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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
101 Retirement Systems of Alabama 488,156 52,457,000 0.11%
102 US BANCORP \DE\ 480,935 51,682,000 0.11%
103 BARCLAYS PLC 474,996 51,044,000 0.11%
104 National Pension Service 473,823 50,055,000 0.11%
105 GUGGENHEIM CAPITAL LLC 461,478 49,589,000 0.10%
106 STIFEL FINANCIAL CORP 456,577 49,038,000 0.10%
107 Lodge Hill Capital, LLC 455,000 48,894,000 0.10%
108 ALPS ADVISORS INC 444,422 47,758,000 0.10%
109 JANE STREET GROUP, LLC 440,600 47,347,000 0.10% Put
110 CREDIT SUISSE AG/ 438,000 47,067,000 0.10% Put
111 CANADA LIFE ASSURANCE Co 434,722 46,672,000 0.10%
112 AMF Tjanstepension AB 498,912 46,279,000 0.10%
113 D. E. Shaw & Co., Inc. 426,000 45,778,000 0.10% Put
114 Alyeska Investment Group, L.P. 423,854 45,547,000 0.10%
115 D. E. Shaw & Co., Inc. 418,100 44,929,000 0.09% Call
116 GATEWAY INVESTMENT ADVISERS LLC 416,280 44,733,000 0.09%
117 British Airways Pensions Investment Management Ltd 402,445 43,222,000 0.09%
118 ADAGE CAPITAL PARTNERS GP, L.L.C. 400,209 43,006,000 0.09%
119 SUNTRUST BANKS INC 399,898 42,974,000 0.09%
120 TD ASSET MANAGEMENT INC 399,320 42,911,000 0.09%
121 RAYMOND JAMES & ASSOCIATES 398,623 42,837,000 0.09%
122 TWO SIGMA ADVISERS, LP 398,445 42,817,000 0.09%
123 GOLDMAN SACHS GROUP INC 393,400 42,275,000 0.09% Call
124 PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 392,347 42,162,000 0.09%
125 HSBC HOLDINGS PLC 382,000 41,049,000 0.09% Put
126 PNC FINANCIAL SERVICES GROUP, INC. 381,405 40,985,000 0.09%
127 CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 377,099 40,521,000 0.09%
128 CITIGROUP INC 371,400 39,911,000 0.08% Put
129 TOCQUEVILLE ASSET MANAGEMENT L.P. 369,990 39,759,000 0.08%
130 AVIVA PLC 361,279 38,834,000 0.08%
131 AQR CAPITAL MANAGEMENT LLC 356,385 38,297,000 0.08%
132 BLUESTEIN R H & CO LLC 340,352 36,574,000 0.08%
133 BRITISH COLUMBIA INVESTMENT MANAGEMENT Corp 335,205 36,021,000 0.08%
134 EDGAR LOMAX CO/VA 331,594 35,633,000 0.08%
135 HighTower Advisors, LLC 327,012 35,096,000 0.07%
136 VOYA INVESTMENT MANAGEMENT LLC 325,740 35,004,000 0.07%
137 UNITED SERVICES AUTOMOBILE ASSOCIATION 321,874 34,589,000 0.07%
138 Laurion Capital Management LP 321,500 34,548,000 0.07% Put
139 STRS OHIO 315,249 33,876,000 0.07%
140 PICTET ASSET MANAGEMENT LTD 319,613 33,697,000 0.07%
141 BlackRock Finance, Inc. 311,500 33,473,000 0.07% Put
142 METROPOLITAN LIFE INSURANCE CO/NY 306,305 32,916,000 0.07%
143 MARSHALL WACE NORTH AMERICA, L.P. 303,975 32,525,000 0.07%
144 Commonwealth Equity Services, Inc 299,425 32,176,000 0.07%
145 Calamos Advisors LLC 295,362 31,740,000 0.07%
146 RUSSELL INVESTMENTS GROUP, LTD. 283,901 30,498,000 0.06%
147 PANAGORA ASSET MANAGEMENT INC 279,424 30,027,000 0.06%
148 MARKEL GROUP INC. 278,000 29,874,000 0.06%
149 ATALANTA SOSNOFF CAPITAL, LLC 275,119 29,564,000 0.06%
150 UBS Group AG 275,000 29,552,000 0.06% Call
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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.