캐터필러 주식회사
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionNEXT Financial Group, Inc
Latest Disclosed Ownership8,769 shares
Latest Disclosed Value $ 1,813,000
NEXT Financial Group, Inc reports 2.95% decrease in ownership of CAT / Caterpillar Inc.

On February 15, 2022 - NEXT Financial Group, Inc filed a 13F-HR form disclosing ownership of 8,769 shares of Caterpillar Inc. (US:CAT) valued at $1,812,903 USD as of December 31, 2021. The entity filed a previous 13F-HR on October 15, 2021 disclosing 9,036 shares of Caterpillar Inc.. This represents a change in shares of -2.95% during the quarter. The current value of the position is $7,929,631 USD.

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)
2022-02-15 2021-12-31 13F CATERPILLAR COM 149123101 8,769 -267 -2.95 1,813 4.50 0.1192
2021-10-15 2021-09-30 13F CATERPILLAR COM 149123101 9,036 -1,049 -10.40 1,735 -20.96 0.1354
2021-07-13 2021-06-30 13F CATERPILLAR COM 149123101 10,085 700 7.46 2,195 0.87 0.1758
2021-04-16 2021-03-31 13F CATERPILLAR COM 149123101 9,385 214 2.33 2,176 30.30 0.1932
2021-02-05 2020-12-31 13F CATERPILLAR COM 149123101 9,171 547 6.34 1,670 29.86 0.1600
2020-10-22 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 8,624 1,745 25.37 1,286 47.82 0.1384
2020-07-24 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 6,879 -2,877 -29.49 870 -23.14 0.1015
2020-04-27 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 9,756 1,448 17.43 1,132 -7.74 0.1459
2020-01-21 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 8,308 -175 -2.06 1,227 14.57 0.1266
2019-10-17 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 8,483 617 7.84 1,071 -0.09 0.1163
2019-07-16 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 7,866 4,504 133.97 1,072 135.60 0.1148
2019-07-16 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 3,362 -4,020 -54.46 455 -51.49 0.1153
2019-02-11 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 7,382 2,647 55.90 938 29.92 0.1950
2018-10-09 2018-09-30 13F CATERPILLAR INC DEL COM 149123101 4,735 -523 -9.95 722 1.26 0.3349
2018-08-10 2018-06-30 13F CATERPILLAR INC DEL COM 149123101 5,258 -2,187 -29.38 713 -35.00 0.2738
2018-05-16 2018-03-31 13F CATERPILLAR INC DEL COM 149123101 7,445 2,368 46.64 1,097 37.13 0.2314
2018-01-16 2017-12-31 13F CATERPILLAR INC DEL COM 149123101 5,077 -603 -10.62 800 7.82 0.3420
2017-11-08 2017-09-30 13F CATERPILLAR INC DEL COM 149123101 5,680 -847 -12.98 742 5.85 0.2065
2017-07-12 2017-06-30 13F CATERPILLAR INC DEL COM 149123101 6,527 -2,240 -25.55 701 -21.76 0.1714
2017-05-08 2017-03-31 13F CATERPILLAR INC DEL COM 149123101 8,767 -7,551 -46.27 896 -40.78 0.2493
2017-02-02 2016-12-31 13F CATERPILLAR INC DEL COM 149123101 16,318 -435 -2.60 1,513 1.75 0.2657
2016-11-01 2016-09-30 13F CATERPILLAR INC DEL COM 149123101 16,753 7,957 90.46 1,487 123.27 0.2684
2016-07-07 2016-06-30 13F CATERPILLAR INC DEL COM 149123101 8,796 -744 -7.80 666 -8.77 0.2114
2016-04-20 2016-03-31 13F CATERPILLAR INC DEL COM 149123101 9,540 1,247 15.04 730 29.66 0.2573
2016-02-02 2015-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 8,293 -97 -1.16 563 2.74 0.2097
2016-02-02 2015-12-31 13F CATERPILLAR INC DEL COM 149123101 8,293 563
2015-10-20 2015-09-30 13F CATERPILLAR INC DEL COM 149123101 8,390 250 3.07 548 -20.58 0.1962
2015-07-29 2015-06-30 13F CATERPILLAR INC DEL COM 149123101 8,140 -3,044 -27.22 690 -22.91 0.2378
2015-04-15 2015-03-31 13F CATERPILLAR INC DEL COM 149123101 11,184 2,699 31.81 895 15.19 0.2872
2015-02-10 2014-12-31 13F CATERPILLAR INC DEL COM 149123101 8,485 -7,658 -47.44 777 -51.41 0.2582
2015-02-10 2014-09-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 16,143 -1,655 -9.30 1,599 -13.00 0.3181
2014-10-23 2014-09-30 13F CATERPILLAR INC COM COM 149123101 16,143 1,599
2014-08-14 2014-06-30 13F CATERPILLAR INC COM COM 149123101 17,798 17,798 1,838 0.9587
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.