Comparable stake leader
VANGUARD CAPITAL MANAGEMENT LLC
SEC ownership of CATERPILLAR INC
Top holders, 13D/G large-stake signals, insider positions, and transaction flow tied to CIK 0000018230.
Disclosed value leader
BlackRock, Inc.
Comparable rows
50/50
Latest evidence
01 Aug 2026
- Public ticker
- CAT on NYSE
- Parsed ownership sources
-
13F, 13D/G, and 3/4/5
Source: Parsed SEC ownership filingsUse: Compare filing families carefully
- Largest SEC-reported holder
-
VANGUARD CAPITAL MANAGEMENT LLC
Ranking: Comparable ownership first, then disclosed value
- Comparable ownership rows
-
50 of 50
Meaning: Rows with safely comparable ownership %
- Latest 13D/G holder
-
VANGUARD CAPITAL MANAGEMENT LLC
Source: Latest parsed Schedule 13D/G stake
- Latest parsed ownership date
-
01 Aug 2026
Freshness: Most recent filing date in this holder set
- Issuer CIK
- 0000018230
- Issuer location
- Irving, TX
Ownership snapshot
CIK-linked ownership evidence from parsed SEC filings.
3 signals
Issuer
Names, identifiers, and filing context for this profile.
2 identity fields
Ownership snapshot
Top shareholders of CATERPILLAR INC (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.
Comparable stake leader
VANGUARD CAPITAL MANAGEME...
Disclosed value leader
BlackRock, Inc.
Comparable rows
50/50
Latest evidence
01 Aug 2026
13F
13D/G
3/4/5
Lead comparable stake: 7.5%
13D/G row: VANGUARD CAPITAL MANAGEMENT LLC
Showing 1-8 of 50 holder rows.
Quick read
VANGUARD CAPITAL MANAGEMENT LLC leads the comparable SEC ownership view at 7.5%.
50 of 50 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.
Open SEC evidence
Opens VANGUARD CAPITAL MANAGEMENT LLC's linked filing trail.
Comparable ownership
Top 5
VANGUARD CAPITAL MANAGEMENT LLC
7.5%
Donald J. Umpleby III
0.12%
Denise C. Johnson
0.01%
Anthony D. Fassino
0.01%
Debra L. Reed
0%
Ownership % is shown only when SEC disclosures are safely comparable across share classes.
Detailed SEC evidence table Showing 1-8 of 50 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| VANGUARD CAPITAL MANAGEMENT LLC |
13F
13D/G
Company · Vanguard Capital Management
|
7.5%
from 13D/G
|
$32,029,810,884
30,077,764 shares
|
— | 30 Jun 2026 |
| Donald J. Umpleby III |
3/4/5
Executive Chairman
|
0.12%
|
$424,845,620
560,268 shares
|
-$23,703,810 | 04 Mar 2026 |
| Denise C. Johnson |
3/4/5
Group President
|
0.01%
|
$45,436,414
49,825 shares
|
-$43,737,211 | 14 May 2026 |
| Anthony D. Fassino |
3/4/5
Group President
|
0.01%
|
$50,662,206
47,549 shares
mixed-class rows
|
-$45,820,017 | 11 May 2026 |
| Debra L. Reed |
3/4/5
Director
|
0%
|
$9,354,505
13,204 shares
|
— | 10 Jun 2026 |
| Rodney Michael Shurman |
3/4/5
Group President
|
0%
|
$8,538,115
9,329 shares
mixed-class rows
|
-$8,170,018 | 05 May 2026 |
| Rayford Wilkins Jr. |
3/4/5
Director
|
0%
|
$5,962,399
8,416 shares
|
— | 10 Jun 2026 |
| James C. Fish Jr. |
3/4/5
Director
|
0%
|
$2,966,322
4,187 shares
|
— | 10 Jun 2026 |
How to read this table
Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
Forms 3/4/5 flow
Insider trading overview
Net insider flow leans to selling over the last 12 months. Net value: -$241,524,625.
Buys
$389,868
Insiders: 1
Sells
$241,914,493
Insiders: 9
Net
-$241,524,625
Shares: -341,599
Window
Last 12 months
4 rolling buckets
Buy value
Sell value
Shares: 550
Shares: 342,149
| Window (months) | Buy shares | Sell shares | Buy value | Sell value | Net value |
|---|---|---|---|---|---|
| 0-3 | 0 | 0 | $0 | $0 | $0 |
| 3-6 | 250 | 98,273 | $219,210 | $89,439,961 | -$89,220,751 |
| 6-9 | 0 | 157,647 | $0 | $109,151,389 | -$109,151,389 |
| 9-12 | 300 | 86,229 | $170,658 | $43,323,143 | -$43,152,485 |
Reporting owners
Insider holders from Forms 3/4/5
Showing 1-20 of 29 reporting-owner rows connected to CATERPILLAR INC. Open a relationship link for the CIK-to-CIK filing trail.
Rows
29
Largest Forms 3/4/5 holder
Donald J. Umpleby III
Net 12M change
-$241,524,626
Latest report
26 Aug 2026
| Name | Relationship | Holdings Value | Past Year Net Change | Change % | Valuation | Report Date |
|---|---|---|---|---|---|---|
| Donald J. Umpleby III | Executive Chairman | $424,845,620 | -$23,703,810 | -5.3% | Mixed | 04 Mar 2026 |
| Bob de Lange | Group President | $86,617,596 | -$78,736,428 | -48% | Mixed | 06 May 2026 |
| Andrew R. J. Bonfield | CFO Emeritus | $51,592,049 | -$25,864,898 | -33% | Mixed | 06 May 2026 |
| Anthony D. Fassino | Group President | $50,662,206 | -$45,820,017 | -47% | Mixed | 11 May 2026 |
| Denise C. Johnson | Group President | $45,436,414 | -$43,737,211 | -49% | Filing P/S | 14 May 2026 |
| Joseph E. Creed | Chief Executive Officer | $41,084,269 | -$1,797,317 | -4.2% | Mixed | 26 Aug 2026 |
| Kyle J. Epley | Chief Financial Officer | $14,800,437 | Mixed | 26 Aug 2026 | ||
| Edward B. Rust Jr. | Director | $13,585,367 | Mixed | 08 Jun 2022 | ||
| Susan C. Schwab | Director | $11,359,259 | Mixed | 10 Jun 2026 | ||
| Jason E. Kaiser | Group President | $9,897,315 | -$12,329,169 | -55% | Mixed | 26 Aug 2026 |
| Debra L. Reed | Director | $9,354,505 | Mixed | 10 Jun 2026 | ||
| Rodney Michael Shurman | Group President | $8,538,115 | -$8,170,018 | -49% | Mixed | 05 May 2026 |
| David L. Calhoun | Director | $7,877,227 | Mixed | 28 Mar 2024 | ||
| Derek Owens | Chief Legal Officer | $7,297,068 | Mixed | 04 Mar 2026 | ||
| Daniel M. Dickinson | Director | $6,621,231 | Mixed | 05 Dec 2024 | ||
| David W. MacLennan | Director | $6,206,363 | +$389,868 | +6.7% | Mixed | 30 Jun 2026 |
| Rayford Wilkins Jr. | Director | $5,962,399 | Mixed | 10 Jun 2026 | ||
| Cheryl H. Johnson | Chief Human Resources Officer | $5,874,674 | Mixed | 04 Mar 2025 | ||
| Suzette M. Long | CLO/General Counsel | $4,007,199 | Mixed | 07 Jun 2023 | ||
| James C. Fish Jr. | Director | $2,966,322 | Mixed | 10 Jun 2026 |
Recent insider transactions for CATERPILLAR INC
Showing up to 300 recent insider transactions from the last 12 months.
| Insider | Symbol | Class | Transaction | % | SEC-reported value | SEC-reported price | Shares | Shares owned | Date | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|
| Kyle J. Epley | CAT | Phantom Stock Units | Award | 0.31% | 18 | 5,869 | 26 Aug 2026 | Direct | ||
| Jason E. Kaiser | CAT | Phantom Stock Units | Award | 0.2% | 11 | 5,476 | 26 Aug 2026 | Direct | ||
| Joseph E. Creed | CAT | Phantom Stock Units | Award | 0.17% | 19 | 11,291 | 26 Aug 2026 | Direct | ||
| Kyle J. Epley | CAT | Phantom Stock Units | Award | 0.2% | 12 | 5,961 | 24 Jul 2026 | Direct | ||
| Jason E. Kaiser | CAT | Phantom Stock Units | Award | 0.18% | 10 | 5,567 | 24 Jul 2026 | Direct | ||
| Joseph E. Creed | CAT | Phantom Stock Units | Award | 0.16% | 18 | 11,483 | 24 Jul 2026 | Direct | ||
| David MacLennan | CAT | Phantom Stock Units | Award | 4.85% | 22 | 476 | 30 Jun 2026 | Direct | ||
| Jason E. Kaiser | CAT | Phantom Stock Units | Award | 0.09% | 5 | 5,831 | 26 Jun 2026 | Direct | ||
| Joseph E. Creed | CAT | Phantom Stock Units | Award | 0.13% | 16 | 12,028 | 26 Jun 2026 | Direct | ||
| Kyle J. Epley | CAT | Phantom Stock Units | Award | 0.1% | 6 | 6,242 | 26 Jun 2026 | Direct | ||
| Rayford Wilkins Jr. | CAT | Common Stock | Award | 2.57% | 211 | 8,416 | 10 Jun 2026 | Direct | ||
| Susan C. Schwab | CAT | Common Stock | Award | 3.52% | 211 | 6,197 | 10 Jun 2026 | Direct | ||
| Debra L. Reed | CAT | Common Stock | Award | 1.62% | 211 | 13,204 | 10 Jun 2026 | Direct | ||
| Judith Fran Marks | CAT | Common Stock | Award | 12.2% | 211 | 1,938 | 10 Jun 2026 | Direct | ||
| David MacLennan | CAT | Common Stock | Award | 2.57% | 211 | 8,420 | 10 Jun 2026 | Direct | ||
| Nazzic S. Keene | CAT | Common Stock | Award | 40.8% | 211 | 728 | 10 Jun 2026 | Direct | ||
| Gerald Johnson | CAT | Common Stock | Award | 5.71% | 211 | 3,907 | 10 Jun 2026 | Direct | ||
| James C. Fish Jr. | CAT | Common Stock | Award | 6.07% | 211 | 3,687 | 10 Jun 2026 | Direct | ||
| Joseph E. Creed | CAT | Phantom Stock Units | Award | 0.16% | 18 | 11,001 | 26 May 2026 | Direct | ||
| Kyle J. Epley | CAT | Phantom Stock Units | Award | 0.11% | 6 | 5,711 | 26 May 2026 | Direct | ||
| Denise C. Johnson | CAT | Common Stock | Sale | -20.2% | $11,444,170 | $907.91 | -12,605 | 49,825 | 14 May 2026 | Direct |
| Denise C. Johnson | CAT | Common Stock | Tax liability | -5.27% | -3,473 | 62,430 | 14 May 2026 | Direct | ||
| Denise C. Johnson | CAT | Common Stock | Options Exercise | 32.3% | 16,078 | 65,903 | 14 May 2026 | Direct | ||
| Denise C. Johnson | CAT | Employee Stock Options | Options Exercise | -100% | -16,078 | 0 | 14 May 2026 | Direct | ||
| Denise C. Johnson | CAT | Common Stock | Sale | -11.1% | $5,637,081 | $909.79 | -6,196 | 49,825 | 13 May 2026 | Direct |
| Denise C. Johnson | CAT | Common Stock | Tax liability | -2.95% | -1,704 | 56,021 | 13 May 2026 | Direct | ||
| Denise C. Johnson | CAT | Common Stock | Options Exercise | 15.9% | 7,900 | 57,725 | 13 May 2026 | Direct | ||
| Denise C. Johnson | CAT | Employee Stock Options | Options Exercise | -33% | -7,900 | 16,078 | 13 May 2026 | Direct | ||
| William E. Schaupp | CAT | Common Stock | Sale | -40.4% | $326,160 | $906.00 | -360 | 530 | 13 May 2026 | Direct |
| Joseph E. Creed | CAT | Common Stock | Tax liability | -1.64% | -574 | 34,507 | 11 May 2026 | Direct | ||
| Christine M. Pambianchi | CAT | Common Stock | Tax liability | -6.77% | -224 | 3,083 | 11 May 2026 | Direct | ||
| Anthony D. Fassino | CAT | Common Stock | Sale | -26.1% | $14,928,266 | $916.80 | -16,283 | 46,041 | 11 May 2026 | Direct |
| Anthony D. Fassino | CAT | Common Stock | Tax liability | -7.59% | -5,120 | 62,324 | 11 May 2026 | Direct | ||
| Anthony D. Fassino | CAT | Common Stock | Options Exercise | 46.5% | 21,403 | 67,444 | 11 May 2026 | Direct | ||
| Anthony D. Fassino | CAT | Employee Stock Options | Options Exercise | -100% | -21,403 | 0 | 11 May 2026 | Direct | ||
| Kyle J. Epley | CAT | Common Stock | Award | 3% | 515 | 17,705 | 08 May 2026 | Direct | ||
| Kyle J. Epley | CAT | Employee Stock Options | Award | 1,394 | 1,394 | 08 May 2026 | Direct | |||
| Bob de Lange | CAT | Common Stock | Sale | -22% | $22,354,978 | $922.92 | -24,222 | 86,029 | 06 May 2026 | Direct |
| Bob de Lange | CAT | Common Stock | Tax liability | -3.4% | -3,883 | 110,251 | 06 May 2026 | Direct | ||
| Bob de Lange | CAT | Common Stock | Options Exercise | 32.7% | 28,105 | 114,134 | 06 May 2026 | Direct | ||
| Bob de Lange | CAT | Employee Stock Options | Options Exercise | -50% | -28,105 | 28,105 | 06 May 2026 | Direct | ||
| Anthony D. Fassino | CAT | Common Stock | Sale | -16.6% | $8,477,067 | $926.25 | -9,152 | 46,041 | 06 May 2026 | Direct |
| Anthony D. Fassino | CAT | Common Stock | Tax liability | -4.91% | -2,848 | 55,193 | 06 May 2026 | Direct | ||
| Anthony D. Fassino | CAT | Common Stock | Options Exercise | 26.1% | 12,000 | 58,041 | 06 May 2026 | Direct | ||
| Anthony D. Fassino | CAT | Employee Stock Options | Options Exercise | -35.9% | -12,000 | 21,403 | 06 May 2026 | Direct | ||
| Andrew R. J. Bonfield | CAT | Common Stock | Sale | -22.8% | $14,399,861 | $918.71 | -15,674 | 52,935 | 06 May 2026 | Direct |
| Andrew R. J. Bonfield | CAT | Common Stock | Tax liability | -9.71% | -7,380 | 68,609 | 06 May 2026 | Direct | ||
| Andrew R. J. Bonfield | CAT | Common Stock | Options Exercise | 43.6% | 23,054 | 75,989 | 06 May 2026 | Direct | ||
| Andrew R. J. Bonfield | CAT | Employee Stock Options | Options Exercise | -100% | -23,054 | 0 | 06 May 2026 | Direct | ||
| Jason Kaiser | CAT | Common Stock | Gift | -3.06% | -294 | 9,300 | 06 May 2026 | Direct |
* marks a reported price that did not pass the local price check.