CATERPILLAR INC

Ticker: CAT CUSIP: 149123101 Class: COM

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
VANGUARD GROUP INC46,385,185$26,572,681
BlackRock, Inc.36,208,775$20,742,921
STATE STREET CORP35,388,550$20,273,039
STATE FARM MUTUAL AUTOMOBILE INSURANCE CO17,431,190$9,985,806
GEODE CAPITAL MANAGEMENT, LLC10,610,182$6,072,572
Fisher Asset Management, LLC9,493,266$5,438,408
MORGAN STANLEY7,075,119$4,053,125
BANK OF AMERICA CORP /DE/6,738,802$3,860,457
GATES FOUNDATION TRUST6,353,614$3,639,795
PRICE T ROWE ASSOCIATES INC /MD/5,993,729$3,434
NORTHERN TRUST CORP5,851,276$3,352,020
FMR LLC4,061,103$2,326,484
Capital World Investors4,009,003$2,296,957
WELLINGTON MANAGEMENT GROUP LLP3,859,902$2,211,222
Bank of New York Mellon Corp3,556,647$2,037,497
UBS ASSET MANAGEMENT AMERICAS INC3,544,224$2,030,380
CHARLES SCHWAB INVESTMENT MANAGEMENT INC3,345,375$1,916,471
GOLDMAN SACHS GROUP INC3,139,546$1,798,552
Invesco Ltd.3,031,666$1,736,750
Capital Research Global Investors2,845,207$1,629,948
DIMENSIONAL FUND ADVISORS LP2,772,301$1,588,239
Legal & General Group Plc2,720,308$1,558,383
JPMORGAN CHASE & CO2,600,270$1,489,619
ROYAL BANK OF CANADA2,512,046$1,439,075
Nuveen, LLC2,309,181$1,322,861
Capital International Investors2,138,909$1,225,317
WELLS FARGO & COMPANY/MN2,008,129$1,150,397
MASSACHUSETTS FINANCIAL SERVICES CO /MA/1,835,924$1,051,746
Amundi1,714,140$981,979
DEUTSCHE BANK AG\1,450,183$830,766
Voya Investment Management LLC1,426,384$817,133
Sumitomo Mitsui Trust Holdings, Inc.1,352,474$774,792
Capital Wealth Planning, LLC1,309,210$763,490
Mitsubishi UFJ Kokusai Asset Management Co., Ltd.1,290,529$772,265
Swiss National Bank1,283,780$735,439
UBS Group AG1,280,001$733,274
BARCLAYS PLC1,147,830$657,557
AMERIPRISE FINANCIAL INC1,046,549$599,690
LPL Financial LLC1,023,220$586,172
RAYMOND JAMES FINANCIAL INC1,019,075$583,889
HSBC HOLDINGS PLC1,012,216$580,204
National Pension Service979,008$560,844
ALLIANCEBERNSTEIN L.P.883,063$505,880
PRIMECAP MANAGEMENT CO/CA/880,170$504,223
CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM876,488$502,114
FRANKLIN RESOURCES INC873,720$500,528
NEUBERGER BERMAN GROUP LLC850,225$487,133
RHUMBLINE ADVISERS815,175$466,989
DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt773,176$442,934
BANK OF MONTREAL /CAN/757,187$433,770
CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM726,058$415,937
BNP PARIBAS ARBITRAGE, SA724,580$415,090
AMERICAN CENTURY COMPANIES INC638,692$365,888
HighTower Advisors, LLC632,814$362,520
VICTORY CAPITAL MANAGEMENT INC620,359$355,385
STIFEL FINANCIAL CORP605,482$346,892
Corient Private Wealth LLC595,670$223,093
PRINCIPAL FINANCIAL GROUP INC566,459$324,507
Thrivent Financial for Lutherans557,202$319
Bank Julius Baer & Co. Ltd, Zurich549,879$315,403
TD Asset Management Inc549,364$314,714
NEW YORK STATE COMMON RETIREMENT FUND525,478$301,031
PRUDENTIAL FINANCIAL INC520,658$298,269
Cynosure Group, LLC513,754$10,841
ProShare Advisors LLC511,860$293,229
CITIGROUP INC509,924$292,120
FIFTH THIRD BANCORP504,190$288,835
abrdn plc494,496$283,282
TORONTO DOMINION BANK493,690$282,819
US BANCORP \DE\490,854$281,196
SCHRODER INVESTMENT MANAGEMENT GROUP487,620$279,343
Alphinity Investment Management Pty Ltd440,246$252,204
SG Americas Securities, LLC433,011$248
ENVESTNET ASSET MANAGEMENT INC432,262$247,622
CAISSE DE DEPOT ET PLACEMENT DU QUEBEC424,849$243,383
ZACKS INVESTMENT MANAGEMENT421,914$241,702
STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM411,912$235,972
CANADA PENSION PLAN INVESTMENT BOARD408,133$233,807
BESSEMER GROUP INC406,478$233
BANK OF NOVA SCOTIA406,004$232,587
AVIVA PLC405,333$232,203
NATIONAL BANK OF CANADA /FI/401,658$230,079
Focus Partners Wealth395,641$226,632
Korea Investment CORP385,428$220,800
ADAGE CAPITAL PARTNERS GP, L.L.C.384,378$220,199
NEW YORK STATE TEACHERS RETIREMENT SYSTEM370,628$212
MANUFACTURERS LIFE INSURANCE COMPANY, THE359,528$205,963
Creative Planning356,019$203,952
COMMONWEALTH EQUITY SERVICES, LLC355,496$203,653
PNC Financial Services Group, Inc.347,360$198,992
NATIXIS ADVISORS, L.P.346,912$199
Rockefeller Capital Management L.P.346,392$198,438
MACKENZIE FINANCIAL CORP345,505$199,099
SUSQUEHANNA INTERNATIONAL GROUP, LLP331,651$189,993
MARKEL GROUP INC.328,650$188,274
DekaBank Deutsche Girozentrale326,603$125
CITADEL ADVISORS LLC326,055$186,787
Mariner, LLC322,922$185,015
Baird Financial Group, Inc.321,502$184,179
NOMURA ASSET MANAGEMENT CO LTD313,622$179,665
3369 other institutions45,285,036$23,398,488
Total (3,469 institutions)329,823,443$181,216,639