Caterpillar Inc.
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionSigma Planning Corp
Latest Disclosed Ownership22,456 shares
Latest Disclosed Value $ 15,909,034
Sigma Planning Corp reports 9.49% decrease in ownership of CAT / Caterpillar Inc.

On May 4, 2026 - Sigma Planning Corp filed a 13F-HR form disclosing ownership of 22,456 shares of Caterpillar Inc. (US:CAT) valued at $15,909,178 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 30, 2026 disclosing 24,811 shares of Caterpillar Inc.. This represents a change in shares of -9.49% during the quarter. The current value of the position is $20,798,298 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)
2026-05-04 2026-03-31 13F CATERPILLAR COM 149123101 22,456 -2,355 -9.49 15,909 11.66 0.4419
2026-01-30 2025-12-31 13F CATERPILLAR COM 149123101 24,811 3,858 18.41 14,248 42.52 0.3933
2025-11-10 2025-09-30 13F CATERPILLAR COM 149123101 20,953 -694 -3.21 9,997 18.97 0.2842
2025-08-05 2025-06-30 13F CATERPILLAR COM 149123101 21,647 -3,268 -13.12 8,404 2.28 0.2527
2025-05-02 2025-03-31 13F CATERPILLAR COM 149123101 24,915 -1,438 -5.46 8,217 -14.05 0.2620
2025-02-03 2024-12-31 13F CATERPILLAR COM 149123101 26,353 1,508 6.07 9,560 -1.63 0.3002
2024-11-04 2024-09-30 13F CATERPILLAR COM 149123101 24,845 -495 -1.95 9,718 15.13 0.2977
2024-08-06 2024-06-30 13F CATERPILLAR COM 149123101 25,340 -1,135 -4.29 8,441 -13.00 0.2675
2024-05-02 2024-03-31 13F CATERPILLAR COM 149123101 26,475 12,828 94.00 9,702 140.48 0.3049
2024-02-01 2023-12-31 13F CATERPILLAR COM 149123101 13,647 -17,509 -56.20 4,035 -52.57 0.3157
2023-11-06 2023-09-30 13F CATERPILLAR COM 149123101 31,156 3,208 11.48 8,506 23.69 0.3188
2023-08-02 2023-06-30 13F CATERPILLAR COM 149123101 27,948 -3,159 -10.16 6,877 -3.40 0.2469
2023-05-08 2023-03-31 13F CATERPILLAR COM 149123101 31,107 6,859 28.29 7,119 22.56 0.2366
2023-01-24 2022-12-31 13F CATERPILLAR COM 149123101 24,248 -7,433 -23.46 5,809 11.74 0.2077
2022-11-10 2022-09-30 13F CATERPILLAR COM 149123101 31,681 -946 -2.90 5,198 -10.87 0.1981
2022-08-11 2022-06-30 13F CATERPILLAR COM 149123101 32,627 -575 -1.73 5,832 -21.17 0.2027
2022-04-20 2022-03-31 13F CATERPILLAR COM 149123101 33,202 -4,000 -10.75 7,398 -3.81 0.2216
2022-02-02 2021-12-31 13F CATERPILLAR INC COM Stock 149123101 37,202 -5,371 -12.62 7,691 -5.90 0.2144
2021-10-28 2021-09-30 13F CATERPILLAR COM 149123101 42,573 1,516 3.69 8,173 -8.53 0.2458
2021-08-13 2021-06-30 13F CATERPILLAR INC COM Stock 149123101 41,057 9,635 30.66 8,935 22.63 0.2663
2021-05-06 2021-03-31 13F CATERPILLAR INC COM Stock 149123101 31,422 315 1.01 7,286 28.68 0.2328
2021-02-09 2020-12-31 13F CATERPILLAR COM 149123101 31,107 -1,995 -6.03 5,662 14.69 0.1926
2020-11-03 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 33,102 -2,815 -7.84 4,937 8.65 0.1954
2020-07-31 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 35,917 2,880 8.72 4,544 18.52 0.1994
2020-05-01 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 33,037 -1,407 -4.08 3,834 -24.63 0.2276
2020-02-03 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 34,444 -557 -1.59 5,087 15.06 0.2146
2019-11-01 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 35,001 687 2.00 4,421 -5.47 0.2122
2019-08-01 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 34,314 2,592 8.17 4,677 8.82 0.2410
2019-05-01 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 31,722 129 0.41 4,298 7.05 0.2440
2019-01-31 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 31,593 4,284 15.69 4,015 -3.58 0.2920
2018-11-07 2018-09-30 13F CATERPILLAR INC DEL COM 149123101 27,309 2,921 11.98 4,164 25.84 0.2448
2018-08-02 2018-06-30 13F CATERPILLAR INC DEL COM 149123101 24,388 398 1.66 3,309 -6.42 0.2215
2018-05-11 2018-03-31 13F CATERPILLAR INC DEL COM 149123101 23,990 3,018 14.39 3,536 6.99 0.2585
2018-02-07 2017-12-31 13F CATERPILLAR INC DEL COM 149123101 20,972 1,723 8.95 3,305 37.65 0.2546
2017-11-06 2017-09-30 13F CATERPILLAR INC DEL COM 149123101 19,249 3,165 19.68 2,401 38.95 0.1980
2017-08-02 2017-06-30 13F CATERPILLAR INC DEL COM 149123101 16,084 -6,306 -28.16 1,728 -16.80 0.1624
2017-04-24 2017-03-31 13F CATERPILLAR INC DEL COM 149123101 22,390 -70 -0.31 2,077 -0.29 0.2011
2017-01-23 2016-12-31 13F CATERPILLAR INC DEL COM 149123101 22,460 4,518 25.18 2,083 30.76 0.2277
2016-11-07 2016-09-30 13F CATERPILLAR INC DEL COM 149123101 17,942 -602 -3.25 1,593 13.30 0.1889
2016-07-22 2016-06-30 13F CATERPILLAR INC DEL COM 149123101 18,544 118 0.64 1,406 -0.28 0.1833
2016-04-18 2016-03-31 13F CATERPILLAR INC DEL COM 149123101 18,426 -1,560 -7.81 1,410 3.83 0.1927
2016-01-20 2015-12-31 13F CATERPILLAR INC DEL COM 149123101 19,986 -1,845 -8.45 1,358 -4.84 0.1901
2015-11-02 2015-09-30 13F CATERPILLAR INC DEL COM 149123101 21,831 -1,201 -5.21 1,427 -26.97 0.2261
2015-07-14 2015-06-30 13F CATERPILLAR INC DEL COM 149123101 23,032 -983 -4.09 1,954 1.66 0.2697
2015-04-23 2015-03-31 13F CATERPILLAR INC DEL COM 149123101 24,015 5,287 28.23 1,922 12.14 0.2546
2015-02-13 2014-12-31 13F CATERPILLAR INC DEL COM 149123101 18,728 18,728 1,714 0.2266
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.