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
1101 HAP Trading, LLC 23,100 230,000 0.00% Call
1102 ADVANTAGE INVESTMENT MANAGEMENT, LLC 2,134 229,000 0.00%
1103 IBEX WEALTH ADVISORS 2,118 228,000 0.00%
1104 AMUSSEN HUNSAKER & ASSOCIATES LLC 2,112 227,000 0.00%
1105 FIRST MERCANTILE TRUST CO 2,116 227,000 0.00%
1106 SANDERS MORRIS HARRIS INC/FA 2,100 226,000 0.00%
1107 BRAVE ASSET MANAGEMENT INC 2,106 226,000 0.00%
1108 Point Windward Advisors Inc. 2,100 226,000 0.00%
1109 IRONWOOD INVESTMENT MANAGEMENT LLC 2,100 226,000 0.00%
1110 WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV 2,090 225,000 0.00%
1111 NORWAY SAVINGS BANK 2,080 224,000 0.00%
1112 NORTHWEST WEALTH MANAGEMENT, LLC 2,079 223,000 0.00%
1113 ARCUS CAPITAL PARTNERS, LLC 2,064 222,000 0.00%
1114 BB&T INVESTMENT SERVICES, INC. 2,062 222,000 0.00%
1115 Manchester Capital Management LLC 2,063 222,000 0.00%
1116 Livingston Group Asset Management CO (operating as Southport Capital Management) 2,058 221,000 0.00%
1117 Cognios Capital, LLC 2,052 220,000 0.00%
1118 RB CAPITAL MANAGEMENT, LLC 2,036 219,000 0.00%
1119 Cerity Partners OCIO LLC 2,030 218,000 0.00%
1120 Redmond Asset Management, LLC 2,021 217,000 0.00%
1121 PRELUDE CAPITAL MANAGEMENT, LLC 2,000 215,000 0.00% Put
1122 ANCHOR CAPITAL ADVISORS LLC 2,005 215,000 0.00%
1123 ALBION FINANCIAL GROUP /UT 2,000 215,000 0.00%
1124 NORTH STAR ASSET MANAGEMENT INC 1,991 214,000 0.00%
1125 YORKBRIDGE WEALTH PARTNERS, LLC 1,987 213,000 0.00%
1126 BOK Financial Private Wealth, Inc. 1,982 213,000 0.00%
1127 CARL DOMINO INC 1,975 212,000 0.00%
1128 SULLIVAN, BRUYETTE, SPEROS & BLANEY, INC. 1,952 210,000 0.00%
1129 BENEDICT FINANCIAL ADVISORS INC 1,954 208,000 0.00%
1130 FIRST FINANCIAL CORP /IN/ 1,915 206,000 0.00%
1131 TOTAL INVESTMENT MANAGEMENT INC 1,910 205,000 0.00%
1132 Estabrook Capital Management 1,900 204,174 0.00%
1133 BADGLEY PHELPS & BELL INC 1,885 203,000 0.00%
1134 KINGSVIEW WEALTH MANAGEMENT, LLC 1,879 202,000 0.00%
1135 TRUSTCO BANK CORP N Y 1,863 200,000 0.00%
1136 RISK PARADIGM GROUP, LLC 1,848 198,586 0.00%
1137 NINE MASTS CAPITAL Ltd 1,600 196,000 0.00% Put
1138 DUBUQUE BANK & TRUST CO 1,814 195,000 0.00%
1139 AMERICAFIRST CAPITAL MANAGEMENT, LLC 1,808 194,000 0.00%
1140 AMERICAFIRST QUANTITATIVE TRUST - AMERICAFIRST DEFENSIVE GROWTH & INCOME PORTFOLIO, SERIES 2 1,808 194,000 0.00%
1141 RESOURCES INVESTMENT ADVISORS, INC. 1,773 190,000 0.00%
1142 FIRST INTERSTATE BANK 1,743 187,000 0.00%
1143 VALLEY NATIONAL ADVISERS INC 1,740 187,000 0.00%
1144 CWM, LLC 1,710 184,000 0.00%
1145 INTEGRATED INVESTMENT CONSULTANTS, LLC 1,710 184,000 0.00%
1146 GLOBAL RETIREMENT PARTNERS, LLC 1,707 183,000 0.00%
1147 Winslow, Evans & Crocker, Inc. 1,688 181,393 0.00%
1148 WealthTrust-Arizona, LLC 1,661 178,000 0.00%
1149 First Personal Financial Services 1,589 171,000 0.00%
1150 HALL LAURIE J TRUSTEE 1,590 170,861 0.00%
Page 23 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.