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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
51 Mitsubishi UFJ Trust & Banking Corp 1,216,521 130,727,000 0.28%
52 ALLIANCEBERNSTEIN L.P. 1,187,116 127,567,000 0.27%
53 CREDIT SUISSE AG/ 1,116,142 119,940,000 0.25%
54 JENNISON ASSOCIATES LLC 1,090,849 117,223,000 0.25%
55 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 1,056,691 113,553,000 0.24%
56 MILLENNIUM MANAGEMENT LLC 1,035,694 111,296,000 0.23%
57 BALYASNY ASSET MANAGEMENT L.P. 1,032,853 110,990,000 0.23%
58 Impala Asset Management LLC 1,009,807 108,514,000 0.23%
59 Lodge Hill Capital, LLC 1,000,000 107,460,000 0.23% Call
60 CREDIT AGRICOLE S A 993,630 106,776,000 0.22%
61 Asset Management One Co., Ltd. 973,437 104,429,000 0.22%
62 NEW YORK STATE TEACHERS RETIREMENT SYSTEM 950,174 102,106,000 0.22%
63 BANK OF MONTREAL /CAN/ 938,817 100,885,000 0.21%
64 JANUS HENDERSON GROUP PLC 918,820 98,741,000 0.21%
65 HSBC HOLDINGS PLC 873,120 93,825,000 0.20%
66 RHUMBLINE ADVISERS 872,332 93,741,000 0.20%
67 PRINCIPAL FINANCIAL GROUP INC 871,852 93,689,000 0.20%
68 CITADEL ADVISORS LLC 863,200 92,759,000 0.20% Call
69 CITIGROUP INC 854,800 91,857,000 0.19% Call
70 COLUMBUS CIRCLE INVESTORS 850,609 91,406,000 0.19%
71 PRUDENTIAL FINANCIAL INC 840,373 90,306,000 0.19%
72 STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 826,129 88,776,000 0.19%
73 SCHRODER INVESTMENT MANAGEMENT GROUP 800,335 84,548,000 0.18%
74 AMERICAN CENTURY COMPANIES INC 783,852 84,233,000 0.18%
75 TWO SIGMA INVESTMENTS, LP 770,572 82,806,000 0.17%
76 OLD REPUBLIC INTERNATIONAL CORP 755,100 81,143,000 0.17%
77 APG Asset Management N.V. 752,799 80,896,000 0.17%
78 LORD, ABBETT & CO. LLC 736,145 79,106,000 0.17%
79 TIDE POINT CAPITAL MANAGEMENT, LP 735,756 79,064,000 0.17%
80 Korea Investment CORP 691,281 74,285,000 0.16%
81 BNP PARIBAS FINANCIAL MARKETS 674,996 72,535,071 0.15%
82 PEAK6 Group LLC 668,600 71,848,000 0.15% Call
83 STATE OF WISCONSIN INVESTMENT BOARD 637,497 68,505,000 0.14%
84 BANK OF AMERICA CORP /DE/ 625,000 67,163,000 0.14% Put
85 WADDELL & REED FINANCIAL INC 620,224 66,649,000 0.14%
86 FEDERATED HERMES, INC. 617,258 66,331,000 0.14%
87 I.G. INVESTMENT MANAGEMENT, LTD. 606,400 65,164,000 0.14%
88 CIBC WORLD MARKETS CORP 597,595 64,218,000 0.14%
89 CAPITAL FUND MANAGEMENT S.A. 582,600 62,606,000 0.13% Put
90 CANADA PENSION PLAN INVESTMENT BOARD 576,519 61,953,000 0.13%
91 BANK OF AMERICA CORP /DE/ 571,100 61,370,000 0.13% Call
92 BARCLAYS PLC 568,000 61,037,000 0.13% Put
93 UBS Group AG 566,800 60,908,000 0.13% Put
94 State of Tennessee, Department of Treasury 556,005 59,748,000 0.13%
95 Capital International Investors 555,800 59,726,000 0.13%
96 Twin Tree Management, LP 547,600 58,845,000 0.12% Put
97 Gotham Asset Management, LLC 516,649 55,519,000 0.12%
98 Chevy Chase Trust Holdings, LLC 514,173 55,254,000 0.12%
99 STEWART WEST INDIES TRADING CO., LTD 498,700 53,590,000 0.11%
100 JPMORGAN CHASE & CO 497,379 53,449,000 0.11%
Page 2 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.