Dark
Light
System
Security
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
1051 WOODMONT INVESTMENT COUNSEL LLC 760 50,000 0.00%
1052 JNBA Financial Advisors 764 50,000 0.00%
1053 D'Orazio & Associates, Inc. 700 50,000 0.00%
1054 Syntal Capital Partners, LLC 764 49,000 0.00%
1055 LOOMIS SAYLES & CO L P 742 48,000 0.00%
1056 MYCIO WEALTH PARTNERS, LLC 700 46,000 0.00%
1057 First Personal Financial Services 700 46,000 0.00%
1058 KINGS POINT CAPITAL MANAGEMENT 675 44,000 0.00%
1059 Holt Capital Advisors, L.L.C. dba Holt Capital Partners, L.P. 680 44,000 0.00%
1060 Alexandria Capital, LLC 662 43,000 0.00%
1061 Vigilant Capital Management, LLC 650 42,000 0.00%
1062 Invesco Ltd. 600 39,000 0.00% Call
1063 Jolley Asset Management, LLC 600 39,000 0.00%
1064 BALENTINE LLC 603 39,000 0.00%
1065 ORRSTOWN FINANCIAL SERVICES INC 576 38,000 0.00%
1066 Gradient Investments LLC 585 38,000 0.00%
1067 REILLY FINANCIAL ADVISORS, LLC 576 38,000 0.00%
1068 Avior Wealth Management, LLC 562 37,000 0.00%
1069 Edge Wealth Management LLC 555 36,000 0.00%
1070 Chicago Partners Investment Group LLC 549 36,000 0.00%
1071 DEUTSCHE BANK AG\ 546 35,000 0.00% Call
1072 DEUTSCHE BANK AG\ 534 34,000 0.00% Put
1073 Oldfield Partners LLP 500 33,000 0.00% SH
1074 America First Investment Advisors, LLC 500 33,000 0.00%
1075 RISK PARADIGM GROUP, LLC 500 32,680 0.00%
1076 Assured Investment Management LLC 467 31,000 0.00%
1077 Invictus RG Pte. Ltd. 468 31,000 0.00%
1078 Index Management Solutions, LLC 474 31,000 0.00%
1079 American Research & Management Co. 460 30,000 0.00%
1080 MOTCO 465 30,000 0.00%
1081 Parasol Investment Management, LLC 415 27,000 0.00%
1082 SAGE FINANCIAL GROUP INC 400 26,000 0.00%
1083 Klingman & Associates, LLC 400 26,000 0.00%
1084 Hexavest Inc. 383 25,000 0.00%
1085 CENTRAL BANK & TRUST CO 350 23,000 0.00%
1086 TD Securities (USA) LLC 344 22,000 0.00%
1087 Crosspoint Capital Strategies, LLC 322 21,000 0.00%
1088 Formidable Asset Management, LLC 315 20,000 0.00%
1089 Efficient Market Advisors, LLC 300 20,000 0.00%
1090 Carnick & Kubik, LLC 300 19,608 0.00%
1091 SHARKEY, HOWES & JAVER 268 19,000 0.00%
1092 Waverly Advisors, LLC 257 17,000 0.00%
1093 LBA Wealth Management, LLC 243 16,000 0.00%
1094 FIRST MERCANTILE TRUST CO 250 16,000 0.00%
1095 Horrell Capital Management, Inc. 226 15,000 0.00%
1096 Nelson Capital Management, LLC 216 14,000 0.00%
1097 Apriem Advisors 207 14,000 0.00%
1098 HAP Trading, LLC 132,600 14,000 0.00% Call
1099 DUBUQUE BANK & TRUST CO 200 13,000 0.00%
1100 ARCADIA INVESTMENT MANAGEMENT CORP/MI 200 13,000 0.00%
Page 22 of 23

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.