Notable Holders of Caterpillar, Inc. (CAT)
|
Expand Research on CAT
|
* Does Not Fully Represent All Holders
| Fund | Title | Shares | % Owned | Source |
|---|---|---|---|---|
| VANGUARD GROUP INC | COM | 29,104,508 | 4.50% | 13F |
| STATE FARM MUTUAL AUTOMOBILE INSURANCE CO | COM | 19,707,800 | 3.05% | 13F |
| BlackRock Institutional Trust Company, N.A. | COM | 16,590,851 | 2.57% | 13F |
| Bill & Melinda Gates Foundation Trust | COM | 10,090,400 | 1.56% | 13F |
| NORTHERN TRUST CORP | COM | 8,246,707 | 1.28% | 13F |
| Fidelity Investments | COM | 7,288,000 | 1.13% | 13F |
| PRIMECAP | COM | 6,185,221 | 0.96% | 13F |
| BlackRock Fund Advisors | COM | 5,975,126 | 0.92% | 13F |
| WADDELL & REED FINANCIAL INC | COM | 5,945,498 | 0.92% | 13F |
| TIAA CREF INVESTMENT MANAGEMENT LLC | COM | 5,902,372 | 0.91% | 13F |
| JANUS CAPITAL MANAGEMENT LLC | COM | 5,469,996 | 0.85% | 13F |
| MORGAN STANLEY | COM | 4,670,491 | 0.72% | 13F |
| GEODE CAPITAL MANAGEMENT LLC | COM | 4,325,411 | 0.67% | 13F |
| BLACKROCK ADVISORS LLC | COM | 4,255,921 | 0.66% | 13F |
| BlackRock Group LTD | COM | 4,020,609 | 0.62% | 13F |
| Wellington | COM | 3,889,202 | 0.60% | 13F |
| PRICE T ROWE ASSOCIATES INC /MD/ | COMM STK | 3,632,790 | 0.56% | 13F |
| JPMORGAN CHASE & CO | COMMON | 3,307,201 | 0.51% | 13F |
| SAROFIM FAYEZ | COMMON | 3,229,657 | 0.50% | 13F |
| Goldman Sachs Asset Management, L.P. | CMN | 3,015,404 | 0.47% | 13F |
| BlackRock Investment Management, LLC | COM | 2,899,438 | 0.45% | 13F |
| LEGAL & GENERAL GROUP PLC | COM | 2,696,051 | 0.42% | 13F |
| DEUTSCHE BANK AG\ | COM | 2,691,325 | 0.42% | 13F |
| WELLS FARGO & CO/MN | CMNSTOCK | 2,681,200 | 0.41% | 13F |
| Sumitomo Mitsui Trust Holdings, Inc. | COM | 2,427,550 | 0.38% | 13F |
| MACQUARIE GROUP LTD | COMMON STOCK | 2,267,060 | 0.35% | 13F |
| NEW YORK STATE COMMON RETIREMENT FUND | COMMON STOCK | 2,180,099 | 0.34% | 13F |
| AMERIPRISE FINANCIAL INC | COM | 2,125,262 | 0.33% | 13F |
| ROYAL BANK OF CANADA \ | COM | 1,888,127 | 0.29% | 13F |
| NEW YORK STATE TEACHERS RETIREMENT SYSTEM | COM | 1,792,577 | 0.28% | 13F |
| BARCLAYS PLC (PUT) | OPT | 1,791,700 | 0.28% | 13F |
| OPPENHEIMER FUNDS INC | COM | 1,754,201 | 0.27% | 13F |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | * CATERPILLAR INC DEL | 1,749,212 | 0.27% | 13F |
| UBS AG | COM | 1,746,439 | 0.27% | 13F |
| SG Americas Securities, LLC (PUT) | 1,737,700 | 0.27% | 13F | |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | COM | 1,527,592 | 0.24% | 13F |
| CREDIT AGRICOLE S A | COM | 1,468,035 | 0.23% | 13F |
| Mitsubishi UFJ Trust & Banking Corp | COM | 1,387,216 | 0.21% | 13F |
| CREDIT SUISSE AG/ | COM | 1,332,295 | 0.21% | 13F |
| BlackRock Japan Co. Ltd | COM | 1,229,096 | 0.19% | 13F |
| Clough Capital (PUT) | COM | 1,210,000 | 0.19% | 13F |
| RUSSELL FRANK CO/ | COMMON STOCKS | 1,188,431 | 0.18% | 13F |
| STATE OF WISCONSIN INVESTMENT BOARD | COM | 1,087,907 | 0.17% | 13F |
| BlackRock Inc. | COM | 1,087,615 | 0.17% | 13F |
| TURNER INVESTMENT PARTNERS INC | COM | 1,054,770 | 0.16% | 13F |
| Mizuho Trust & Banking Co., Ltd. | COM | 1,047,833 | 0.16% | 13F |
| Invesco Ltd. | COMMON | 1,041,211 | 0.16% | 13F |
| BMO FINANCIAL CORP | COM | 1,017,430 | 0.16% | 13F |
| PIONEER INVESTMENT MANAGEMENT INC | COMMSTCK | 980,840 | 0.15% | 13F |
| Citadel (PUT) | CMN | 977,700 | 0.15% | 13F |
| SCHRODER INVESTMENT MANAGEMENT GROUP | COM | 973,912 | 0.15% | 13F |
| LORD ABBETT & CO LLC | COM | 948,925 | 0.15% | 13F |
| UNITED STATES STEEL & CARNEGIE PENSION FD | 940,000 | 0.15% | 13F | |
| Timber Hill LLC (PUT) | PUT | 937,800 | 0.15% | 13F |
| PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO | COM | 903,937 | 0.14% | 13F |
| Aletheia Research & Management, Inc | COM | 903,357 | 0.14% | 13F |
| CAPSTONE INVESTMENT ADVISORS, LLC (PUT) | COMMON | 870,200 | 0.13% | 13F |
| Adage Capital | COM | 854,541 | 0.13% | 13F |
| THRIVENT FINANCIAL FOR LUTHERANS | COM | 853,800 | 0.13% | 13F |
| TEACHERS ADVISORS INC | COM | 844,138 | 0.13% | 13F |
| PARAMETRIC PORTFOLIO ASSOCIATES | Common Stock | 817,509 | 0.13% | 13F |
| Euclid Advisors LLC | COM | 797,000 | 0.12% | 13F |
| PRINCIPAL FINANCIAL GROUP INC | COM | 765,806 | 0.12% | 13F |
| REGIONS FINANCIAL CORP | COM | 747,766 | 0.12% | 13F |
| PEAK6 Investments, L.P. (PUT) | COM | 721,800 | 0.11% | 13F |
| RCM CAPITAL MANAGEMENT LLC | COM | 720,182 | 0.11% | 13F |
| CAISSE DE DEPOT ET PLACEMENT DU QUEBEC | COMMON | 700,600 | 0.11% | 13F |
| OZ MANAGEMENT LP (PUT) | COM | 689,400 | 0.11% | 13F |
| Walleye Trading LLC (PUT) | COM | 680,700 | 0.11% | 13F |
| CITIGROUP INC (PUT) | COM | 667,300 | 0.10% | 13F |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | COMMON | 645,144 | 0.10% | 13F |
| SYSTEMATIC FINANCIAL MANAGEMENT LP | 621,146 | 0.10% | 13F | |
| Manulife Asset Management (North America) Ltd | COM | 620,016 | 0.10% | 13F |
| ALGER FRED MANAGEMENT INC | COMMON | 581,819 | 0.09% | 13F |
| Alphabet Management, LLC | COM | 577,129 | 0.09% | 13F |
| RENAISSANCE TECHNOLOGIES LLC | COM | 576,400 | 0.09% | 13F |
| DIMENSIONAL FUND ADVISORS LP | COM | 569,103 | 0.09% | 13F |
| SUNTRUST BANKS INC | 565,456 | 0.09% | 13F | |
| HSBC HOLDINGS PLC | 526,133 | 0.08% | 13F | |
| TWO SIGMA INVESTMENTS LLC | COM | 520,809 | 0.08% | 13F |
| COMERICA BANK | COM | 505,268 | 0.08% | 13F |
| MASON STREET ADVISORS LLC | COM | 504,606 | 0.08% | 13F |
| ING INVESTMENT MANAGEMENT CO | COM | 504,086 | 0.08% | 13F |
| OAKMONT CORP /CA/ | COMMON | 473,160 | 0.07% | 13F |
| TD ASSET MANAGEMENT INC | COM | 459,838 | 0.07% | 13F |
| BlueCrest Capital Management LLP (CALL) | COM | 450,000 | 0.07% | 13F |
| Ionic Capital Management LLC (PUT) | COM | 414,800 | 0.06% | 13F |
| Neuberger Berman Group LLC | COMMON STOCK | 407,196 | 0.06% | 13F |
| FIL Ltd | COM | 397,570 | 0.06% | 13F |
| MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | COM | 382,759 | 0.06% | 13F |
| MANUFACTURERES LIFE INSURANCE CO | COM | 362,118 | 0.06% | 13F |
| Employees Retirement System of Texas | COM | 355,500 | 0.05% | 13F |
| Nationwide Fund Advisors | STOCK | 340,038 | 0.05% | 13F |
| BOWEN HANES & CO INC | COM | 337,485 | 0.05% | 13F |
| MADISON SQUARE INVESTORS LLC. | COM | 326,532 | 0.05% | 13F |
| Grantham, Mayo, Van Otterloo & Co. LLC | COM | 314,940 | 0.05% | 13F |
| D. E. Shaw & Co., INC. (PUT) | COM | 304,221 | 0.05% | 13F |
| Nuveen HydePark Group, LLC | COM | 297,100 | 0.05% | 13F |
| ATHERTON LANE ADVISERS, LLC | COM | 291,823 | 0.05% | 13F |
| STATE TREASURER STATE OF MICHIGAN | COM | 290,064 | 0.04% | 13F |
| ANALYTIC INVESTORS INC/CA | 289,946 | 0.04% | 13F | |
| BLUESTEIN R H & CO | COM | 287,096 | 0.04% | 13F |
| ASSOCIATED BANC-CORP | COM | 270,995 | 0.04% | 13F |
| PNC FINANCIAL SERVICES GROUP INC | COM | 270,214 | 0.04% | 13F |
| AMERICAN INTERNATIONAL GROUP INC | COM | 268,137 | 0.04% | 13F |
| KNIGHT CAPITAL GROUP, INC. (PUT) | PUT | 261,900 | 0.04% | 13F |
| Irish Life Investment Managers | COM | 256,320 | 0.04% | 13F |
| Legg Mason Investment Counsel, LLC | COM | 250,514 | 0.04% | 13F |
| MARKEL CORP | COM | 247,234 | 0.04% | 13F |
| Parallax Volatility Advisers, LLC (PUT) | COM | 240,000 | 0.04% | 13F |
| PUBLIC SECTOR PENSION INVESTMENT BOARD | COMMON | 238,053 | 0.04% | 13F |
| Korea Investment CORP | COM | 236,500 | 0.04% | 13F |
| SHELL ASSET MANAGEMENT CO | COM | 235,674 | 0.04% | 13F |
| Ashfield Capital Partners, LLC | COM | 231,475 | 0.04% | 13F |
| COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS | 221,091 | 0.03% | 13F | |
| JACOBS LEVY EQUITY MANAGEMENT INC | COM | 220,390 | 0.03% | 13F |
| MARVIN & PALMER ASSOCIATES INC | COM | 220,350 | 0.03% | 13F |
| AXIAL CAPITAL MANAGEMENT, LLC (PUT) | COM | 219,100 | 0.03% | 13F |
| Bridgewater Associates, LP | COM | 218,787 | 0.03% | 13F |
| GABELLI FUNDS LLC | COM | 215,500 | 0.03% | 13F |
| SANTA BARBARA ASSET MANAGEMENT | COM | 212,517 | 0.03% | 13F |
| GUGGENHEIM CAPITAL LLC | COM | 207,092 | 0.03% | 13F |
| BNP Paribas Investment Partners S.A. | COM | 206,163 | 0.03% | 13F |
| AVALON ADVISORS, LLC | COM | 205,839 | 0.03% | 13F |
| Baring Asset Management LLC | COM | 203,989 | 0.03% | 13F |
| SCOTIA CAPITAL INC. | COM | 198,747 | 0.03% | 13F |
| Spot Trading L.L.C (PUT) | COM | 197,900 | 0.03% | 13F |
| NICHOLS & PRATT ADVISERS LLP /MA | COM | 197,660 | 0.03% | 13F |
| LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC | COM | 194,883 | 0.03% | 13F |
| RiverFront Investment Group, LLC | COM | 192,438 | 0.03% | 13F |
| Boston Advisors | COM | 190,505 | 0.03% | 13F |
| RAYMOND JAMES & ASSOCIATES | COM | 184,267 | 0.03% | 13F |
| MEYER HANDELMAN CO | Com | 183,266 | 0.03% | 13F |
| Wharton Business Group, LLC | COM | 172,903 | 0.03% | 13F |
| Commonwealth Equity Services, Inc | COM | 172,897 | 0.03% | 13F |
| UMB BANK N A/MO | COMMON | 172,277 | 0.03% | 13F |
| DIAM Co., Ltd. | COM | 171,877 | 0.03% | 13F |
| S&CO INC | COMMON | 167,120 | 0.03% | 13F |
| F&C Asset Management plc | USD1.00 | 166,362 | 0.03% | 13F |
| MONTRUSCO BOLTON INVESTMENTS INC. | COM | 165,923 | 0.03% | 13F |
| FIRST INVESTORS MANAGEMENT CO INC | CSD | 164,600 | 0.03% | 13F |
| OMERS ADMINISTRATION CORP | COM | 152,670 | 0.02% | 13F |
| WILMINGTON TRUST CO | COMMON | 151,009 | 0.02% | 13F |
| NOMURA ASSET MANAGEMENT CO LTD | 145,981 | 0.02% | 13F | |
| UNIONBANCAL CORP | COM | 132,051 | 0.02% | 13F |
| SUFFOLK CAPITAL MANAGEMENT LLC | COM | 131,600 | 0.02% | 13F |
| KLINGENSTEIN FIELDS & CO LLC | COM | 131,083 | 0.02% | 13F |
| PineBridge Investments Ltd | COM | 129,940 | 0.02% | 13F |
| HERITAGE INVESTORS MANAGEMENT CORP | COM | 127,713 | 0.02% | 13F |
| CITY NATIONAL BANK | COMMON STOCK | 126,900 | 0.02% | 13F |
| SEGALL BRYANT & HAMILL | -COMMON STOCK | 126,410 | 0.02% | 13F |
| FIRST QUADRANT L P/CA | COM | 126,200 | 0.02% | 13F |
| Daiwa Securities Group Inc. | COM | 126,200 | 0.02% | 13F |
| GLENMEDE TRUST CO NA | COMMON | 125,964 | 0.02% | 13F |
| GAM Holding Ltd. | 124,450 | 0.02% | 13F | |
| MARKSTON INTERNATIONAL LLC | common stock | 122,232 | 0.02% | 13F |
| COMMONWEALTH BANK OF AUSTRALIA | COM | 120,879 | 0.02% | 13F |
| HYMAN CHARLES D | COM | 120,763 | 0.02% | 13F |
| FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. | COM | 120,369 | 0.02% | 13F |
| EDELMAN FINANCIAL GROUP INC. | COM | 118,076 | 0.02% | 13F |
| NEW MEXICO EDUCATIONAL RETIREMENT BOARD | COM | 117,502 | 0.02% | 13F |
| World Asset Management Inc | COM | 116,954 | 0.02% | 13F |
| BAIRD ROBERT W & CO INC /WI/ | COMMON | 116,109 | 0.02% | 13F |
| PINNACLE ASSOCIATES LTD | COM | 115,468 | 0.02% | 13F |
| Robeco Institutional Asset Management B.V. | COM | 115,200 | 0.02% | 13F |
| HANCOCK HOLDING CO | COM | 114,856 | 0.02% | 13F |
| CURIAN CAPITAL LLC | COM | 114,219 | 0.02% | 13F |
| ROYAL LONDON ASSET MANAGEMENT LTD | COM | 112,482 | 0.02% | 13F |
| ZWEIG ADVISERS LLC | 112,000 | 0.02% | 13F | |
| NEW AMSTERDAM PARTNERS LLC/NY | COM | 110,576 | 0.02% | 13F |
| FIRST FOUNDATION ADVISORS | COM | 109,742 | 0.02% | 13F |
| CIBC Global Asset Management Inc | COM | 105,250 | 0.02% | 13F |
| SAC Capital | COMMON | 100,404 | 0.02% | 13F |
| Ulys, LLC (CALL) | COM | 100,000 | 0.02% | 13F |
| WS MANAGEMENT LLLP (PUT) | OPTIONS - PUTS | 100,000 | 0.02% | 13F |
| SANDLER CAPITAL MANAGEMENT (PUT) | COM | 100,000 | 0.02% | 13F |
| Eos Partners, L.P. (PUT) | COM | 100,000 | 0.02% | 13F |
| LOEWS CORP (PUT) | COMMON | 100,000 | 0.02% | 13F |
| P&S Credit Management, L.P. (CALL) | COM | 100,000 | 0.02% | 13F |
| KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC | COMMON STOCKS | 98,975 | 0.02% | 13F |
| PORTOLA GROUP INC /CA | COM | 95,650 | 0.01% | 13F |
| PENN MUTUAL LIFE INSURANCE CO | COM | 95,437 | 0.01% | 13F |
| DODGE & COX | COM | 95,386 | 0.01% | 13F |
| MASTRAPASQUA ASSET MANAGEMENT INC | COM | 94,961 | 0.01% | 13F |
| AUSTIN CALVERT & FLAVIN INC | COM | 94,454 | 0.01% | 13F |
| KBC Group NV | COM | 93,225 | 0.01% | 13F |
| DAI ICHI LIFE INSURANCE CO., LTD. | COM | 91,895 | 0.01% | 13F |
| SCHMEIDLER A R & CO INC | COM | 91,506 | 0.01% | 13F |
| FIDUCIARY ASSET MANAGEMENT CO /MO | COM | 91,440 | 0.01% | 13F |
| U S GLOBAL INVESTORS INC | COM | 89,500 | 0.01% | 13F |
| Vision Capital Management, Inc. | CS | 88,797 | 0.01% | 13F |
| VIRGINIA RETIREMENT SYSTEMS ET AL | COM | 84,534 | 0.01% | 13F |
| BROWN BROTHERS HARRIMAN & CO | COMMON | 82,376 | 0.01% | 13F |
| Janney Montgomery Scott LLC | COMMON STOCK | 81,218 | 0.01% | 13F |
| NIPPON LIFE INSURANCE CO | COM | 79,300 | 0.01% | 13F |
| BOSTON FINANCIAL MANGEMENT INC /MA | COM | 79,100 | 0.01% | 13F |
| WILMINGTON TRUST FSB | COMMON | 78,488 | 0.01% | 13F |
| Busey Trust CO | COMMON STOCK | 78,158 | 0.01% | 13F |
| COLONY GROUP LLC | COM | 78,011 | 0.01% | 13F |
| Redwood Investments, LLC | COM | 77,951 | 0.01% | 13F |
| Estabrook Capital Management | 77,795 | 0.01% | 13F | |
| APPLETON PARTNERS INC/MA | COMMON STOCK | 77,025 | 0.01% | 13F |
| TRAXIS PARTNERS LP | COM | 76,515 | 0.01% | 13F |
| BATTERYMARCH FINANCIAL MANAGEMENT INC | COM | 76,398 | 0.01% | 13F |
| TWO SIGMA ADVISERS, LLC | COM | 76,113 | 0.01% | 13F |
| ALLSTATE CORP | COMMON | 75,700 | 0.01% | 13F |
| Raymond James Financial Services Advisors, Inc. | COM | 75,691 | 0.01% | 13F |
| Dynamic Capital Management Ltd | COM | 75,600 | 0.01% | 13F |
| Clear Harbor Asset Management, LLC | COM | 74,731 | 0.01% | 13F |
| TOCQUEVILLE ASSET MANAGEMENT LP | COM | 74,693 | 0.01% | 13F |
| RUANE, CUNNIFF & GOLDFARB INC | COM | 74,643 | 0.01% | 13F |
| APG All Pensions Group NV | COM | 74,522 | 0.01% | 13F |
| STRATTON MANAGEMENT CO | COM | 74,176 | 0.01% | 13F |
| Aperio Group, LLC | COMMON | 74,146 | 0.01% | 13F |
| CONCORD ASSET MANAGEMENT LLC | COM | 73,429 | 0.01% | 13F |
| FIDUCIARY TRUST CO | COMMON | 73,294 | 0.01% | 13F |
| DEERE & CO | COM | 72,479 | 0.01% | 13F |
| OPPENHEIMER & CO INC | COM | 70,454 | 0.01% | 13F |
| SYMPHONY ASSET MANAGEMENT LLC | COM | 70,159 | 0.01% | 13F |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | COM | 68,700 | 0.01% | 13F |
| DEARBORN PARTNERS LLC | COM | 67,467 | 0.01% | 13F |
| LMR Master Fund Ltd | COM | 66,511 | 0.01% | 13F |
