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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
1251 PRUDENTIAL PLC 1,907,920 205,025,000 0.43%
1252 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 1,928,145 207,198,463 0.44%
1253 EATON VANCE MANAGEMENT 1,945,586 209,073,000 0.44%
1254 DIMENSIONAL FUND ADVISORS LP 1,982,730 213,049,000 0.45%
1255 Sumitomo Mitsui Trust Group, Inc. 2,005,123 215,471,000 0.45%
1256 ROYAL BANK OF CANADA 2,094,409 225,066,000 0.47%
1257 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 2,098,704 225,527,000 0.48%
1258 DEUTSCHE BANK AG\ 2,121,182 227,937,000 0.48%
1259 CITADEL ADVISORS LLC 2,139,094 229,867,000 0.48%
1260 Swiss National Bank 2,142,816 230,267,000 0.49%
1261 WELLS FARGO & COMPANY/MN 2,213,057 237,815,000 0.50%
1262 Capital Research Global Investors 2,436,297 261,804,000 0.55%
1263 RENAISSANCE TECHNOLOGIES LLC 2,501,100 268,768,000 0.57%
1264 Parallax Volatility Advisers, L.P. 2,506,900 269,394,000 0.57% Put
1265 SUSQUEHANNA INTERNATIONAL GROUP, LLP 2,800,200 300,910,000 0.63% Put
1266 Legal & General Group Plc 2,944,171 316,372,000 0.67%
1267 TIAA CREF INVESTMENT MANAGEMENT LLC 3,058,115 328,625,000 0.69%
1268 GOLDMAN SACHS GROUP INC 3,320,503 356,822,000 0.75%
1269 BANK OF AMERICA CORP /DE/ 3,605,334 387,431,000 0.82%
1270 SUSQUEHANNA INTERNATIONAL GROUP, LLP 3,865,400 415,376,000 0.87% Call
1271 NORGES BANK 4,564,462 490,497,000 1.03%
1272 AMERICAN INTERNATIONAL GROUP, INC. 5,278,081 567,183,000 1.19%
1273 FRANKLIN RESOURCES INC 5,393,148 579,544,000 1.22%
1274 GEODE CAPITAL MANAGEMENT, LLC 5,505,957 590,590,000 1.24%
1275 MORGAN STANLEY 5,857,491 629,445,000 1.33%
1276 HARRIS ASSOCIATES L P 6,767,448 727,230,000 1.53%
1277 NORTHERN TRUST CORP 7,189,707 772,605,000 1.63%
1278 Invesco Ltd. 7,704,519 827,929,000 1.74%
1279 Bank of New York Mellon Corp 7,780,451 836,086,000 1.76%
1280 PRIMECAP MANAGEMENT CO/CA/ 9,744,183 1,047,110,000 2.21%
1281 GATES FOUNDATION TRUST 11,260,857 1,210,092,000 2.55%
1282 WELLINGTON MANAGEMENT GROUP LLP 15,219,606 1,635,498,000 3.44%
1283 FMR LLC 19,613,661 2,107,684,000 4.44%
1284 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 21,017,733 2,258,566,000 4.76%
1285 Capital World Investors 21,168,496 2,274,767,000 4.79%
1286 BlackRock Finance, Inc. 34,987,848 3,759,793,000 7.92%
1287 VANGUARD GROUP INC 41,225,175 4,430,058,000 9.33%
1288 STATE STREET CORP 50,884,886 5,468,090,000 11.52%
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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.