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CATERPILLAR INC
CATERPILLAR INC. 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
1201 CKW FINANCIAL GROUP 241 25,000 0.00%
1202 FIRST MERCANTILE TRUST CO 250 25,000 0.00%
1203 MACQUARIE GROUP LTD 250 25,000 0.00% Put
1204 Lenox Wealth Advisors, LLC 231 23,000 0.00%
1205 Nelson Capital Management, LLC 216 21,000 0.00%
1206 MARK SHEPTOFF FINANCIAL PLANNING, LLC 200 20,000 0.00%
1207 NewSquare Capital LLC 200 20,000 0.00%
1208 Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. 190 19,000 0.00%
1209 NuWave Investment Management, LLC 178 18,000 0.00%
1210 TD Capital Management LLC 178 18,000 0.00%
1211 Parasol Investment Management, LLC 170 17,000 0.00%
1212 MassMutual Private Wealth & Trust, FSB 164 16,297 0.00%
1213 DEUTSCHE BANK AG\ 1,124 16,000 0.00% Call
1214 ROCKEFELLER FINANCIAL SERVICES INC 158 16,000 0.00%
1215 VALLEY NATIONAL BANCORP 150 15,000 0.00%
1216 Wallington Asset Management, LLC 140 14,000 0.00%
1217 FOUNDERS BANK & TRUST 135 13,000 0.00%
1218 LBA Wealth Management, LLC 123 12,000 0.00%
1219 Capital Advisors, Ltd. LLC 120 12,000 0.00%
1220 Oakworth Capital, Inc. 108 11,000 0.00%
1221 First Washington CORP 100 10,000 0.00%
1222 HAP Trading, LLC 67,000 8,000 0.00% Put
1223 Waverly Advisors, LLC 85 8,000 0.00%
1224 Dunvegan Associates, Inc. 60 6,000 0.00%
1225 Beacon Capital Management, Inc. 51 5,000 0.00%
1226 Transamerica Financial Advisors, LLC 24 3,000 0.00%
1227 DUBUQUE BANK & TRUST CO 33 3,000 0.00%
1228 Bank of New York Mellon Corp 32 3,000 0.00% Call
1229 Antonetti Capital Management LLC 35 3,000 0.00%
1230 FORT PITT CAPITAL GROUP INC 10 1,016 0.00%
1231 DEUTSCHE BANK AG\ 500 1,000 0.00% Put
1232 WealthTrust Fairport, LLC 9 1,000 0.00%
1233 Cornerstone Advisors, Inc. 11 1,000 0.00%
1234 Bank of New York Mellon Corp 3 0 0.00% Put
1235 Psagot Value Holdings Ltd. 1 0 0.00%
1236 WELLS FARGO & COMPANY/MN 500 0 0.00% Call
1237 WELLS FARGO & COMPANY/MN 200 0 0.00% Put
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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.