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

Institutional Holders (2016Q3)
Portfolio Summary: 1,181 Institutional holders with a total value of $38,811,587,637.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 43,859,306 3,893,391,000 10.03%
2 VANGUARD GROUP INC 36,464,095 3,236,918,000 8.34%
3 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 21,017,733 1,865,745,000 4.81%
4 Capital World Investors 18,220,351 1,617,421,000 4.17%
5 Capital Research Global Investors 17,401,260 1,544,710,000 3.98%
6 BlackRock Institutional Trust Company, N.A. 14,917,467 1,324,224,000 3.41%
7 WELLINGTON MANAGEMENT GROUP LLP 14,394,321 1,277,784,000 3.29%
8 HARRIS ASSOCIATES L P 12,622,199 1,120,473,000 2.89%
9 FMR LLC 12,534,951 1,112,729,000 2.87%
10 GATES FOUNDATION TRUST 11,260,857 999,626,000 2.58%
11 Invesco Ltd. 11,016,088 977,898,000 2.52%
12 BlackRock Fund Advisors 10,544,280 936,016,000 2.41%
13 Bank of New York Mellon Corp 9,567,876 849,341,000 2.19%
14 FRANKLIN RESOURCES INC 8,447,836 749,912,000 1.93%
15 MORGAN STANLEY 7,107,107 630,896,000 1.63%
16 NORTHERN TRUST CORP 6,835,589 606,795,000 1.56%
17 PRIMECAP MANAGEMENT CO/CA/ 6,251,551 554,950,000 1.43%
18 AMERICAN INTERNATIONAL GROUP, INC. 5,921,577 525,658,390 1.35%
19 GEODE CAPITAL MANAGEMENT, LLC 4,926,146 436,582,000 1.12%
20 BANK OF AMERICA CORP /DE/ 4,818,628 427,750,000 1.10%
21 BlackRock Group LTD 4,622,958 410,379,000 1.06%
22 NORGES BANK 4,790,556 406,167,000 1.05%
23 DIMENSIONAL FUND ADVISORS LP 3,507,523 311,347,000 0.80%
24 SUSQUEHANNA INTERNATIONAL GROUP, LLP 3,243,400 287,917,000 0.74% Call
25 Legal & General Group Plc 2,837,625 251,877,000 0.65%
26 WELLS FARGO & COMPANY/MN 2,826,917 250,945,000 0.65%
27 GOLDMAN SACHS GROUP INC 2,699,588 239,643,000 0.62%
28 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,592,579 230,144,000 0.59%
29 TIAA CREF INVESTMENT MANAGEMENT LLC 2,391,196 212,266,000 0.55%
30 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 2,204,040 195,652,000 0.50%
31 DEUTSCHE BANK AG\ 2,119,618 188,153,000 0.48%
32 SUSQUEHANNA INTERNATIONAL GROUP, LLP 2,099,100 186,337,000 0.48% Put
33 Sumitomo Mitsui Trust Group, Inc. 1,967,801 174,682,000 0.45%
34 AMERICAN CENTURY COMPANIES INC 1,950,337 173,131,000 0.45%
35 APG Asset Management N.V. 1,858,801 165,006,000 0.43%
36 EATON VANCE MANAGEMENT 1,857,860 164,922,000 0.42%
37 PRUDENTIAL PLC 1,824,687 161,978,000 0.42%
38 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,748,093 155,178,000 0.40%
39 MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 1,738,592 154,335,000 0.40%
40 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,667,835 148,054,000 0.38%
41 Swiss National Bank 1,617,316 143,569,000 0.37%
42 KSA CAPITAL MANAGEMENT, LLC 1,585,000 140,700,000 0.36% Put
43 NEW YORK STATE COMMON RETIREMENT FUND 1,582,000 140,434,000 0.36%
44 CITADEL ADVISORS LLC 1,502,400 133,368,000 0.34% Put
45 PARAMETRIC PORTFOLIO ASSOCIATES LLC 1,494,458 132,663,000 0.34%
46 HSBC HOLDINGS PLC 1,360,488 120,747,000 0.31%
47 JPMORGAN CHASE & CO 1,320,109 117,185,000 0.30%
48 Paloma Partners Management Co 1,317,800 116,981,000 0.30% Put
49 CREDIT SUISSE AG/ 1,266,780 112,452,000 0.29%
50 BlackRock Finance, Inc. 1,236,946 109,805,000 0.28%
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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.