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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
951 BLACKHILL CAPITAL INC 60,005 6,448,000 0.01%
952 CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 60,700 6,505,000 0.01%
953 Laurion Capital Management LP 60,752 6,529,000 0.01%
954 AFAM CAPITAL, INC. 60,945 6,549,000 0.01%
955 Sumitomo Mitsui DS Asset Management Company, Ltd 61,024 6,557,000 0.01%
956 GLG LLC 61,300 6,587,000 0.01%
957 OREGON PUBLIC EMPLOYEES RETIREMENT FUND 61,383 6,596,000 0.01%
958 SII INVESTMENTS INC/WI 61,517 6,613,000 0.01%
959 HL FINANCIAL SERVICES LLC 61,778 6,639,000 0.01%
960 Parallax Volatility Advisers, L.P. 62,127 6,676,000 0.01%
961 PILLAR PACIFIC CAPITAL MANAGEMENT LLC 62,391 6,705,000 0.01%
962 CENTRAL TRUST Co 62,494 6,715,000 0.01%
963 OPPENHEIMER & CO INC 62,624 6,730,000 0.01%
964 BNP PARIBAS FINANCIAL MARKETS 5,723 6,732,695 0.01% Call
965 DELTA ASSET MANAGEMENT LLC/TN 62,755 6,744,000 0.01%
966 Private Advisor Group, LLC 63,365 6,833,000 0.01%
967 Fiduciary Trust Co International of Pennsylvania 64,103 6,889,000 0.01%
968 KBC Group NV 64,225 6,902,000 0.01%
969 CLIFFORD SWAN INVESTMENT COUNSEL LLC 64,257 6,905,000 0.01%
970 CADENCE CAPITAL MANAGEMENT LLC 64,827 6,966,000 0.01%
971 FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ 64,826 6,966,000 0.01%
972 INTEGRAL DERIVATIVES, LLC 65,300 7,017,000 0.01% Call
973 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 65,350 7,023,000 0.01%
974 Adams Asset Advisors, LLC 66,023 7,095,000 0.01%
975 AMALGAMATED BANK 67,085 7,209,000 0.02%
976 PUBLIC SECTOR PENSION INVESTMENT BOARD 67,204 7,222,000 0.02%
977 ROYAL BANK OF CANADA 67,300 7,232,000 0.02% Put
978 RAND WEALTH, LLC 67,706 7,276,000 0.02%
979 BP PLC 68,000 7,309,000 0.02%
980 People's United Financial, Inc. 68,755 7,389,000 0.02%
981 TRAIL RIDGE CAPITAL LLC 69,020 7,417,000 0.02%
982 Squarepoint Ops LLC 69,049 7,420,000 0.02%
983 A.R.T. Advisors, LLC 69,100 7,425,000 0.02%
984 J.P. Morgan Private Wealth Advisors LLC 69,425 7,460,000 0.02%
985 WHITTIER TRUST CO 70,732 7,601,000 0.02%
986 Shelter Ins Retirement Plan 71,400 7,673,000 0.02%
987 MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 71,762 7,712,000 0.02%
988 BAR HARBOR WEALTH MANAGEMENT 72,133 7,752,000 0.02%
989 Candriam S.C.A. 72,163 7,755,000 0.02%
990 HUNTINGTON NATIONAL BANK 72,274 7,767,000 0.02%
991 ENVESTNET ASSET MANAGEMENT INC 72,464 7,784,000 0.02%
992 GOFEN & GLOSSBERG LLC /IL/ 72,625 7,804,000 0.02%
993 Avalon Investment & Advisory 73,238 7,870,000 0.02%
994 Brookstone Capital Management 74,450 8,000,000 0.02%
995 ARROWGRASS CAPITAL PARTNERS (US) LP 750 8,059,000 0.02% Call
996 DnB Asset Management AS 75,097 8,069,924 0.02%
997 VIRGINIA RETIREMENT SYSTEMS ET Al 75,100 8,070,000 0.02%
998 ZACKS INVESTMENT MANAGEMENT 77,413 8,319,000 0.02%
999 BB&T SECURITIES, LLC 77,483 8,325,000 0.02%
1000 Tufton Capital Management 77,705 8,350,000 0.02%
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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.