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

Institutional Holders (2015Q2)
Portfolio Summary: 1,197 Institutional holders with a total value of $35,638,434,718.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 56,447,148 4,787,844,000 13.43%
2 VANGUARD GROUP INC 37,340,686 3,167,237,000 8.89%
3 Capital World Investors 25,496,704 2,162,630,000 6.07%
4 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 19,707,800 1,671,616,000 4.69%
5 BlackRock Institutional Trust Company, N.A. 15,278,593 1,295,930,000 3.64%
6 WELLINGTON MANAGEMENT GROUP LLP 11,690,194 991,562,000 2.78%
7 HARRIS ASSOCIATES L P 11,492,280 974,775,000 2.74%
8 GATES FOUNDATION TRUST 11,260,857 955,146,000 2.68%
9 Bank of New York Mellon Corp 10,659,160 904,109,000 2.54%
10 FRANKLIN RESOURCES INC 7,737,322 656,279,000 1.84%
11 NORTHERN TRUST CORP 7,643,302 648,305,000 1.82%
12 WADDELL & REED FINANCIAL INC 6,907,787 585,918,000 1.64%
13 BANK OF AMERICA CORP /DE/ 6,453,008 547,343,000 1.54%
14 BlackRock Fund Advisors 6,263,407 531,262,000 1.49%
15 PRIMECAP MANAGEMENT CO/CA/ 5,899,595 500,404,000 1.40%
16 GEODE CAPITAL MANAGEMENT, LLC 4,820,113 408,056,000 1.14%
17 BlackRock Group LTD 4,368,304 370,520,000 1.04%
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 4,268,000 362,012,000 1.02% Put
19 AMERICAN CENTURY COMPANIES INC 4,152,164 352,187,000 0.99%
20 Invesco Ltd. 3,880,730 329,163,000 0.92%
21 MORGAN STANLEY 3,631,886 308,054,000 0.86%
22 CREDIT SUISSE AG/ 3,032,255 257,195,000 0.72%
23 WELLS FARGO & COMPANY/MN 2,766,631 234,665,000 0.66%
24 NORGES BANK 2,708,882 229,767,000 0.64%
25 SUSQUEHANNA INTERNATIONAL GROUP, LLP 2,622,100 222,407,000 0.62% Call
26 Legal & General Group Plc 2,573,529 218,303,000 0.61%
27 LSV ASSET MANAGEMENT 2,550,415 216,326,000 0.61%
28 Capital Research Global Investors 2,537,600 215,239,000 0.60%
29 FMR LLC 2,501,719 212,196,000 0.60%
30 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 2,482,561 210,569,000 0.59%
31 LORD, ABBETT & CO. LLC 2,209,900 187,444,000 0.53%
32 WESTFIELD CAPITAL MANAGEMENT CO LP 2,161,638 183,350,000 0.51%
33 DEUTSCHE BANK AG\ 2,152,092 182,536,000 0.51%
34 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,060,690 174,849,000 0.49%
35 TIAA CREF INVESTMENT MANAGEMENT LLC 1,794,645 152,222,000 0.43%
36 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,790,635 151,882,000 0.43%
37 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,743,652 147,897,000 0.41%
38 NEW YORK STATE COMMON RETIREMENT FUND 1,732,419 146,944,000 0.41%
39 PRUDENTIAL PLC 1,707,163 144,801,000 0.41%
40 HSBC HOLDINGS PLC 1,666,367 141,369,000 0.40%
41 Sumitomo Mitsui Trust Group, Inc. 1,574,679 133,564,000 0.37%
42 APG Asset Management N.V. 1,512,560 128,295,000 0.36%
43 MANAGED ACCOUNT ADVISORS LLC 1,509,374 128,025,000 0.36%
44 FAYEZ SAROFIM & CO 1,467,572 124,314,000 0.35%
45 GOLDMAN SACHS GROUP INC 1,426,882 121,028,000 0.34%
46 PRICE T ROWE ASSOCIATES INC /MD/ 1,378,866 116,955,000 0.33%
47 UBS Group AG 1,376,301 116,739,000 0.33%
48 ALLIANCEBERNSTEIN L.P. 1,370,493 116,245,000 0.33%
49 JPMORGAN CHASE & CO 1,349,662 114,479,000 0.32%
50 BlackRock Finance, Inc. 1,314,126 111,464,000 0.31%
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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.