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CATERPILLAR INC
CATERPILLAR INC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 1,240 Institutional holders with a total value of $48,048,013,852.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 58,648,512 6,373,332,000 13.26%
2 VANGUARD GROUP INC 36,867,527 4,006,394,000 8.34%
3 Capital World Investors 26,267,000 2,854,435,000 5.94%
4 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 19,707,800 2,141,647,000 4.46%
5 BlackRock Institutional Trust Company, N.A. 16,282,756 1,769,447,000 3.68%
6 FMR LLC 14,084,957 1,530,612,000 3.19%
7 Bank of New York Mellon Corp 11,560,400 1,256,269,000 2.61%
8 GATES FOUNDATION TRUST 11,260,857 1,223,717,000 2.55%
9 NORTHERN TRUST CORP 8,636,199 938,494,000 1.95%
10 Capital Research Global Investors 7,820,833 849,890,000 1.77%
11 BANK OF AMERICA CORP /DE/ 6,942,987 754,494,000 1.57%
12 BlackRock Fund Advisors 6,147,817 668,083,000 1.39%
13 PRIMECAP MANAGEMENT CO/CA/ 5,826,065 633,118,000 1.32%
14 Invesco Ltd. 5,673,252 616,514,000 1.28%
15 WADDELL & REED FINANCIAL INC 5,387,635 585,474,000 1.22%
16 JPMORGAN CHASE & CO 4,870,789 529,309,000 1.10%
17 GEODE CAPITAL MANAGEMENT, LLC 4,688,288 509,178,000 1.06%
18 FRANKLIN RESOURCES INC 4,629,322 503,067,000 1.05%
19 WELLINGTON MANAGEMENT GROUP LLP 4,416,252 479,915,000 1.00%
20 EATON VANCE MANAGEMENT 4,398,635 478,000,000 0.99%
21 BlackRock Group LTD 4,334,847 471,069,000 0.98%
22 GOLDMAN SACHS GROUP INC 3,779,069 410,672,000 0.85%
23 MORGAN STANLEY 3,070,045 333,621,000 0.69%
24 NORGES BANK 3,008,667 326,951,000 0.68%
25 AMERIPRISE FINANCIAL INC 2,823,658 306,839,000 0.64%
26 Legal & General Group Plc 2,678,747 291,099,000 0.61%
27 LORD, ABBETT & CO. LLC 2,654,495 288,464,000 0.60%
28 LSV ASSET MANAGEMENT 2,354,459 255,859,000 0.53%
29 WELLS FARGO & COMPANY/MN 2,321,057 252,229,000 0.52%
30 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 2,285,948 248,414,000 0.52%
31 SUSQUEHANNA INTERNATIONAL GROUP, LLP 2,277,100 247,453,000 0.52% Put
32 FIL Ltd 2,231,135 242,457,000 0.50%
33 TIAA CREF INVESTMENT MANAGEMENT LLC 2,194,429 238,469,000 0.50%
34 CREDIT SUISSE AG/ 2,186,650 237,623,000 0.49%
35 ALLIANCEBERNSTEIN L.P. 2,129,047 231,364,000 0.48%
36 OppenheimerFunds, Inc. 2,041,470 221,847,000 0.46%
37 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,033,676 221,000,000 0.46%
38 DEUTSCHE BANK AG\ 1,929,423 209,663,000 0.44%
39 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,862,101 202,355,000 0.42%
40 NEW YORK STATE COMMON RETIREMENT FUND 1,859,429 202,064,000 0.42%
41 VOYA INVESTMENT MANAGEMENT LLC 1,775,157 192,906,000 0.40%
42 ROYAL BANK OF CANADA 1,724,007 187,349,000 0.39%
43 BANK OF MONTREAL /CAN/ 1,693,575 184,042,000 0.38%
44 FAYEZ SAROFIM & CO 1,690,796 183,849,000 0.38%
45 HSBC HOLDINGS PLC 1,667,254 181,190,000 0.38%
46 Sumitomo Mitsui Trust Group, Inc. 1,641,681 178,401,000 0.37%
47 PRICE T ROWE ASSOCIATES INC /MD/ 1,628,346 176,952,000 0.37%
48 CREDIT AGRICOLE S A 1,548,172 168,239,000 0.35%
49 CITIGROUP INC 1,521,500 165,341,000 0.34% Call
50 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,440,416 156,530,000 0.33%
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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.