Public ownership evidence

Caterpillar Inc. (CAT) Ownership Disclosures

Read CAT insider transactions, institutional 13F filings and Congressional disclosures with report dates, public availability and original receipts.

As of 2026-10-10T12:08:28.848Z

Separate the three disclosure sources

Step 1 of 3

Recent Form 4 activity

Caterpillar Inc.: source evidence dated 2026-10-10T12:08:28.848Z.

Available
2026-10-01
Trade date
2026-09-30
Reporting owners
GOOD LYNN J
Code
A
Shares
30
Reported value
Not reported
What you should see

The displayed owner or issuer and source fields identify the receipt to verify; keep reporting and availability dates separate.

Step 2 of 3

Is this an insider transaction, 13F holding, or Congressional event?

Each source has different dates and units. Raw ticker-matched receipts, including amendments, are not deduplicated current ownership totals.

SEC 0001104659-26-112893
What you should see

Follow the source receipt or manager/member profile. Avoid combining transaction value and 13F position value into an ownership percentage.

Step 3 of 3

Read CAT fundamentals

Follow the source receipt or manager/member profile. Avoid combining transaction value and 13F position value into an ownership percentage.

Read CAT fundamentals
What you should see

Keep reporting dates and units beside the answer, and inspect its original citations.

Recent Form 4 activity

See the complete recent form 4 activity

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2026-10-012026-09-30GOOD LYNN JA30Not reported
2026-10-012026-09-30MacLennan DavidA28Not reported
2026-09-282026-09-25Kaiser JasonA11Not reported
2026-09-282026-09-25Epley Kyle JosephA7Not reported
2026-09-282026-09-25Epley Kyle JosephA11Not reported
2026-09-282026-09-25Creed Joseph EA19Not reported
2026-09-022026-08-28Creed Joseph ES4,831Not reported
2026-09-022026-08-28Creed Joseph ES1,280Not reported
2026-09-022026-08-28Creed Joseph ES5,035Not reported
2026-09-022026-08-28Creed Joseph ES3,041Not reported
2026-09-022026-08-28Creed Joseph ES2,137Not reported
2026-09-022026-08-28Creed Joseph ES2,639Not reported
2026-09-022026-08-28Creed Joseph ES6,135Not reported
2026-09-022026-08-28Creed Joseph ES3,382Not reported
2026-09-022026-08-28Creed Joseph ES1,351Not reported
2026-09-022026-08-28Creed Joseph ES520Not reported
2026-09-022026-08-28Creed Joseph ES750Not reported
2026-09-022026-08-28Creed Joseph ES280Not reported
2026-09-022026-08-28Creed Joseph ES540Not reported
2026-09-022026-08-28Creed Joseph ES480Not reported
2026-08-282026-08-26Epley Kyle JosephA7Not reported
2026-08-282026-08-26Epley Kyle JosephA11Not reported
2026-08-282026-08-26Kaiser JasonA11Not reported
2026-08-282026-08-26Creed Joseph EA19Not reported
2026-07-282026-07-24Epley Kyle JosephA7Not reported
2026-07-282026-07-24Epley Kyle JosephA5Not reported
2026-07-282026-07-24Kaiser JasonA10Not reported
2026-07-282026-07-24Creed Joseph EA18Not reported

90-day public availability window, up to 50 records.

Recent institutional filing receipts

These are raw ticker-matched positions in recent 13F receipts, including amendments. They are not deduplicated current ownership totals. Open the manager profile to inspect its effective filing book.

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Alternative Investment Advisors, LLC.2026-06-302026-09-01606$645,559None
Cornerstone Financial Management LLC2026-06-302026-08-2995$101,166None
Cornerstone Financial Management LLC2026-03-312026-08-2960$42,508None
Cornerstone Financial Management LLC2025-12-312026-08-2955$31,508None
NWM ADVISORS, LLC2026-06-302026-08-29401$427,025None
B. Riley Wealth Advisors, Inc.2025-03-312026-08-29400$131,920Call
B. Riley Wealth Advisors, Inc.2025-03-312026-08-2926,167$8,629,870None
Advisors Asset Management, Inc.2021-12-312026-08-2852,418$10,836,897None
Advisors Asset Management, Inc.2022-12-312026-08-2839,350$9,426,686None
Advisors Asset Management, Inc.2020-06-302026-08-28140,496$17,772,744None
Advisors Asset Management, Inc.2022-06-302026-08-2855,358$9,896,000None
Advisors Asset Management, Inc.2021-09-302026-08-2848,753$9,359,000None
Corient Private Wealth LP2026-06-302026-08-28496,102$528,298,760None
Corient Private Wealth LP2026-06-302026-08-289,757$10,389,796None
SHEPHERD WEALTH MANAGEMENT Ltd LIABILITY Co2026-06-302026-08-281,485$1,244,962None
Redwood Investment Management, LLC2025-03-312026-08-284,198$1,384,000None
TUCKER ASSET MANAGEMENT LLC2026-06-302026-08-28416$442,998None
TUCKER ASSET MANAGEMENT LLC2026-03-312026-08-28397$281,259None
BOSTON RESEARCH & MANAGEMENT INC2025-12-312026-08-283,502$2,006,191None
Wellington Grp LLC2026-06-302026-08-271,822$1,940,248None
Legacy Edge Advisors, LLC2025-09-302026-08-27937$447,090None
HORAN Wealth, LLC2026-06-302026-08-271,535$1,634,544None
Principia Wealth Advisory, LLC2026-06-302026-08-2738$40,466None
Principia Wealth Advisory, LLC2026-03-312026-08-2734$24,088None
Advisors Asset Management, Inc.2024-03-312026-08-2720,974$7,685,503None
Advisors Asset Management, Inc.2025-03-312026-08-2710,584$3,490,603None
Advisors Asset Management, Inc.2022-09-302026-08-2745,002$7,384,000None
Advisors Asset Management, Inc.2020-12-312026-08-2780,421$14,638,000None
Advisors Asset Management, Inc.2022-03-312026-08-2750,936$11,349,560None
Advisors Asset Management, Inc.2023-06-302026-08-2729,161$7,175,064None
Advisors Asset Management, Inc.2023-09-302026-08-2722,343$6,099,639None
Advisors Asset Management, Inc.2023-03-312026-08-2735,928$8,221,764None
Advisors Asset Management, Inc.2021-03-312026-08-2786,617$20,083,884None
Advisors Asset Management, Inc.2021-06-302026-08-2752,910$11,515,000None
Advisors Asset Management, Inc.2020-09-302026-08-27112,283$16,747,009None
Advisors Asset Management, Inc.2025-09-302026-08-277,249$3,458,860None
Advisors Asset Management, Inc.2023-12-312026-08-2722,335$6,603,789None
WILLIAM JOHN SEMPOLINSKI2026-03-312026-08-271,830$1,296,482None
WILLIAM JOHN SEMPOLINSKI2025-12-312026-08-271,630$933,778None
Dakota Wealth Management2025-09-302026-08-2764,046$30,559,583None
Dakota Wealth Management2025-12-312026-08-2759,590$34,137,134None
Dakota Wealth Management2026-03-312026-08-2756,708$40,175,049None
Redwood Investment Management, LLC2025-06-302026-08-273,741$1,452,000None
BOSTON RESEARCH & MANAGEMENT INC2026-03-312026-08-273,502$2,481,027None
Advus Financial Partners, LLC2026-06-302026-08-261,111$1,183,104None
Advus Financial Partners, LLC2026-03-312026-08-261,115$789,933None
Advus Financial Partners, LLC2025-12-312026-08-261,115$638,750None
Advus Financial Partners, LLC2025-09-302026-08-261,256$599,300None
Advus Financial Partners, LLC2025-06-302026-08-261,282$497,685None
Advus Financial Partners, LLC2025-03-312026-08-261,244$410,271None

90-day public filing window, up to 50 source positions.

Alternative Investment Advisors, LLC. ↗Cornerstone Financial Management LLC ↗Cornerstone Financial Management LLC ↗Cornerstone Financial Management LLC ↗NWM ADVISORS, LLC ↗B. Riley Wealth Advisors, Inc. ↗B. Riley Wealth Advisors, Inc. ↗Advisors Asset Management, Inc. ↗Advisors Asset Management, Inc. ↗Advisors Asset Management, Inc. ↗

Recent Congressional disclosures

No matching Congressional transactions were returned in this source preview.

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No records are available for this view.

Bounded public source preview, up to 25 disclosed events.

How to read the disclosure dates

The tables report different things: insider transactions, institutional positions and Congressional transaction ranges. Read each table with its source dates and units. They cannot be added into a combined ownership percentage.

  1. Company insiders

    SEC Form 4 purchases, sales and awards report transactions and their public filing availability.

  2. Institutional managers

    13F reports disclose delayed quarter-end positions. They are not a record of trades between quarters.

  3. Congressional filers

    Periodic transaction reports disclose transaction dates and amount brackets. Public filing dates determine what researchers could know.

Institutional source directory ↗Congressional source directory ↗

Read the transaction codes

Awards use transaction code A, purchases P and sales S. An acquisition from an award is not the same as an open-market purchase. Joint filers may share a transaction. Use original receipts and availability dates to interpret the events.

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