Caterpillar Inc.
MX ˙ BMV ˙ US1491231015
SecurityMX:CAT / Caterpillar Inc.
InstitutionSmith, Salley & Associates
Latest Disclosed Ownership17,377 shares
Latest Disclosed Value $ 12,310,593
Smith, Salley & Associates reports 9.51% increase in ownership of CAT / Caterpillar Inc.

On April 16, 2026 - Smith, Salley & Associates filed a 13F-HR form disclosing ownership of 17,377 shares of Caterpillar Inc. (MX:CAT) valued at $12,310,593 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 27, 2026 disclosing 15,868 shares of Caterpillar Inc.. This represents a change in shares of 9.51% 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)
2026-04-16 2026-03-31 13F CATERPILLAR COM 149123101 17,377 1,509 9.51 12,311 35.42 0.6189
2026-01-27 2025-12-31 13F CATERPILLAR COM 149123101 15,868 605 3.96 9,090 24.83 0.4502
2025-10-20 2025-09-30 13F CATERPILLAR COM 149123101 15,263 2,204 16.88 7,283 43.66 0.3748
2025-07-17 2025-06-30 13F CATERPILLAR COM 149123101 13,059 442 3.50 5,070 21.82 0.2933
2025-04-25 2025-03-31 13F CATERPILLAR COM 149123101 12,617 4,093 48.02 4,161 34.57 0.2727
2025-01-15 2024-12-31 13F CATERPILLAR COM 149123101 8,524 -20 -0.23 3,092 -7.45 0.1986
2024-10-24 2024-09-30 13F CATERPILLAR COM 149123101 8,544 -132 -1.52 3,342 15.65 0.2185
2024-07-29 2024-06-30 13F CATERPILLAR COM 149123101 8,676 399 4.82 2,890 -4.72 0.2074
2024-05-02 2024-03-31 13F CATERPILLAR COM 149123101 8,277 -395 -4.55 3,033 18.30 0.2353
2024-01-24 2023-12-31 13F CATERPILLAR COM 149123101 8,672 -1,084 -11.11 2,564 -3.76 0.1657
2023-10-27 2023-09-30 13F CATERPILLAR COM 149123101 9,756 -105 -1.06 2,664 9.77 0.1976
2023-08-04 2023-06-30 13F CATERPILLAR COM 149123101 9,861 1,055 11.98 2,426 20.40 0.1790
2023-05-03 2023-03-31 13F CATERPILLAR COM 149123101 8,806 165 1.91 2,015 -2.66 0.1603
2023-02-03 2022-12-31 13F CATERPILLAR COM 149123101 8,641 -53 -0.61 2,070 45.16 0.1771
2022-11-01 2022-09-30 13F CATERPILLAR COM 149123101 8,694 92 1.07 1,426 -7.28 0.1327
2022-08-01 2022-06-30 13F CATERPILLAR COM 149123101 8,602 0 0.00 1,538 -19.77 0.1331
2022-05-10 2022-03-31 13F CATERPILLAR COM 149123101 8,602 -1,000 -10.41 1,917 -3.43 0.1410
2022-02-10 2021-12-31 13F CATERPILLAR COM 149123101 9,602 1,018 11.86 1,985 20.45 0.1406
2021-11-05 2021-09-30 13F CATERPILLAR COM 149123101 8,584 1 0.01 1,648 -11.78 0.1297
2021-08-09 2021-06-30 13F CATERPILLAR COM 149123101 8,583 1,039 13.77 1,868 6.80 0.1512
2021-04-30 2021-03-31 13F CATERPILLAR COM 149123101 7,544 174 2.36 1,749 30.43 0.1570
2021-01-28 2020-12-31 13F CATERPILLAR COM 149123101 7,370 6 0.08 1,341 22.13 0.1358
2020-11-05 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 7,364 1 0.01 1,098 17.94 0.1328
2020-08-04 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 7,363 -39 -0.53 931 8.38 0.1242
2020-04-24 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 7,402 0 0.00 859 -21.41 0.1429
2020-01-27 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 7,402 1 0.01 1,093 16.90 0.1441
2019-10-30 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 7,401 0 0.00 935 -7.33 0.1329
2019-07-12 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 7,401 154 2.13 1,009 2.75 0.1521
2019-05-03 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 7,247 -48 -0.66 982 5.93 0.1581
2019-02-05 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 7,295 -11 -0.15 927 -16.79 0.1706
2018-11-06 2018-09-30 13F CATERPILLAR INC DEL COM 149123101 7,306 80 1.11 1,114 13.67 0.1758
2018-08-10 2018-06-30 13F CATERPILLAR INC DEL COM 149123101 7,226 4 0.06 980 -7.89 0.1678
2018-05-09 2018-03-31 13F CATERPILLAR INC DEL COM 149123101 7,222 -69 -0.95 1,064 -7.40 0.1907
2018-02-12 2017-12-31 13F CATERPILLAR INC DEL COM 149123101 7,291 1 0.01 1,149 26.40 0.2058
2017-11-02 2017-09-30 13F CATERPILLAR INC DEL COM 149123101 7,290 150 2.10 909 18.51 0.1741
2017-07-25 2017-06-30 13F CATERPILLAR INC DEL COM 149123101 7,140 0 0.00 767 15.86 0.1542
2017-05-05 2017-03-31 13F Caterpillar COM 149123101 7,140 0 0.00 662 0.00 0.1357
2017-02-01 2016-12-31 13F Caterpillar COM 149123101 7,140 0 0.00 662 4.42 0.1378
2016-11-14 2016-09-30 13F Caterpillar COM 149123101 7,140 0 0.00 634 17.19 0.1406
2016-07-29 2016-06-30 13F Caterpillar COM 149123101 7,140 0 0.00 541 -0.92 0.1261
2016-05-10 2016-03-31 13F Caterpillar COM 149123101 7,140 -429 -5.67 546 6.23 0.1368
2016-02-10 2015-12-31 13F Caterpillar COM 149123101 7,569 -346 -4.37 514 -0.58 0.1281
2015-11-12 2015-09-30 13F Caterpillar COM 149123101 7,915 -30,828 -79.57 517 -84.27 0.1395
2015-08-11 2015-06-30 13F CATERPILLAR COM 149123101 38,743 654 1.72 3,286 7.81 0.8365
2015-05-05 2015-03-31 13F CATERPILLAR COM 149123101 38,089 38,089 -1.69 3,048 -7.24 0.7767
2015-02-04 2014-12-31 13F Caterpillar COM 149123101 0 -30,372 -100.00 0 -100.00
2014-11-12 2014-09-30 13F Caterpillar COM 149123101 30,372 874 2.96 3,007 -6.21 0.7979
2014-08-13 2014-06-30 13F CATERPILLAR COM 149123101 29,498 6,344 27.40 3,206 39.33 0.8561
2014-05-12 2014-03-31 13F Caterpillar COM 149123101 23,154 -77 -0.33 2,301 9.05 1.4382
2014-02-11 2013-12-31 13F Caterpillar COM 149123101 23,231 224 0.97 2,110 9.95 1.3767
2013-11-12 2013-09-30 13F Caterpillar COM 149123101 23,007 -186 -0.80 1,919 0.31 1.5457
2013-08-13 2013-06-30 13F Caterpillar COM 149123101 23,193 23,193 1,913 1.5388
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.