Dark
Light
System
Security
CATERPILLAR INC
CATERPILLAR INC. Institutional holdings reported to the SEC.

Institutional Holders (2017Q2)
Portfolio Summary: 1,288 Institutional holders with a total value of $47,475,512,518.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 50,884,886 5,468,090,000 11.52%
2 VANGUARD GROUP INC 41,225,175 4,430,058,000 9.33%
3 BlackRock Finance, Inc. 34,987,848 3,759,793,000 7.92%
4 Capital World Investors 21,168,496 2,274,767,000 4.79%
5 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 21,017,733 2,258,566,000 4.76%
6 FMR LLC 19,613,661 2,107,684,000 4.44%
7 WELLINGTON MANAGEMENT GROUP LLP 15,219,606 1,635,498,000 3.44%
8 GATES FOUNDATION TRUST 11,260,857 1,210,092,000 2.55%
9 PRIMECAP MANAGEMENT CO/CA/ 9,744,183 1,047,110,000 2.21%
10 Bank of New York Mellon Corp 7,780,451 836,086,000 1.76%
11 Invesco Ltd. 7,704,519 827,929,000 1.74%
12 NORTHERN TRUST CORP 7,189,707 772,605,000 1.63%
13 HARRIS ASSOCIATES L P 6,767,448 727,230,000 1.53%
14 MORGAN STANLEY 5,857,491 629,445,000 1.33%
15 GEODE CAPITAL MANAGEMENT, LLC 5,505,957 590,590,000 1.24%
16 FRANKLIN RESOURCES INC 5,393,148 579,544,000 1.22%
17 AMERICAN INTERNATIONAL GROUP, INC. 5,278,081 567,183,000 1.19%
18 NORGES BANK 4,564,462 490,497,000 1.03%
19 SUSQUEHANNA INTERNATIONAL GROUP, LLP 3,865,400 415,376,000 0.87% Call
20 BANK OF AMERICA CORP /DE/ 3,605,334 387,431,000 0.82%
21 GOLDMAN SACHS GROUP INC 3,320,503 356,822,000 0.75%
22 TIAA CREF INVESTMENT MANAGEMENT LLC 3,058,115 328,625,000 0.69%
23 Legal & General Group Plc 2,944,171 316,372,000 0.67%
24 SUSQUEHANNA INTERNATIONAL GROUP, LLP 2,800,200 300,910,000 0.63% Put
25 Parallax Volatility Advisers, L.P. 2,506,900 269,394,000 0.57% Put
26 RENAISSANCE TECHNOLOGIES LLC 2,501,100 268,768,000 0.57%
27 Capital Research Global Investors 2,436,297 261,804,000 0.55%
28 WELLS FARGO & COMPANY/MN 2,213,057 237,815,000 0.50%
29 Swiss National Bank 2,142,816 230,267,000 0.49%
30 CITADEL ADVISORS LLC 2,139,094 229,867,000 0.48%
31 DEUTSCHE BANK AG\ 2,121,182 227,937,000 0.48%
32 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,098,704 225,527,000 0.48%
33 ROYAL BANK OF CANADA 2,094,409 225,066,000 0.47%
34 Sumitomo Mitsui Trust Group, Inc. 2,005,123 215,471,000 0.45%
35 DIMENSIONAL FUND ADVISORS LP 1,982,730 213,049,000 0.45%
36 EATON VANCE MANAGEMENT 1,945,586 209,073,000 0.44%
37 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 1,928,145 207,198,463 0.44%
38 PRUDENTIAL PLC 1,907,920 205,025,000 0.43%
39 PRICE T ROWE ASSOCIATES INC /MD/ 1,842,214 197,964,000 0.42%
40 Allianz Asset Management GmbH 1,836,540 197,215,000 0.42%
41 PARAMETRIC PORTFOLIO ASSOCIATES LLC 1,569,069 168,612,000 0.36%
42 NEW YORK STATE COMMON RETIREMENT FUND 1,521,980 163,552,000 0.34%
43 Sculptor Capital LP 1,489,300 160,040,000 0.34% Put
44 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,477,035 158,722,000 0.33%
45 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,474,009 158,398,000 0.33%
46 TEACHERS ADVISORS, LLC 1,435,235 154,230,000 0.32%
47 CITADEL ADVISORS LLC 1,386,900 149,036,000 0.31% Put
48 UBS Group AG 1,329,946 142,916,000 0.30%
49 AMERIPRISE FINANCIAL INC 1,240,670 133,123,000 0.28%
50 GOLDMAN SACHS GROUP INC 1,236,600 132,885,000 0.28% Put
Page 1 of 26

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.