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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
801 OLD MUTUAL CUSTOMISED SOLUTIONS (PROPRIETARY) LTD 24,764 2,661,000 0.01%
802 ANDERSON HOAGLAND & CO 24,958 2,682,000 0.01%
803 BONTEMPO OHLY CAPITAL MGMT LLC 25,003 2,687,000 0.01%
804 KLINGENSTEIN FIELDS & CO LP 25,174 2,705,000 0.01%
805 FIRST MIDWEST BANK TRUST DIVISION 25,324 2,722,000 0.01%
806 Capital Investment Advisors, LLC 25,645 2,756,000 0.01%
807 SHELTON CAPITAL MANAGEMENT 25,824 2,775,000 0.01%
808 CIBC WORLD MARKET INC. 25,869 2,780,000 0.01%
809 PACIFIC ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC 26,047 2,799,000 0.01%
810 Cetera Advisor Networks LLC 26,092 2,803,000 0.01%
811 CORNERSTONE FINANCIAL PARTNERS, LLC 26,124 2,808,000 0.01%
812 RIVER GLOBAL INVESTORS LLP 26,147 2,810,000 0.01%
813 LS Investment Advisors, LLC 26,554 2,853,000 0.01%
814 Pomelo Capital LLC 26,700 2,869,000 0.01% Put
815 Roundview Capital LLC 26,832 2,883,000 0.01%
816 BEDRIJFSTAKPENSIOENFONDS VOOR DE MEDIA PNO 27,180 2,921,000 0.01%
817 BANQUE PICTET & CIE SA 27,200 2,923,000 0.01%
818 PT ASSET MANAGEMENT, LLC 27,400 2,945,000 0.01% Call
819 PACER ADVISORS, INC. 27,413 2,946,000 0.01%
820 Veritable, L.P. 27,659 2,972,000 0.01%
821 Paloma Partners Management Co 27,700 2,977,000 0.01% Call
822 KANAWHA CAPITAL MANAGEMENT LLC 27,846 2,992,000 0.01%
823 BROWN BROTHERS HARRIMAN & CO 27,930 3,001,000 0.01%
824 CORNERCAP INVESTMENT COUNSEL INC 27,930 3,001,000 0.01%
825 BANK OF HAWAII 28,203 3,031,000 0.01%
826 RAY GERALD L & ASSOCIATES LTD 28,333 3,045,000 0.01%
827 Atria Investments, Inc 28,529 3,066,000 0.01%
828 JACOBS & CO/CA 28,645 3,078,000 0.01%
829 PEAK6 Group LLC 28,800 3,095,000 0.01% Put
830 Argyle Capital Management, LLC 29,500 3,170,000 0.01%
831 SIGMA INVESTMENT COUNSELORS INC 29,560 3,177,000 0.01%
832 NORDEA INVESTMENT MANAGEMENT AB 29,646 3,186,000 0.01%
833 AMICA MUTUAL INSURANCE CO 29,764 3,198,000 0.01%
834 SALEM INVESTMENT COUNSELORS INC 30,329 3,259,000 0.01%
835 FAYEZ SAROFIM & CO 30,388 3,265,000 0.01%
836 KCM INVESTMENT ADVISORS LLC 30,871 3,317,000 0.01%
837 Weiss Multi-Strategy Advisers LLC 30,926 3,323,000 0.01%
838 HOWLAND CAPITAL MANAGEMENT LLC 31,106 3,343,000 0.01%
839 SILVERCREST ASSET MANAGEMENT GROUP LLC 31,483 3,383,000 0.01%
840 SNOWDEN CAPITAL ADVISORS LLC 31,552 3,390,547 0.01%
841 Swift Run Capital Management, LLC 31,839 3,421,000 0.01%
842 JACOBS LEVY EQUITY MANAGEMENT, INC 32,030 3,442,000 0.01%
843 HOLLENCREST CAPITAL MANAGEMENT 32,286 3,469,000 0.01%
844 Calamos Wealth Management LLC 32,359 3,477,000 0.01%
845 USA FINANCIAL FORMULAS 32,592 3,502,000 0.01%
846 ACG Wealth 32,624 3,503,000 0.01%
847 NBT BANK N A /NY 32,753 3,520,000 0.01%
848 BRIDGE CREEK CAPITAL MANAGEMENT LLC 32,926 3,538,000 0.01%
849 NINE MASTS CAPITAL Ltd 32,941 3,540,000 0.01%
850 Visionary Asset Management, Inc. 32,979 3,544,000 0.01%
Page 17 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.