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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
51 First Personal Financial Services 448 40,000 0.00%
52 PEDDOCK CAPITAL ADVISORS, LLC 488 43,000 0.00%
53 Oldfield Partners LLP 500 44,000 0.00%
54 Chicago Partners Investment Group LLC 554 49,000 0.00%
55 Sandy Spring Bank 553 49,000 0.00%
56 MYCIO WEALTH PARTNERS, LLC 550 49,000 0.00%
57 Apriem Advisors 563 50,000 0.00%
58 BALDWIN WEALTH PARTNERS LLC/MA 600 53,000 0.00%
59 Cowen Prime Services LLC 600 53,000 0.00%
60 Invesco Ltd. 600 53,000 0.00% Call
61 TLP GROUP LLC 640 57,000 0.00%
62 ORRSTOWN FINANCIAL SERVICES INC 654 58,000 0.00%
63 Vigilant Capital Management, LLC 650 58,000 0.00%
64 THOMPSON DAVIS & CO., INC. 680 60,000 0.00%
65 Jolley Asset Management, LLC 675 60,000 0.00%
66 Thomas J. Herzfeld Advisors, Inc. 692 61,000 0.00%
67 D'Orazio & Associates, Inc. 700 62,000 0.00%
68 Clean Yield Group 704 62,000 0.00%
69 Highlander Capital Management, LLC 700 62,000 0.00%
70 HOWE & RUSLING INC 715 63,000 0.00%
71 Allworth Financial LP 706 63,000 0.00%
72 WOODMONT INVESTMENT COUNSEL LLC 770 68,000 0.00%
73 AllSquare Wealth Management LLC 785 70,000 0.00%
74 MOSAIC FAMILY WEALTH, LLC 817 73,000 0.00%
75 Gradient Investments LLC 846 75,000 0.00%
76 CRIBSTONE CAPITAL MANAGEMENT, LLC 860 75,000 0.00%
77 Elite Wealth Management, Inc. 883 78,000 0.00%
78 Corbenic Partners LLC 879 78,000 0.00%
79 REILLY FINANCIAL ADVISORS, LLC 876 78,000 0.00%
80 Cornerstone Advisors, Inc. 885 79,000 0.00%
81 EDMOND DE ROTHSCHILD (EUROPE) 900 80,000 0.00%
82 Vantage Investment Advisors, LLC 929 82,000 0.00%
83 Joel Isaacson & Co., LLC 982 87,000 0.00%
84 Financial Architects, Inc 1,063 94,000 0.00%
85 Ledyard National Bank 1,064 95,000 0.00%
86 KELLY LAWRENCE W & ASSOCIATES INC/CA 1,100 98,000 0.00%
87 Patten Group, Inc. 1,148 99,935 0.00%
88 Plante Moran Financial Advisors, LLC 1,127 100,000 0.00%
89 Harbour Capital Advisors, LLC 1,150 102,000 0.00%
90 FIRST INTERSTATE BANK 1,164 103,000 0.00%
91 RISK PARADIGM GROUP, LLC 1,174 104,215 0.00%
92 QUADRANT CAPITAL GROUP LLC 1,282 106,000 0.00%
93 Cubist Systematic Strategies, LLC 1,208 107,000 0.00%
94 ENTERPRISE FINANCIAL SERVICES CORP 1,204 107,000 0.00%
95 INTEGRATED WEALTH MANAGEMENT 1,246 111,000 0.00%
96 PEOPLES FINANCIAL SERVICES CORP. 1,250 111,000 0.00%
97 Bluefin Trading, LLC 10,000 111,000 0.00% Call
98 PITTENGER & ANDERSON INC 1,300 115,000 0.00%
99 VIRTUS CAPITAL ADVISERS, LLC 1,313 117,000 0.00%
100 ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,353 120,000 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.