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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 Sensible Financial Planning & Management, LLC. 11 1,000 0.00%
2 Neuberger Berman Canada ULC 40 1,000 0.00% Put
3 FNY Managed Accounts LLC 30 1,470 0.00% Put
4 Oakworth Capital, Inc. 35 3,000 0.00%
5 GUIDANT WEALTH ADVISORS 42 4,000 0.00%
6 Psagot Value Holdings Ltd. 48 4,000 0.00%
7 HAP Trading, LLC 22,600 4,000 0.00% Put
8 TAYLOR WEALTH MANAGEMENT PARTNERS 43 4,000 0.00%
9 Lowe Wealth Advisors, LLC 54 5,000 0.00%
10 HERNDON CAPITAL MANAGEMENT LLC 54 5,000 0.00%
11 DELPHI PRIVATE ADVISORS LLC 70 6,000 0.00%
12 ROCKEFELLER FINANCIAL SERVICES INC 80 7,000 0.00%
13 SOLARIS ASSET MANAGEMENT LLC 78 7,000 0.00%
14 WELLS FARGO & COMPANY/MN 14,700 7,000 0.00% Put
15 THRAX MANAGEMENT, LLC 20,000 8,000 0.00% Put
16 Brick & Kyle, Associates 100 9,000 0.00%
17 DUBUQUE BANK & TRUST CO 100 9,000 0.00%
18 NewSquare Capital LLC 100 9,000 0.00%
19 ARMBRUSTER CAPITAL MANAGEMENT, INC. 100 9,000 0.00%
20 HOERTKORN RICHARD CHARLES 100 9,000 0.00%
21 SHARKEY, HOWES & JAVER 100 9,000 0.00%
22 Liberty Capital Management, Inc. 130 11,000 0.00%
23 Exchange Capital Management, Inc. 125 11,000 0.00%
24 Tradewinds Capital Management, LLC 123 11,000 0.00%
25 CENTRAL BANK & TRUST CO 150 13,000 0.00%
26 Mercer Capital Advisers, Inc. 150 13,000 0.00%
27 Winfield Associates, Inc. 160 14,000 0.00%
28 PROFICIO CAPITAL PARTNERS LLC 170 15,000 0.00%
29 LBA Wealth Management, LLC 183 16,000 0.00%
30 INVICTUS RG 185 16,000 0.00%
31 Gemmer Asset Management LLC 182 16,000 0.00%
32 AMERICAN NATIONAL BANK & TRUST 199 18,000 0.00%
33 KINGS POINT CAPITAL MANAGEMENT 200 18,000 0.00%
34 Horrell Capital Management, Inc. 226 20,000 0.00%
35 FIRST MERCANTILE TRUST CO 250 22,000 0.00%
36 DEUTSCHE BANK AG\ 250 22,000 0.00% Put
37 VERSANT CAPITAL MANAGEMENT, INC 301 26,000 0.00%
38 KELMAN-LAZAROV, INC. 300 26,253 0.00%
39 Cypress Capital Management LLC (WY) 331 29,383 0.00%
40 American Research & Management Co. 350 31,000 0.00%
41 AlphaMark Advisors, LLC 371 33,000 0.00% SH
42 MOTCO 368 33,000 0.00%
43 Alexandria Capital, LLC 386 34,000 0.00%
44 HEFTY WEALTH PARTNERS 400 35,000 0.00%
45 WESTPORT RESOURCES MANAGEMENT INC 400 36,000 0.00%
46 SAGE FINANCIAL GROUP INC 400 36,000 0.00%
47 Klingman & Associates, LLC 400 36,000 0.00%
48 Parasol Investment Management, LLC 415 37,000 0.00%
49 Lenox Wealth Management, Inc. 416 37,000 0.00%
50 FIRST PREMIER BANK 449 40,000 0.00%
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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.