NorthRock Partners, LLC

Position in CAT — Caterpillar Inc

CIK 1632097 MINNEAPOLIS, MN

Back to CAT Full portfolio

Position in CAT

as of Jun 30, 2026 · filed Aug 11, 2026 Compact

Position Value

$10,777,852

+$3,632,325 QoQ

Shares Held

10,121

+0.3% QoQ

Ownership

0.002%

of shares outstanding

% of Portfolio

0.60%

of 13F equity value

Holder Rank

#815

of 4,031 holders

Holding Since

Mar 2020

26 quarters on record

Voting authority Sole 0% Shared 0% None 100%

Common Shares in CAT Over Time

Shares Held

Position Value (USD)

Derivatives in CAT

reported options exposure · as of Jun 30, 2026

CallValue

CallShares

PutValue

$212,980

PutShares

200

Notional value of option positions as reported on Form 13F. Calls and puts are disclosed separately and do not net against the common-share stake above.

Position in Farm & Heavy Construction Machinery

Industrials · as of Jun 30, 2026

NorthRock Partners, LLC holds $13,572,108 across 3 Farm & Heavy Construction Machinery names. CAT ranks #1 (79.4% of the industry book) .

#	Ticker	Company	Shares	Value (USD)
1	CAT	Caterpillar Inc This page	10,121	$10,777,852
2	DE	Deere & Co	3,963	$2,513,849
3	OSK	Oshkosh Corp	1,827	$280,407

All Filings in CAT

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27 filing rows on record

Report Date	Value (USD)	Shares	Change	Type	Discretion	Filed
2026-06-30	$10,777,852	10,121	+0.3%	Shares	Sole	2026-08-11
2026-06-30	$212,980	200	—	Put	Sole	2026-08-11
2026-03-31	$7,145,527	10,086	+15.3%	Shares	Sole	2026-05-15
2025-12-31	$5,009,175	8,744	-30.3%	Shares	Sole	2026-02-17
2025-09-30	$5,983,461	12,540	+24.9%	Shares	Sole	2025-11-14
2025-06-30	$3,898,016	10,041	-3.0%	Shares	Sole	2025-11-14
2025-03-31	$3,412,770	10,348	+2.8%	Shares	Sole	2025-05-08
2024-12-31	$3,653,355	10,071	-1.9%	Shares	Sole	2025-04-22
2024-09-30	$4,014,455	10,264	+4.2%	Shares	Sole	2025-04-22
2024-06-30	$3,280,368	9,848	+3.1%	Shares	Sole	2025-04-22
2024-03-31	$3,501,238	9,555	+3.2%	Shares	Sole	2025-04-22
2023-12-31	$2,737,608	9,259	+78.8%	Shares	Sole	2025-04-22
2023-09-30	$1,413,594	5,178	+20.8%	Shares	Sole	2023-10-24
2023-06-30	$1,054,816	4,287	-14.3%	Shares	Sole	2023-08-02
2023-03-31	$1,144,428	5,001	-14.9%	Shares	Sole	2023-05-04
2022-12-31	$1,408,133	5,878	+2.5%	Shares	Sole	2023-02-01
2022-09-30	$941,326	5,737	-5.2%	Shares	Sole	2022-11-02
2022-06-30	$1,081,676	6,051	+1.1%	Shares	Sole	2022-08-04
2022-03-31	$1,333,354	5,984	+27.1%	Shares	Sole	2022-05-05
2021-12-31	$973,125	4,707	+31.5%	Shares	Sole	2022-02-07
2021-09-30	$687,060	3,579	+21.2%	Shares	Sole	2021-11-12
2021-06-30	$642,443	2,952	+10.5%	Shares	Sole	2021-08-12
2021-03-31	$619,324	2,671	-15.7%	Shares	Sole	2021-05-11
2020-12-31	$577,003	3,170	-14.1%	Shares	Sole	2021-02-08
2020-09-30	$550,512	3,691	+19.4%	Shares	Sole	2020-11-12
2020-06-30	$391,011	3,091	+9.0%	Shares	Sole	2020-08-13
2020-03-31	$329,205	2,837	—	Shares	Sole	2020-05-13
No filing history on record for this holder in this stock.