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

Institutional Holders (2016Q1)
Portfolio Summary: 1,176 Institutional holders with a total value of $33,353,862,677.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 57,006,504 4,363,282,000 13.08%
2 VANGUARD GROUP INC 34,572,045 2,646,145,000 7.93%
3 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 21,017,733 1,608,697,000 4.82%
4 Capital Research Global Investors 16,378,665 1,253,623,000 3.76%
5 Capital World Investors 15,663,207 1,198,862,000 3.59%
6 HARRIS ASSOCIATES L P 15,144,200 1,159,137,000 3.48%
7 BlackRock Institutional Trust Company, N.A. 15,053,006 1,152,157,000 3.45%
8 WELLINGTON MANAGEMENT GROUP LLP 13,440,693 1,028,750,000 3.08%
9 GATES FOUNDATION TRUST 11,260,857 861,906,000 2.58%
10 Invesco Ltd. 10,134,001 775,656,000 2.33%
11 BlackRock Fund Advisors 9,829,850 752,377,000 2.26%
12 Bank of New York Mellon Corp 9,601,683 734,913,000 2.20%
13 FRANKLIN RESOURCES INC 8,684,638 664,722,000 1.99%
14 NORTHERN TRUST CORP 6,881,168 526,686,000 1.58%
15 PRIMECAP MANAGEMENT CO/CA/ 6,219,249 476,021,000 1.43%
16 AMERICAN INTERNATIONAL GROUP, INC. 5,449,515 417,107,000 1.25%
17 GEODE CAPITAL MANAGEMENT, LLC 4,756,532 363,332,000 1.09%
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 4,664,700 357,036,000 1.07% Put
19 BlackRock Group LTD 4,660,316 356,700,000 1.07%
20 MORGAN STANLEY 4,641,735 355,279,000 1.07%
21 BANK OF AMERICA CORP /DE/ 4,595,891 351,770,000 1.05%
22 SUSQUEHANNA INTERNATIONAL GROUP, LLP 4,532,800 346,940,000 1.04% Call
23 DIMENSIONAL FUND ADVISORS LP 3,795,697 290,521,000 0.87%
24 NORGES BANK 3,771,555 288,675,000 0.87%
25 WELLS FARGO & COMPANY/MN 2,782,199 212,950,000 0.64%
26 Legal & General Group Plc 2,698,633 206,565,000 0.62%
27 MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 2,515,195 192,514,000 0.58%
28 KSA CAPITAL MANAGEMENT, LLC 2,460,000 188,288,000 0.56% Put
29 Capital International Investors 2,433,722 186,277,000 0.56%
30 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,338,001 178,951,000 0.54%
31 GOLDMAN SACHS GROUP INC 2,216,778 169,671,000 0.51%
32 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 2,156,141 165,030,000 0.49%
33 FMR LLC 2,140,492 163,833,000 0.49%
34 PRUDENTIAL PLC 1,969,593 150,753,000 0.45%
35 TIAA CREF INVESTMENT MANAGEMENT LLC 1,914,299 146,520,000 0.44%
36 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,866,606 142,815,000 0.43%
37 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,747,535 133,756,000 0.40%
38 NEW YORK STATE COMMON RETIREMENT FUND 1,744,500 133,524,000 0.40%
39 Sumitomo Mitsui Trust Group, Inc. 1,738,138 133,037,000 0.40%
40 DEUTSCHE BANK AG\ 1,733,854 132,705,000 0.40%
41 APG Asset Management N.V. 1,700,901 130,187,000 0.39%
42 Brandywine Global Investment Management, LLC 1,620,943 124,067,000 0.37%
43 CREDIT SUISSE AG/ 1,569,994 120,168,000 0.36%
44 Swiss National Bank 1,512,616 110,959,000 0.33%
45 CITIGROUP INC 1,407,600 107,738,000 0.32% Put
46 PARAMETRIC PORTFOLIO ASSOCIATES LLC 1,349,785 103,313,000 0.31%
47 GOLDMAN SACHS GROUP INC 1,336,500 102,296,000 0.31% Call
48 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 1,312,503 100,459,000 0.30%
49 CAPITAL FUND MANAGEMENT S.A. 1,221,900 93,524,000 0.28% Put
50 BlackRock Investment Management, LLC 1,187,961 90,927,000 0.27%
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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.