Caterpillar Inc.
MX ˙ BMV ˙ US1491231015
SecurityMX:CAT / Caterpillar Inc.
InstitutionRockefeller Capital Management L.P.
Latest Disclosed Ownership294,176 shares
Latest Disclosed Value $ 208,413,213
Rockefeller Capital Management L.P. reports 15.07% decrease in ownership of CAT / Caterpillar Inc.

On May 14, 2026 - Rockefeller Capital Management L.P. filed a 13F-HR form disclosing ownership of 294,176 shares of Caterpillar Inc. (MX:CAT) valued at $208,413,213 USD as of March 31, 2026. The entity filed a previous 13F-HR/A on March 16, 2026 disclosing 346,392 shares of Caterpillar Inc.. This represents a change in shares of -15.07% during the quarter.

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)
2026-05-14 2026-03-31 13F CATERPILLAR COM 149123101 294,176 -52,216 -15.07 208,413 5.03 0.1915
2026-03-16 2025-12-31 13F/A-1 CATERPILLAR COM 149123101 346,392 62,895 22.19 198,438 46.70 0.3573
2026-02-14 2025-12-31 13F CATERPILLAR COM 149123101 346,880 63,383 198,766 0.3578
2025-11-14 2025-09-30 13F CATERPILLAR COM 149123101 283,497 2,386 0.85 135,271 23.95 0.2646
2025-08-14 2025-06-30 13F/A-1 CATERPILLAR COM 149123101 281,111 -40,943 -12.71 109,131 2.75 0.2393
2025-08-08 2025-06-30 13F CATERPILLAR COM 149123101 281,111 -40,943 109,131 0.1376
2025-05-14 2025-03-31 13F CATERPILLAR COM 149123101 322,054 44,638 16.09 106,214 5.54 0.2622
2025-02-13 2024-12-31 13F CATERPILLAR COM 149123101 277,416 8,693 3.23 100,639 -4.23 0.2607
2024-11-14 2024-09-30 13F CATERPILLAR COM 149123101 268,723 -16,859 -5.90 105,083 10.43 0.2828
2024-08-12 2024-06-30 13F CATERPILLAR COM 149123101 285,582 -6,356 -2.18 95,156 -11.05 0.2705
2024-05-14 2024-03-31 13F CATERPILLAR COM 149123101 291,938 -32,743 -10.08 106,975 11.43 0.3122
2024-02-14 2023-12-31 13F CATERPILLAR COM 149123101 324,681 44,184 15.75 95,999 25.36 0.3208
2023-11-14 2023-09-30 13F CATERPILLAR COM 149123101 280,497 14,650 5.51 76,576 17.21 0.2954
2023-08-14 2023-06-30 13F CATERPILLAR COM 149123101 265,847 34,169 14.75 65,331 123,164.15 0.2531
2023-05-16 2023-03-31 13F CATERPILLAR COM 149123101 231,678 18,384 8.62 53 -99.90 0.2280
2023-03-06 2022-12-31 13F CATERPILLAR COM 149123101 213,294 8,111 3.95 51,096 51.77 0.2568
2022-11-02 2022-09-30 13F CATERPILLAR COM 149123101 205,183 15,664 8.27 33,666 -0.62 0.1740
2022-08-12 2022-06-30 13F CATERPILLAR COM 149123101 189,519 10,726 6.00 33,877 -14.96 0.1800
2022-05-13 2022-03-31 13F CATERPILLAR COM 149123101 178,793 33,185 22.79 39,838 32.34 0.1921
2022-02-14 2021-12-31 13F CATERPILLAR COM 149123101 145,608 7,031 5.07 30,102 13.16 0.1405
2021-11-12 2021-09-30 13F CATERPILLAR COM 149123101 138,577 2,730 2.01 26,602 -10.02 0.1398
2021-08-10 2021-06-30 13F CATERPILLAR COM 149123101 135,847 6,602 5.11 29,563 -1.35 0.1665
2021-05-11 2021-03-31 13F CATERPILLAR COM 149123101 129,245 10,311 8.67 29,967 38.43 0.2028
2021-02-12 2020-12-31 13F CATERPILLAR COM 149123101 118,934 14,210 13.57 21,648 38.60 0.1640
2020-11-13 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 104,724 4,703 4.70 15,619 23.45 0.1463
2020-08-12 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 100,021 8,054 8.76 12,652 18.55 0.1324
2020-05-12 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 91,967 86,389 1,548.75 10,672 1,195.15 0.1400
2020-02-07 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 5,578 1,772 46.56 824 71.31 0.0103
2019-11-12 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 3,806 1,258 49.37 481 38.62 0.0065
2019-08-09 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 2,548 -1,064 -29.46 347 -29.04 0.0048
2019-05-10 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 3,612 1,962 118.91 489 132.86 0.0070
2019-02-12 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 1,650 580 54.21 210 28.83 0.0037
2018-11-02 2018-09-30 13F Caterpillar Common 149123101 1,070 725 210.14 163 246.81 0.0025
2018-07-31 2018-06-30 13F Caterpillar Common 149123101 345 265 331.25 47 291.67 0.0008
2018-05-09 2018-03-31 13F Caterpillar Common 149123101 80 80 12 0.0002
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.