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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
201 Robeco Institutional Asset Management B.V. 162,043 17,413,000 0.04%
202 PUTNAM INVESTMENTS LLC 158,784 17,063,000 0.04%
203 FIL Ltd 157,413 16,915,000 0.04%
204 UNITED CAPITAL FINANCIAL ADVISORS, LLC 156,645 16,833,000 0.04%
205 COMERICA BANK 154,631 16,728,000 0.04%
206 SHELL ASSET MANAGEMENT CO 154,616 16,615,000 0.03%
207 Zurcher Kantonalbank (Zurich Cantonalbank) 153,680 16,514,000 0.03%
208 SEI INVESTMENTS CO 153,332 16,476,000 0.03%
209 LOS ANGELES CAPITAL MANAGEMENT LLC 151,474 16,277,000 0.03%
210 W. E. DONOGHUE & CO., LLC 149,232 16,036,000 0.03%
211 CHICAGO EQUITY PARTNERS LLC 148,710 15,980,000 0.03%
212 Capital Wealth Planning, LLC 148,073 15,912,000 0.03%
213 STEVENS CAPITAL MANAGEMENT LP 147,188 15,817,000 0.03%
214 HYMAN CHARLES D 147,183 15,816,000 0.03%
215 SPOT TRADING LLC /BD 147,000 15,797,000 0.03% Call
216 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 146,270 15,718,000 0.03%
217 SKYBRIDGE CAPITAL II, LLC 146,122 15,702,000 0.03%
218 Arizona State Retirement System 146,096 15,699,000 0.03%
219 ING GROEP NV 145,898 15,678,000 0.03%
220 AXA S.A. 145,130 15,596,000 0.03%
221 S&CO INC 142,890 15,355,000 0.03%
222 Willis Investment Counsel 141,295 15,184,000 0.03%
223 PIEDMONT INVESTMENT ADVISORS INC 139,931 15,037,000 0.03%
224 GABELLI FUNDS LLC 139,800 15,023,000 0.03%
225 UNIPLAN INVESTMENT COUNSEL, INC. 139,062 14,944,000 0.03%
226 FJARDE AP-FONDEN /FOURTH SWEDISH NATIONAL PENSION FUND 138,771 14,912,000 0.03%
227 American Investment Services, Inc. 136,760 14,696,000 0.03%
228 ZURICH FINANCIAL SERVICES/ /FI 136,403 14,658,000 0.03%
229 FINANCIAL COUNSELORS INC 135,614 14,573,000 0.03%
230 NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC 135,196 14,528,000 0.03%
231 BANK OF NOVA SCOTIA 132,897 14,281,000 0.03%
232 ProShare Advisors LLC 130,036 13,974,000 0.03%
233 LADENBURG THALMANN FINANCIAL SERVICES INC. 128,351 13,793,000 0.03%
234 HARTFORD INVESTMENT MANAGEMENT CO 128,102 13,766,000 0.03%
235 Bollard Group LLC 127,438 13,694,000 0.03%
236 BRADLEY FOSTER & SARGENT INC/CT 126,113 13,552,000 0.03%
237 Janney Montgomery Scott LLC 125,006 13,433,000 0.03%
238 COHEN & STEERS, INC. 121,646 13,072,000 0.03%
239 Connor, Clark & Lunn Investment Management Ltd. 121,324 13,037,000 0.03%
240 SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) 119,917 12,886,000 0.03%
241 D. E. Shaw & Co., Inc. 118,881 12,775,000 0.03%
242 Employees Retirement System of Texas 118,500 12,734,000 0.03%
243 HENNESSY ADVISORS INC 118,000 12,680,000 0.03%
244 SPOT TRADING LLC /BD 117,900 12,670,000 0.03% Put
245 Point72 Asset Management, L.P. 116,652 12,535,000 0.03%
246 Main Street Research LLC 116,402 12,509,000 0.03%
247 HSBC HOLDINGS PLC 115,400 12,401,000 0.03% Call
248 EXXONMOBIL INVESTMENT MANAGEMENT INC /TX 113,117 12,156,000 0.03%
249 Clark Capital Management Group, Inc. 111,031 11,931,000 0.03%
250 PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 109,226 11,737,000 0.02%
Page 5 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.