Federal Data Hub › SEC Fails-to-Deliver · JSON
Fails-to-deliver · CUSIP 149123101
Over the rolling 12-month window, securities of CATERPILLAR INC;COM USD1 failed to deliver in the NSCC's Continuous Net Settlement system on 117 settlement days, totaling 666,270 fail shares and peaking at 101,834 shares on 2026-02-13. Persistent or spiking fails-to-deliver can signal delivery stress, naked short selling, or operational settlement problems.
| Settlement date | Fail shares | Price |
|---|---|---|
| 2026-09-29 | 476 | $819.95 |
| 2026-09-28 | 1,001 | $821.58 |
| 2026-09-21 | 213 | $808.99 |
| 2026-09-18 | 17,815 | $798.57 |
| 2026-09-17 | 57 | $782.72 |
| 2026-09-15 | 2,719 | $784.00 |
| 2026-09-11 | 4,237 | $805.00 |
| 2026-09-10 | 1 | $815.56 |
| 2026-09-09 | 130 | $822.48 |
| 2026-09-08 | 17 | $813.94 |
| 2026-09-04 | 14 | $800.14 |
| 2026-08-26 | 159 | $811.29 |
| 2026-08-20 | 70,264 | $816.15 |
| 2026-08-19 | 19,220 | $840.87 |
| 2026-08-17 | 203 | $856.57 |
| 2026-08-14 | 40 | $854.60 |
| 2026-08-12 | 75 | $843.37 |
| 2026-08-11 | 81 | $837.58 |
| 2026-08-03 | 100 | $814.81 |
| 2026-07-17 | 13 | $877.17 |
| 2026-07-14 | 151 | $931.47 |
| 2026-07-10 | 490 | $938.39 |
| 2026-07-09 | 1,522 | $948.08 |
| 2026-07-08 | 6,140 | $940.12 |
| 2026-07-06 | 623 | $963.53 |
| 2026-07-02 | 1 | $991.41 |
| 2026-06-30 | 6,523 | $1033.19 |
| 2026-06-29 | 5,220 | $997.47 |
| 2026-06-24 | 139 | $984.24 |
| 2026-06-22 | 51,607 | $985.82 |
| 2026-06-18 | 465 | $955.92 |
| 2026-06-15 | 179 | $910.57 |
| 2026-06-11 | 82 | $856.16 |
| 2026-06-05 | 35,267 | $940.48 |
| 2026-06-04 | 641 | $926.18 |
| 2026-06-03 | 1,146 | $909.81 |
| 2026-06-01 | 1,762 | $875.87 |
| 2026-05-20 | 596 | $860.15 |
| 2026-05-18 | 359 | $888.31 |
| 2026-05-15 | 393 | $920.22 |
| 2026-05-14 | 71 | $902.30 |
| 2026-05-13 | 6,715 | $912.14 |
| 2026-05-11 | 200 | $897.45 |
| 2026-05-07 | 149 | $926.93 |
| 2026-05-04 | 11,349 | $889.67 |
| 2026-05-01 | 781 | $890.11 |
| 2026-04-30 | 148 | $810.05 |
| 2026-04-27 | 7 | $830.79 |
| 2026-04-20 | 5,962 | $794.65 |
| 2026-04-16 | 212 | $770.17 |
| 2026-04-15 | 6 | $794.25 |
| 2026-04-13 | 2,200 | $790.66 |
| 2026-04-08 | 12,149 | $724.44 |
| 2026-04-06 | 26 | $717.22 |
| 2026-04-02 | 23,475 | $730.32 |
| 2026-04-01 | 189 | $708.46 |
| 2026-03-27 | 1 | $703.19 |
| 2026-03-25 | 47 | $716.63 |
| 2026-03-24 | 183 | $701.70 |
| 2026-03-23 | 100 | $680.88 |
| 2026-03-13 | 4,026 | $700.69 |
| 2026-03-11 | 6,143 | $716.68 |
| 2026-03-06 | 284 | $706.08 |
| 2026-03-03 | 167 | $752.32 |
| 2026-03-02 | 285 | $742.83 |
| 2026-02-27 | 393 | $752.93 |
| 2026-02-23 | 90,700 | $759.74 |
| 2026-02-20 | 54,410 | $760.53 |
| 2026-02-18 | 10,152 | $764.76 |
| 2026-02-17 | 14,295 | $774.20 |
| 2026-02-13 | 101,834 | $758.29 |
| 2026-02-09 | 100 | $726.20 |
| 2026-02-02 | 26,643 | $657.36 |
| 2026-01-21 | 9,838 | $629.00 |
| 2026-01-20 | 71,736 | $646.89 |
| 2026-01-12 | 664 | $617.62 |
| 2026-01-09 | 267 | $608.13 |
| 2025-12-30 | 300 | $578.61 |
| 2025-12-23 | 2,457 | $582.41 |
| 2025-12-22 | 4,170 | $576.22 |
| 2025-12-18 | 178 | $561.89 |
| 2025-12-15 | 20,379 | $597.89 |
| 2025-12-12 | 166 | $625.61 |
| 2025-12-11 | 1 | $615.35 |
| 2025-12-05 | 2 | $599.15 |
| 2025-12-04 | 8,066 | $591.49 |
| 2025-12-02 | 5,716 | $568.06 |
| 2025-12-01 | 174 | $575.76 |
| 2025-11-26 | 19,900 | $566.61 |
| 2025-11-25 | 40 | $559.60 |
Showing 90 most recent of 120.
A "fail-to-deliver" occurs when a party in a securities trade does not deliver the shares by the settlement date. The SEC publishes twice-monthly files of CNS fails-to-deliver by security. This page aggregates the rolling 12-month window. CUSIP 149123101 links to this security's other federal filings across the hub.
Source: SEC Fails-to-Deliver Data. License: CC0 1.0.