Caterpillar (CAT): ARK Investment Management reduced its stake -24K shares

32K

Shares reported · -24K vs prior quarter

0.15%

Disclosed portfolio weight

$26M

Reported value

Holdings as of

Sep 30, 2026

Filed

Nov 13, 2026

The story around this disclosure

Every dated public record OQRO holds about the company from 60 days before to 120 days after, oldest first. It shows what was going on; none of it is a stated reason for the trade.

1. Jan 12, 2026Federal contract · $6.5M obligatedDepartment of Defense awarded Caterpillar: $6.5M obligated to date
2. Jan 15, 2026Federal contract · $14.6M obligatedDepartment of Defense awarded Caterpillar: $14.6M obligated to date
3. Mar 20, 2026Federal contract · $25.3M obligatedDepartment of Defense awarded Caterpillar: $25.3M obligated to date
4. Sep 28, 2026CongressDisclosed purchase of CAT — reported range $1,001 - $15,000
5. Oct 14, 2026Company filing · Form 8-K · Executive change, Other newsChanged a top executive or board member, and reported other company news“On October 15, 2026, Caterpillar Inc. (the “Company”) announced that Denise C. Johnson is transitioning from her position as group president of Resource Industries, effective as of November 1, 2026.”
6. Oct 29, 2026Company filing · Form 8-K · Results, Reg FDReported its results, and shared information with investors
7. Nov 2, 2026Insider · Their first buy on recordDirector purchased ~$620K of CAT shares in the open market
8. Nov 12, 2026InsiderDirector purchased ~$209K of CAT shares in the open market

How to read SEC Form 13F-HR

Form 13F is the quarterly report in which investment managers that oversee $100 million or more list the US-listed stocks and some other securities they held on the last day of the quarter.

Full guide: What is an SEC Form 13F?

What else is on file for Caterpillar

For Caterpillar, OQRO holds 17 insider filings (SEC Form 4 or Form 144), 1 Congress trade report, 5 fund holdings reports (13F) and 4 federal contract awards dated in the last 90 days.

These are records OQRO holds, counted by their date, not a measure of how much trading took place. Routine paperwork such as option exercises and tax withholding is left out. Everything for the company is on its CAT page.

How this filing works

• SEC Form 13F

Other disclosures at Caterpillar

• SEC Form 4Nov 13, 2026
• SEC Form 4Nov 3, 2026
• USAspending.gov award recordNov 2, 2026
• USAspending.gov award recordNov 2, 2026
• USAspending.gov award recordNov 2, 2026
• House Clerk periodic transaction reportOct 12, 2026

Everything OQRO holds on this company is on its CAT page.