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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
151 Aperio Group, LLC 274,460 29,494,000 0.06%
152 OAKBROOK INVESTMENTS LLC 272,703 29,305,000 0.06%
153 Advisors Asset Management, Inc. 264,758 28,451,000 0.06%
154 CAPITAL FUND MANAGEMENT S.A. 261,200 28,069,000 0.06% Call
155 NorthCoast Asset Management LLC 255,528 27,459,000 0.06%
156 BARCLAYS PLC 250,100 26,876,000 0.06% Call
157 State of New Jersey Common Pension Fund D 250,000 26,865,000 0.06%
158 WS MANAGEMENT LLLP 250,000 26,865,000 0.06% Put
159 Nuveen Asset Management, LLC 247,014 26,544,000 0.06%
160 MEYER HANDELMAN CO 246,616 26,500,000 0.06%
161 COMMERZBANK AKTIENGESELLSCHAFT /FI 240,816 25,878,000 0.05%
162 Nationwide Fund Advisors 236,225 25,385,000 0.05%
163 Raymond James Financial Services Advisors, Inc. 229,515 24,664,000 0.05%
164 AMP Capital Investors Ltd 228,351 24,123,000 0.05%
165 Twin Tree Management, LP 223,900 24,060,000 0.05% Call
166 KEYBANK NATIONAL ASSOCIATION/OH 221,177 23,768,000 0.05%
167 Walleye Trading LLC 220,900 23,737,000 0.05% Call
168 Mitsubishi UFJ Asset Management Co., Ltd. 218,297 23,458,000 0.05%
169 HERITAGE INVESTORS MANAGEMENT CORP 214,497 23,050,000 0.05%
170 JANE STREET GROUP, LLC 214,379 23,037,000 0.05%
171 Walleye Trading LLC 214,300 23,029,000 0.05% Put
172 NISA INVESTMENT ADVISORS, LLC 214,065 22,926,000 0.05%
173 NOMURA HOLDINGS INC 208,676 22,245,000 0.05%
174 SCOPUS ASSET MANAGEMENT, L.P. 205,000 22,029,000 0.05%
175 CITIGROUP INC 204,534 21,978,000 0.05%
176 Parallax Volatility Advisers, L.P. 202,400 21,749,000 0.05% Call
177 TORONTO DOMINION BANK 201,949 21,697,000 0.05%
178 LPL Financial LLC 199,855 21,476,000 0.05%
179 PineBridge Investments, L.P. 195,008 20,956,000 0.04%
180 Neuberger Berman Group LLC 194,541 20,905,000 0.04%
181 STATE OF MICHIGAN RETIREMENT SYSTEM 193,666 20,811,000 0.04%
182 Minneapolis Portfolio Management Group, LLC 193,372 20,780,000 0.04%
183 FIRST TRUST ADVISORS LP 193,118 20,752,000 0.04%
184 COUNTRY TRUST BANK 184,449 19,821,000 0.04%
185 ABERDEEN ASSET MANAGEMENT PLC/UK 183,126 19,679,000 0.04%
186 Gulf International Bank (UK) Ltd 181,490 19,502,000 0.04%
187 NN INVESTMENT PARTNERS HOLDINGS N.V. 178,298 19,160,000 0.04%
188 TVR CAPITAL MANAGEMENT LP 175,100 18,816,000 0.04% Put
189 ARROWGRASS CAPITAL PARTNERS (US) LP 1,736 18,655,000 0.04% Put
190 EDMOND DE ROTHSCHILD HOLDING S.A. 170,587 18,332,000 0.04%
191 M&T BANK CORP 168,935 18,155,000 0.04%
192 DekaBank Deutsche Girozentrale 168,930 18,147,000 0.04%
193 BAIRD FINANCIAL GROUP, INC. 166,704 17,914,000 0.04%
194 TEXAS PERMANENT SCHOOL FUND CORP 165,536 17,788,000 0.04%
195 JANE STREET GROUP, LLC 165,300 17,763,000 0.04% Call
196 Laurion Capital Management LP 165,000 17,729,000 0.04% Call
197 NATIXIS 164,312 17,657,000 0.04%
198 OppenheimerFunds, Inc. 162,723 17,487,000 0.04%
199 Daiwa Securities Group Inc. 162,625 17,475,000 0.04%
200 NICHOLS & PRATT ADVISERS LLP /MA 162,200 17,430,000 0.04%
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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.