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

Institutional Holders (2014Q3)
Portfolio Summary: 1,213 Institutional holders with a total value of $42,795,653,251.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 58,522,190 5,795,456,000 13.54%
2 VANGUARD GROUP INC 37,744,320 3,737,820,000 8.73%
3 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 19,707,800 1,951,663,000 4.56%
4 Capital World Investors 18,855,000 1,867,211,000 4.36%
5 BlackRock Institutional Trust Company, N.A. 16,268,865 1,611,106,000 3.76%
6 Bank of New York Mellon Corp 11,756,963 1,164,292,000 2.72%
7 GATES FOUNDATION TRUST 11,260,857 1,115,163,000 2.61%
8 FMR LLC 9,979,944 988,314,000 2.31%
9 NORTHERN TRUST CORP 8,386,988 830,563,000 1.94%
10 Capital Research Global Investors 8,069,033 799,076,000 1.87%
11 WADDELL & REED FINANCIAL INC 7,668,910 759,453,000 1.77%
12 BANK OF AMERICA CORP /DE/ 6,673,093 660,836,000 1.54%
13 BlackRock Fund Advisors 6,383,124 632,121,000 1.48%
14 PRIMECAP MANAGEMENT CO/CA/ 5,835,010 577,841,000 1.35%
15 WELLINGTON MANAGEMENT GROUP LLP 5,189,649 513,931,000 1.20%
16 FRANKLIN RESOURCES INC 4,891,316 484,386,000 1.13%
17 Invesco Ltd. 4,836,888 478,996,000 1.12%
18 GEODE CAPITAL MANAGEMENT, LLC 4,711,609 466,009,000 1.09%
19 EATON VANCE MANAGEMENT 4,537,116 449,311,000 1.05%
20 BlackRock Group LTD 4,263,386 422,202,000 0.99%
21 SUSQUEHANNA INTERNATIONAL GROUP, LLP 3,937,700 389,950,000 0.91% Put
22 NORGES BANK 3,525,855 349,165,000 0.82%
23 MORGAN STANLEY 3,433,218 339,990,000 0.79%
24 JPMORGAN CHASE & CO 3,338,300 330,590,000 0.77%
25 ROYAL BANK OF CANADA 2,682,861 265,685,000 0.62%
26 Legal & General Group Plc 2,649,343 262,369,000 0.61%
27 CREDIT SUISSE AG/ 2,625,370 259,991,000 0.61%
28 DEUTSCHE BANK AG\ 2,486,900 246,271,000 0.58%
29 LSV ASSET MANAGEMENT 2,423,709 240,019,000 0.56%
30 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 2,299,086 227,677,000 0.53%
31 WELLS FARGO & COMPANY/MN 2,183,468 216,229,000 0.51%
32 VOYA INVESTMENT MANAGEMENT LLC 2,137,862 211,712,000 0.49%
33 ALLIANCEBERNSTEIN L.P. 2,109,819 208,935,000 0.49%
34 SUSQUEHANNA INTERNATIONAL GROUP, LLP 2,109,500 208,904,000 0.49% Call
35 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,093,717 207,341,000 0.48%
36 GOLDMAN SACHS GROUP INC 2,082,494 206,230,000 0.48%
37 TIAA CREF INVESTMENT MANAGEMENT LLC 1,998,184 197,880,000 0.46%
38 BANK OF MONTREAL /CAN/ 1,992,135 197,280,000 0.46%
39 OppenheimerFunds, Inc. 1,864,130 184,605,000 0.43%
40 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,805,279 178,777,000 0.42%
41 FIL Ltd 1,795,489 177,807,000 0.42%
42 NEW YORK STATE COMMON RETIREMENT FUND 1,769,994 175,283,000 0.41%
43 FAYEZ SAROFIM & CO 1,648,173 162,918,000 0.38%
44 PANAGORA ASSET MANAGEMENT INC 1,639,231 162,333,000 0.38%
45 PRICE T ROWE ASSOCIATES INC /MD/ 1,623,076 160,733,000 0.38%
46 KSA CAPITAL MANAGEMENT, LLC 1,544,400 152,942,000 0.36% Put
47 MANAGED ACCOUNT ADVISORS LLC 1,542,963 152,800,000 0.36%
48 CREDIT AGRICOLE S A 1,510,474 149,584,000 0.35%
49 HERNDON CAPITAL MANAGEMENT LLC 1,484,075 147,634,208 0.34%
50 Sumitomo Mitsui Trust Group, Inc. 1,473,561 145,927,000 0.34%
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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.