Caterpillar Inc.
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionState Street Corp
Latest Disclosed Ownership37,741,566 shares
Ownership 7.41%
State Street Corp ownership in CAT / Caterpillar Inc.

2024-01-30 - State Street Corp has filed an SC 13G/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 37,741,566 shares of Caterpillar Inc. (US:CAT). This represents 7.41 percent ownership of the company. In their previous filing dated 2023-02-09 , State Street Corp had reported owning 39,841,238 shares, indicating a decrease of -5.27 percent.

Institutional Ownership: 13D/G Filings

This table shows a history of the 13D/G filings made by the investor and/or investor group. Note that the share values in this table are not directly comparable to any numbers shown in the 13F table (if any).

File
Date		Effective
Date		Form Prev
Shares		 Latest
Shares		 ΔShares
(Percent)		 Ownership
(Percent)		 ΔOwnership
(Percent)
2024-01-30 2024-01-30 13G/A 39,841,238 37,741,566 -5.27 7.41 -3.26
2023-02-09 2023-02-09 13G/A 41,036,149 39,841,238 -2.91 7.66 0.92
2022-02-11 2022-02-11 13G/A 41,449,959 41,036,149 -1.00 7.59 -0.52
2021-02-12 2021-02-12 13G 44,787,748 41,449,959 -7.45 7.63 -5.80
2020-02-13 2020-02-13 13G 47,524,133 44,787,748 -5.76 8.10 0.00
2019-02-13 2019-02-13 13G 49,133,811 47,524,133 -3.28 8.10 -1.94
2018-02-14 2018-02-14 13G 50,718,562 49,133,811 -3.12 8.26 -4.07
2017-06-12 2017-06-12 13G/A 53,605,278 50,718,562 -5.39 8.61 -6.00
2017-02-14 2017-02-14 13G 57,584,574 53,605,278 -6.91 9.16 -7.47
2016-02-16 2016-02-16 13G 57,584,574 9.90
2015-02-11 2015-02-11 13G 59,086,900 9.80
2014-02-03 2014-02-03 13G 67,009,923 10.50
2013-02-12 2013-02-12 13G 71,291,539 10.90
2012-02-13 2012-02-13 13G 73,206,210 11.30

Important Note: One of the primary uses of the 13D/G filings is to evaluate the ability of a firm to control a company (ie, the "beneficial ownership"). To that end, firms are required to report not just direct holdings in companies, but indirect holdings that they control. For investment firms, these indirect holdings can include shares in funds they manage, advisory accounts, and in the case of activist campaigns, pledged votes. Therefore, share counts listed in 13D/G filings can differ significantly than share counts listed in 13F filings.

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)
2026-05-15 2026-03-31 13F CATERPILLAR COM 149123101 34,880,604 -507,946 -1.44 24,711,513 21.89 0.8532
2026-02-13 2025-12-31 13F CATERPILLAR COM 149123101 35,388,550 385,204 1.10 20,273,039 21.38 0.6801
2025-11-14 2025-09-30 13F CATERPILLAR COM 149123101 35,003,346 -945,671 -2.63 16,701,847 19.68 0.5792
2025-08-14 2025-06-30 13F CATERPILLAR COM 149123101 35,949,017 -213,914 -0.59 13,955,768 17.01 0.5231
2025-05-15 2025-03-31 13F CATERPILLAR COM 149123101 36,162,931 -468,378 -1.28 11,926,535 -10.25 0.4915
2025-02-14 2024-12-31 13F CATERPILLAR COM 149123101 36,631,309 246,711 0.68 13,288,377 -6.62 0.5242
2024-11-14 2024-09-30 13F CATERPILLAR COM 149123101 36,384,598 -229,521 -0.63 14,230,744 16.68 0.5790
2024-08-14 2024-06-30 13F CATERPILLAR COM 149123101 36,614,119 -778,628 -2.08 12,196,163 -10.99 0.5329
2024-05-15 2024-03-31 13F CATERPILLAR COM 149123101 37,392,747 -330,137 -0.88 13,701,824 22.85 0.6125
2024-02-14 2023-12-31 13F CATERPILLAR COM 149123101 37,722,884 98,375 0.26 11,153,525 8.59 0.5425
2023-11-14 2023-09-30 13F CATERPILLAR COM 149123101 37,624,509 -1,370,076 -3.51 10,271,491 7.05 0.5695
2023-08-14 2023-06-30 13F CATERPILLAR COM 149123101 38,994,585 21,412 0.05 9,594,618 7.58 0.5039
2023-05-15 2023-03-31 13F CATERPILLAR COM 149123101 38,973,173 -805,362 -2.02 8,918,601 -6.41 0.5033
2023-05-15 2022-12-31 13F/A-99 CATERPILLAR COM 149123101 39,778,535 -291,743 -0.73 9,529,346 44.94 0.5599
2023-05-15 2022-12-31 13F CATERPILLAR COM 149123101 39,778,535 -291,743 9,529,346 0.5599
2022-11-15 2022-09-30 13F CATERPILLAR COM 149123101 40,070,278 291,836 0.73 6,574,731 -7.54 0.4159
2022-08-15 2022-06-30 13F CATERPILLAR COM 149123101 39,778,442 -1,029,996 -2.52 7,110,794 -21.80 0.4261
2022-05-16 2022-03-31 13F CATERPILLAR COM 149123101 40,808,438 -24,796 -0.06 9,092,936 7.71 0.4497
2022-02-14 2021-12-31 13F CATERPILLAR COM 149123101 40,833,234 55,641 0.14 8,441,863 7.84 0.4003
2021-11-15 2021-09-30 13F CATERPILLAR COM 149123101 40,777,593 -264,148 -0.64 7,828,075 -12.36 0.4137
2021-08-16 2021-06-30 13F CATERPILLAR COM 149123101 41,041,741 94,780 0.23 8,931,914 -5.92 0.4708
2021-07-09 2021-03-31 13F/A-1 CATERPILLAR COM 149123101 40,946,961 -294,291 -0.71 9,494,372 26.48 0.5444
2021-05-17 2021-03-31 13F CATERPILLAR COM 149123101 40,946,961 -294,291 9,494,372 0.5445
2021-02-16 2020-12-31 13F CATERPILLAR COM 149123101 41,241,252 -1,766,690 -4.11 7,506,733 17.03 0.4596
2020-11-10 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 43,007,942 -1,129,211 -2.56 6,414,635 14.89 0.4379
2020-08-14 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 44,137,153 -381,839 -0.86 5,583,350 8.08 0.4059
2020-06-19 2020-03-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 44,518,992 -263,348 -0.59 5,165,984 -21.89 0.4518
2020-05-11 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 29,122,634 -15,659,706 3,379,390 296,778.4869
2020-02-06 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 44,782,340 -1,407,949 -3.05 6,613,456 13.35 0.4530
2019-11-14 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 46,190,289 -547,370 -1.17 5,834,295 -8.41 0.4348
2019-08-14 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 46,737,659 -394,407 -0.84 6,369,876 -0.25 0.4750
2019-05-15 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 47,132,066 -385,523 -0.81 6,385,924 5.76 0.4982
2019-02-12 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 47,517,589 307,219 0.65 6,038,060 -16.13 0.5497
2018-11-09 2018-09-30 13F CATERPILLAR Common equity shares 149123101 47,210,370 508,364 1.09 7,199,096 13.62 0.5529
2018-08-14 2018-06-30 13F CATERPILLAR Common equity shares 149123101 46,702,006 -515,699 -1.09 6,336,062 -8.95 0.5296
2018-05-15 2018-03-31 13F CATERPILLAR Common equity shares 149123101 47,217,705 -1,908,798 -3.89 6,958,947 -10.11 0.5909
2018-02-14 2017-12-31 13F CATERPILLAR Common equity shares 149123101 49,126,503 -148,038 -0.30 7,741,348 25.98 0.6225
2017-11-14 2017-09-30 13F CATERPILLAR Common equity shares 149123101 49,274,541 -1,610,345 -3.16 6,145,035 12.38 0.5302
2017-08-14 2017-06-30 13F CATERPILLAR Common equity shares 149123101 50,884,886 -1,560,829 -2.98 5,468,090 12.40 0.4837
2017-05-15 2017-03-31 13F CATERPILLAR Common equity shares 149123101 52,445,715 -1,153,642 -2.15 4,864,872 -2.13 0.4340
2017-02-09 2016-12-31 13F CATERPILLAR Common equity shares 149123101 53,599,357 -1,091,719 -2.00 4,970,801 2.39 0.4678
2017-01-13 2016-09-30 13F/A-1 CATERPILLAR Common equity shares 149123101 54,691,076 -942,748 -1.69 4,854,929 15.11 0.4893
2016-11-14 2016-09-30 13F CATERPILLAR Common equity shares 149123101 43,859,306 3,893,391
2016-08-12 2016-06-30 13F CATERPILLAR Common equity shares 149123101 55,633,824 -1,372,680 -2.41 4,217,616 -3.34 0.4531
2016-05-20 2016-03-31 13F/A-1 CATERPILLAR Common equity shares 149123101 57,006,504 -578,070 -1.00 4,363,282 11.49 0.4717
2016-05-12 2016-03-31 13F CATERPILLAR Common equity shares 149123101 57,006,504 4,363,282
2016-02-16 2015-12-31 13F CATERPILLAR Common equity shares 149123101 57,584,574 680,154 1.20 3,913,453 5.22 0.4277
2015-11-16 2015-09-30 13F CATERPILLAR Common equity shares 149123101 56,904,420 457,272 0.81 3,719,272 -22.32 0.4330
2015-08-13 2015-06-30 13F CATERPILLAR Common equity shares 149123101 56,447,148 -2,295,389 -3.91 4,787,844 1.84 0.5118
2015-05-15 2015-03-31 13F CATERPILLAR Common equity shares 149123101 58,742,537 -344,363 -0.58 4,701,154 -13.07 0.4824
2015-02-11 2014-12-31 13F CATERPILLAR Common equity shares 149123101 59,086,900 564,710 0.96 5,408,230 -6.68 0.5387
2014-11-12 2014-09-30 13F/A-1 CATERPILLAR Common equity shares 149123101 58,522,190 -126,322 -0.22 5,795,456 -9.07 0.6236
2014-11-10 2014-09-30 13F CATERPILLAR Common equity shares 149123101 58,522,190 5,795,456
2014-08-12 2014-06-30 13F CATERPILLAR Common equity shares 149123101 58,648,512 -3,351,464 -5.41 6,373,332 3.45 0.6883
2014-05-15 2014-03-31 13F/A-1 CATERPILLAR Common equity shares 149123101 61,999,976 -5,009,947 -7.48 6,160,937 1.25 0.7001
2014-05-13 2014-03-31 13F CATERPILLAR Common equity shares 149123101 61,999,976 6,160,937
2014-02-06 2013-12-31 13F/A-1 CATERPILLAR Common equity shares 149123101 67,009,923 -1,163,480 -1.71 6,085,171 7.07 0.6770
2014-02-06 2013-12-31 13F CATERPILLAR Common equity shares 149123101 71,291,539 6,386,301
2013-11-12 2013-09-30 13F CATERPILLAR Common equity shares 149123101 68,173,403 -2,644,853 -3.73 5,683,614 -2.71 0.7004
2013-08-08 2013-06-30 13F CATERPILLAR Common equity shares 149123101 70,818,256 70,818,256 5,841,791 0.7616
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.