Dark
Light
System
Security
CATERPILLAR INC DEL COM
CATERPILLAR INC DEL COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 1,237 Institutional holders with a total value of $43,137,620,178.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 61,999,976 6,160,937,000 14.28%
2 VANGUARD GROUP INC 35,652,529 3,542,792,000 8.21%
3 Capital World Investors 26,215,000 2,604,985,000 6.04%
4 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 19,707,800 1,958,366,000 4.54%
5 BlackRock Institutional Trust Company, N.A. 16,518,118 1,641,405,000 3.81%
6 FMR LLC 12,225,289 1,214,827,000 2.82%
7 Bank of New York Mellon Corp 11,443,181 1,137,110,000 2.64%
8 GATES FOUNDATION TRUST 11,260,857 1,118,991,000 2.59%
9 NORTHERN TRUST CORP 8,554,819 850,094,000 1.97%
10 BANK OF AMERICA CORP /DE/ 6,243,578 620,424,000 1.44%
11 GOLDMAN SACHS GROUP INC 6,057,394 601,924,000 1.40%
12 PRIMECAP MANAGEMENT CO/CA/ 5,885,275 584,820,000 1.36%
13 BlackRock Fund Advisors 5,856,643 581,975,000 1.35%
14 WELLINGTON MANAGEMENT GROUP LLP 4,975,336 494,398,000 1.15%
15 GEODE CAPITAL MANAGEMENT, LLC 4,840,933 480,843,000 1.11%
16 FRANKLIN RESOURCES INC 4,755,773 472,581,000 1.10%
17 JPMORGAN CHASE & CO 4,284,809 425,783,000 0.99%
18 BlackRock Group LTD 4,261,924 423,507,000 0.98%
19 Capital Research Global Investors 4,105,833 407,997,000 0.95%
20 Invesco Ltd. 4,070,358 404,472,000 0.94%
21 MORGAN STANLEY 3,484,627 346,268,000 0.80%
22 NORGES BANK 3,346,891 332,581,000 0.77%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 3,265,300 324,472,000 0.75% Put
24 EATON VANCE MANAGEMENT 3,015,165 299,616,000 0.69%
25 ALLIANCEBERNSTEIN L.P. 3,013,415 299,443,000 0.69%
26 Legal & General Group Plc 2,760,782 274,339,000 0.64%
27 CREDIT SUISSE AG/ 2,511,232 249,542,000 0.58%
28 Clearbridge Investments, LLC 2,449,065 243,364,000 0.56%
29 WELLS FARGO & COMPANY/MN 2,373,781 235,883,000 0.55%
30 LSV ASSET MANAGEMENT 2,329,859 231,518,000 0.54%
31 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 2,203,841 218,995,000 0.51%
32 SUSQUEHANNA INTERNATIONAL GROUP, LLP 2,196,800 218,296,000 0.51% Call
33 DEUTSCHE BANK AG\ 1,988,784 197,618,000 0.46%
34 TIAA CREF INVESTMENT MANAGEMENT LLC 1,934,705 192,252,000 0.45%
35 GOLDMAN SACHS GROUP INC 1,926,700 191,456,000 0.44% Call
36 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,834,726 187,857,000 0.44%
37 FIL Ltd 1,873,764 186,196,000 0.43%
38 NEW YORK STATE COMMON RETIREMENT FUND 1,797,599 178,627,000 0.41%
39 Parallax Volatility Advisers, L.P. 1,762,500 175,139,000 0.41% Put
40 FAYEZ SAROFIM & CO 1,750,360 174,034,000 0.40%
41 HSBC HOLDINGS PLC 1,703,190 169,251,000 0.39%
42 Sumitomo Mitsui Trust Group, Inc. 1,677,553 166,698,000 0.39%
43 PRICE T ROWE ASSOCIATES INC /MD/ 1,643,966 163,361,000 0.38%
44 ROYAL BANK OF CANADA 1,580,389 157,042,000 0.36%
45 OppenheimerFunds, Inc. 1,557,310 154,750,000 0.36%
46 MANNING & NAPIER ADVISORS LLC 1,532,071 152,240,000 0.35%
47 AMERIPRISE FINANCIAL INC 1,508,515 149,901,000 0.35%
48 CAPITAL GUARDIAN TRUST CO 1,491,224 148,183,000 0.34%
49 WESTFIELD CAPITAL MANAGEMENT CO LP 1,462,997 145,378,000 0.34%
50 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,456,107 144,694,000 0.34%
Page 1 of 25

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.