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

Institutional Holders (2015Q3)
Portfolio Summary: 1,140 Institutional holders with a total value of $28,512,427,594.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 56,904,420 3,719,272,000 13.04%
2 VANGUARD GROUP INC 37,313,180 2,438,789,000 8.55%
3 Capital World Investors 25,908,051 1,693,350,000 5.94%
4 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 19,707,800 1,288,102,000 4.52%
5 HARRIS ASSOCIATES L P 16,192,304 1,058,329,000 3.71%
6 BlackRock Institutional Trust Company, N.A. 15,197,810 993,329,000 3.48%
7 WELLINGTON MANAGEMENT GROUP LLP 13,931,360 910,555,000 3.19%
8 GATES FOUNDATION TRUST 11,260,857 736,010,000 2.58%
9 Capital Research Global Investors 9,608,850 628,034,000 2.20%
10 Bank of New York Mellon Corp 8,806,123 575,569,000 2.02%
11 NORTHERN TRUST CORP 7,567,683 494,624,000 1.73%
12 FRANKLIN RESOURCES INC 7,513,387 491,076,000 1.72%
13 SUSQUEHANNA INTERNATIONAL GROUP, LLP 6,592,000 430,853,000 1.51% Put
14 Invesco Ltd. 6,314,987 412,748,000 1.45%
15 BlackRock Fund Advisors 6,284,147 410,732,000 1.44%
16 PRIMECAP MANAGEMENT CO/CA/ 6,088,845 397,967,000 1.40%
17 BANK OF AMERICA CORP /DE/ 5,471,174 357,595,000 1.25%
18 MORGAN STANLEY 5,017,763 327,961,000 1.15%
19 GEODE CAPITAL MANAGEMENT, LLC 4,842,057 315,870,000 1.11%
20 BlackRock Group LTD 4,595,807 300,382,000 1.05%
21 SUSQUEHANNA INTERNATIONAL GROUP, LLP 3,685,000 240,851,000 0.84% Call
22 NORGES BANK 3,217,029 210,265,000 0.74%
23 WELLS FARGO & COMPANY/MN 2,775,407 181,401,000 0.64%
24 Legal & General Group Plc 2,671,636 174,612,000 0.61%
25 AMERICAN CENTURY COMPANIES INC 2,633,828 172,147,000 0.60%
26 GOLDMAN SACHS GROUP INC 2,502,200 163,544,000 0.57% Put
27 LSV ASSET MANAGEMENT 2,487,615 162,590,000 0.57%
28 DEUTSCHE BANK AG\ 2,365,913 154,630,000 0.54%
29 GOLDMAN SACHS GROUP INC 2,321,389 151,726,000 0.53%
30 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 2,280,004 149,021,000 0.52%
31 DIMENSIONAL FUND ADVISORS LP 2,196,989 143,592,000 0.50%
32 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,081,845 136,191,000 0.48%
33 PRUDENTIAL PLC 2,038,863 133,260,000 0.47%
34 BARCLAYS PLC 2,046,600 133,030,000 0.47% Put
35 GOLDMAN SACHS GROUP INC 1,980,500 129,445,000 0.45% Call
36 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,896,720 123,970,000 0.43%
37 NEW YORK STATE COMMON RETIREMENT FUND 1,808,800 118,223,000 0.41%
38 BARCLAYS PLC 1,785,626 116,075,000 0.41%
39 MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 1,755,002 114,707,000 0.40%
40 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,747,035 114,186,000 0.40%
41 FMR LLC 1,717,674 112,267,000 0.39%
42 CREDIT SUISSE AG/ 1,699,106 111,054,000 0.39%
43 BANK OF AMERICA CORP /DE/ 1,693,700 110,701,000 0.39% Put
44 Sumitomo Mitsui Trust Group, Inc. 1,668,716 109,067,000 0.38%
45 D. E. Shaw & Co., Inc. 1,619,000 105,818,000 0.37% Put
46 APG Asset Management N.V. 1,548,274 101,195,000 0.35%
47 PRICE T ROWE ASSOCIATES INC /MD/ 1,399,276 91,457,000 0.32%
48 BlackRock Finance, Inc. 1,392,384 91,006,000 0.32%
49 CITIGROUP INC 1,320,900 86,334,000 0.30% Put
50 Parallax Volatility Advisers, L.P. 1,305,600 85,333,000 0.30% 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.