Caterpillar Inc.

The full register, from 13F filings

The Register tab above is hand research: a dozen holders, each traced to the filing it came from. This asks the same question of the whole market for the quarter ended 31-mar-2026, where 3,693 managers reported a position. Broad where the research is deep, and shallow in the ways a 13F always is.

Built from 13F filings, which report US listed, long, US custodied positions only. A register from this source is a floor rather than a level: a holder's true position can be far larger, as BlackRock's ASML stake shows at 1.28m shares in a 13F against 26.3m in its 13G/A. Holdings held through derivatives, outside US custody, or below a manager's reporting obligation do not appear. Where a holder is marked as a family, its total sums several separate filing entities and describes something no single filing describes; the constituent entities and their share counts are listed so the total can be checked. That roll-up can legitimately exceed the family's own Schedule 13G, because a 13G is filed by one legal entity: Vanguard reports Alphabet through ten advisory entities, and The Vanguard Group Inc itself reported zero after its January 2026 disaggregation.

What a reader needs to know to read these numbers

• Caterpillar does not file Form 13F. The complete EDGAR filing history (submissions JSON for CIK 0000018230, checked 17 August 2026) contains no 13F-HR, 13F-NT or any other 13F-series filing, consistent with Caterpillar not acting as an institutional investment manager on behalf of clients.
• Holdings is empty and that is the sourced finding, not a gap. The Q2 FY2026 Form 10-Q (period ended 30 June 2026, filed 5 August 2026) and the FY2025 Form 10-K (period ended 31 December 2025, filed 13 February 2026) were both searched for 'equity method', 'non-marketable', 'measurement alternative', 'investments in unconsolidated', 'joint venture', 'affiliated companies' and 'unconsolidated'. Caterpillar states an accounting policy that companies where ownership exceeds 20 percent without control, or is under 20 percent with significant influence, are equity-method accounted, and both filings report a nonzero 'Equity in profit (loss) of unconsolidated affiliated companies' line (90 and 97 million dollars for Q2 2026 three and six month periods respectively). However, neither filing names the affiliated companies, discloses a balance-sheet carrying value for the investments, or breaks the profit figure out by counterparty. Per the brief's rule against assigning a combined balance to one investee, no holding can be sized or attributed from this line, so it is recorded here as an unknown rather than a holding.
• No dealer-related, Luck Stone-style aggregates, or Lithos/NuScale-style strategic venture equity stakes were found named anywhere in the 10-K or 10-Q text search.
• A web search found that Caterpillar Venture Capital Inc. (branded 'Caterpillar Ventures') makes early-stage minority investments typically in the 2 to 10 million dollar range in private startups (autonomy, robotics, AI and analytics, energy, construction and mining tech), including a February 2026 participation in ElevenEs' Series B round. No individual round size, share count or resulting ownership percentage for Caterpillar is disclosed in any source found, and Caterpillar's own 10-K/10-Q do not itemize these positions, so none is recorded as a sized holding.
• Vanguard 13F-HR reconciliation: Vanguard filed Form 13F-NT (notice, no holdings table) for the quarters ended 31 March 2026 and 30 June 2026 under CIK 0000102909, so no Vanguard 13F-HR holdings are available for those quarters; the register uses Vanguard's last 13F-HR, for the quarter ended 31 December 2025 (46,385,185 shares). The 2026 proxy's separate 'Persons Owning More Than Five Percent' table reports Vanguard at 46,835,122 shares (10.06 percent) as of 31 December 2025 from a Schedule 13G-type source; the two December 2025 figures are close but not identical (approximately 450,000 share difference) and both are recorded here rather than reconciled to one number.
• BlackRock and State Street reconciliation: the register uses BlackRock's and State Street's own Form 13F-HR for the quarter ended 30 June 2026 (37,991,505 and 34,392,316 shares respectively). The 2026 proxy's five-percent-owner table instead reports BlackRock at 33,509,816 shares (6.6 percent) and State Street at 37,741,566 shares (7.4 percent), both as of 31 December 2025, six months older than the 13F figures used here.
• The Q2 FY2026 13F filings (BlackRock, State Street, Geode, JPMorgan, Morgan Stanley, FMR) imply a per-share price of roughly 1,033 to 1,066 dollars, consistent with Caterpillar's reported all-time high closing price of 1,062.93 dollars on 30 June 2026, the quarter end. The stock has since pulled back to 856.57 dollars at close on 14 August 2026 (source: stockanalysis.com), which is the price behind the 393.74 billion dollar market cap recorded in company.market_cap_usd.
• The insider ownership table in the 2026 DEF 14A is dated 1 January 2026 and states every individual and the 19-person group total are each below 1 percent, without stating the exact shares-outstanding denominator it used. This file computes pct_of_company for the insider rows against 460,591,983 shares, the closest disclosed total (the proxy's own 13 April 2026 annual-meeting record date count), which is a reasonable but not exact-date match; see method_note on each insider row.
• No Schedule 13D was found among Caterpillar's Schedule 13-series EDGAR filings (checked via the SEC company filing browse page for CIK 0000018230, form type 'SC 13'); all entries returned are SC 13G or SC 13G/A, i.e. passive institutional filings, consistent with no activist or control-seeking shareholder.
• Caterpillar has a single class of common stock; no dual-class or founder-control structure exists.