 -3.33 39,890 19.56 0.4990
2026-02-05 2025-12-31 13F CATERPILLAR COM 149123101 58,243 -2,912 -4.76 33,366 14.34 0.4151
2025-10-27 2025-09-30 13F CATERPILLAR COM 149123101 61,155 -7,493 -10.92 29,180 9.50 0.3719
2025-07-29 2025-06-30 13F CATERPILLAR COM 149123101 68,648 -1,823 -2.59 26,650 14.66 0.3662
2025-05-01 2025-03-31 13F CATERPILLAR COM 149123101 70,471 -20,869 -22.85 23,241 -29.86 0.3406
2025-01-28 2024-12-31 13F CATERPILLAR COM 149123101 91,340 -192 -0.21 33,134 -7.44 0.4646
2024-10-28 2024-09-30 13F CATERPILLAR COM 149123101 91,532 1,459 1.62 35,800 19.32 0.5079
2024-08-06 2024-06-30 13F CATERPILLAR COM 149123101 90,073 -3,439 -3.68 30,003 -12.44 0.4577
2024-05-15 2024-03-31 13F CATERPILLAR COM 149123101 93,512 4,571 5.14 34,266 30.30 0.5314
2024-02-13 2023-12-31 13F CATERPILLAR COM 149123101 88,941 5,004 5.96 26,297 14.76 0.4536
2023-11-14 2023-09-30 13F CATERPILLAR COM 149123101 83,937 1,693 2.06 22,915 13.23 0.4393
2023-08-14 2023-06-30 13F CATERPILLAR COM 149123101 82,244 8,490 11.51 20,236 19.90 0.3641
2023-05-15 2023-03-31 13F CATERPILLAR COM 149123101 73,754 -3,831 -4.94 16,878 -9.20 0.3238
2023-02-14 2022-12-31 13F/A-1 CATERPILLAR COM 149123101 77,585 4,953 6.82 18,586 55.96 0.3808
2023-01-25 2022-12-31 13F CATERPILLAR OM 149123101 77,585 4,953 19 0.3808
2022-11-02 2022-09-30 13F CATERPILLAR OM 149123101 72,632 -201 -0.28 11,917 -8.47 0.2545
2022-08-03 2022-06-30 13F CATERPILLAR OM 149123101 72,833 708 0.98 13,020 -18.98 0.2627
2022-05-04 2022-03-31 13F CATERPILLAR OM 149123101 72,125 -11,630 -13.89 16,071 -7.18 0.2620
2022-03-07 2021-12-31 13F CATERPILLAR OM 149123101 83,755 10,657 14.58 17,315 23.39 0.2620
2021-10-27 2021-09-30 13F CATERPILLAR COM 149123101 73,098 5,605 8.30 14,033 -4.47 0.2171
2021-08-12 2021-06-30 13F CATERPILLAR COM 149123101 67,493 -8,701 -11.42 14,689 -16.86 0.2200
2021-05-14 2021-03-31 13F CATERPILLAR COM 149123101 76,194 4,680 6.54 17,667 35.72 0.2901
2021-02-10 2020-12-31 13F CATERPILLAR COM 149123101 71,514 18 0.03 13,017 22.06 0.2335
2020-11-13 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 71,496 38 0.05 10,664 17.98 0.2099
2020-08-24 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 71,458 657 0.93 9,039 10.02 0.1943
2020-05-14 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 70,801 18,994 36.66 8,216 7.38 0.2188
2020-02-14 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 51,807 -11,252 -17.84 7,651 -3.94 0.1603
2019-10-18 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 63,059 754 1.21 7,965 -6.21 0.1752
2019-08-01 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 62,305 180 0.29 8,492 0.89 0.1923
2019-05-03 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 62,125 3,197 5.43 8,417 12.41 0.1997
2019-02-11 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 58,928 9,214 18.53 7,488 -1.23 0.2124
2018-11-14 2018-09-30 13F CATERPILLAR INC DEL COM 149123101 49,714 4,431 9.79 7,581 23.39 0.1886
2018-08-10 2018-06-30 13F CATERPILLAR INC DEL COM 149123101 45,283 666 1.49 6,144 -6.57 0.1856
2018-05-03 2018-03-31 13F CATERPILLAR INC DEL COM 149123101 44,617 3,724 9.11 6,576 2.05 0.2452
2018-02-05 2017-12-31 13F CATERPILLAR INC DEL COM 149123101 40,893 81 0.20 6,444 26.60 0.2411
2017-11-08 2017-09-30 13F CATERPILLAR INC DEL COM 149123101 40,812 1,077 2.71 5,090 19.20 0.1839
2017-08-10 2017-06-30 13F CATERPILLAR INC DEL COM 149123101 39,735 5,609 16.44 4,270 34.91 0.1465
2017-05-11 2017-03-31 13F CATERPILLAR INC DEL COM 149123101 34,126 -374 -1.08 3,165 -1.09 0.1151
2017-02-09 2016-12-31 13F CATERPILLAR INC DEL COM 149123101 34,500 304 0.89 3,200 5.40 0.1305
2016-11-30 2016-09-30 13F/A-2 CATERPILLAR INC DEL COM 149123101 34,196 -2,699 -7.32 3,036 8.54 0.1329
2016-11-10 2016-09-30 13F CATERPILLAR INC DEL COM 149123101 34,196 3,036
2016-08-05 2016-06-30 13F CATERPILLAR INC DEL COM 149123101 36,895 5,825 18.75 2,797 17.62 0.1248
2016-05-05 2016-03-31 13F CATERPILLAR INC DEL COM 149123101 31,070 5,748 22.70 2,378 38.18 0.1164
2016-02-10 2015-12-31 13F CATERPILLAR INC DEL COM 149123101 25,322 -212 -0.83 1,721 3.12 0.0863
2015-11-03 2015-09-30 13F CATERPILLAR INC DEL COM 149123101 25,534 -8,984 -26.03 1,669 -43.00 0.0869
2015-07-29 2015-06-30 13F CATERPILLAR INC DEL COM 149123101 34,518 8,310 31.71 2,928 39.63 0.1328
2015-05-06 2015-03-31 13F CATERPILLAR INC DEL COM 149123101 26,208 3,752 16.71 2,097 2.04 0.0955
2015-02-12 2014-12-31 13F CATERPILLAR INC DEL COM 149123101 22,456 864 4.00 2,055 -3.88 0.0973
2014-11-14 2014-09-30 13F CATERPILLAR INC DEL COM 149123101 21,592 246 1.15 2,138 -7.84 0.1058
2014-08-15 2014-06-30 13F CATERPILLAR INC DEL COM 149123101 21,346 2,593 13.83 2,320 24.53 0.1168
2014-05-13 2014-03-31 13F CATERPILLAR INC DEL COM 149123101 18,753 3,290 21.28 1,863 32.69 0.1015
2014-02-14 2013-12-31 13F CATERPILLAR INC DEL COM 149123101 15,463 -1,729 -10.06 1,404 -2.09 0.0697
2013-11-06 2013-09-30 13F CATERPILLAR INC DEL COM 149123101 17,192 -2,883 -14.36 1,434 -13.41 0.0773
2013-08-12 2013-06-30 13F CATERPILLAR INC DEL COM 149123101 20,075 20,075 1,656 0.0925
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.