Stock Transactions — CATERPILLAR INC

Total Bought
6,829,919
858 transactions
Total Sold
11,114,977
977 transactions
Net
-4,285,058
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
BARCLAYS PLC1,421,5282,309,109+887,5810.230.40+0.17buy
Bank Julius Baer & Co. Ltd, Zurich118,374611,898+493,5240.760.86+0.10buy
GEODE CAPITAL MANAGEMENT, LLC9,872,98210,219,712+346,7300.320.36+0.04buy
NORGES BANK5,616,2605,942,737+326,4770.300.35+0.05buy
CANADA PENSION PLAN INVESTMENT BOARD100,198407,677+307,4790.040.16+0.12buy
BNP PARIBAS FINANCIAL MARKETS345,531632,517+286,9860.200.30+0.10buy
Capital International Investors244,407488,660+244,2530.020.04+0.02buy
UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC2,358,9272,570,087+211,1600.280.34+0.06buy
Fisher Asset Management, LLC8,139,0408,341,641+202,6011.271.43+0.16buy
JUPITER ASSET MANAGEMENT LTD72,436265,743+193,3070.210.93+0.72buy
Cetera Investment Advisers77,355251,685+174,3300.200.23+0.04buy
D. E. Shaw & Co., Inc.375,976233,750+142,2260.180.120.00sell
Assenagon Asset Management S.A.15,454135,416+119,9620.010.13+0.12buy
Capital Research Global Investors1,900,7742,020,100+119,3260.140.17+0.03buy
Capital Wealth Planning, LLC1,182,4531,297,882+115,4294.005.08+1.08buy
INTECH INVESTMENT MANAGEMENT LLC54,953162,123+107,1700.240.84+0.60buy
Mitsubishi UFJ Asset Management Co., Ltd.767,208863,117+95,9090.380.44+0.05buy
THRIVENT FINANCIAL FOR LUTHERANS399,120494,674+95,5540.270.38+0.11buy
Tredje AP-fonden140,548235,048+94,5000.520.89+0.37buy
Squarepoint Ops LLC53,030143,858+90,8280.070.25+0.18buy
B. Metzler seel. Sohn & Co. AG48,930137,479+88,5490.180.55+0.36buy
UBS Group AG1,761,3911,847,030+85,6390.230.25+0.01buy
VICTORY CAPITAL MANAGEMENT INC502,267581,782+79,5150.160.22+0.05buy
Skandinaviska Enskilda Banken AB (publ)120,548196,558+76,0100.210.35+0.15buy
CAISSE DE DEPOT ET PLACEMENT DU QUEBEC172,149237,250+65,1010.130.21+0.08buy
AMERICAN CENTURY COMPANIES INC415,505477,810+62,3050.090.11+0.03buy
CIBC WORLD MARKETS CORP75,552136,294+60,7420.120.33+0.21buy
Varma Mutual Pension Insurance Co39,49699,796+60,3000.130.32+0.19buy
Mitsubishi UFJ Trust & Banking Corp344,417400,496+56,0790.240.34+0.10buy
JENNISON ASSOCIATES LLC211,953267,888+55,9350.050.07+0.02buy
NORDEA INVESTMENT MANAGEMENT AB1,016,4641,067,960+51,4960.380.46+0.08buy
STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM549,291593,608+44,3170.340.32-0.02buy
Cambridge Investment Research Advisors, Inc.149,012188,801+39,7890.200.29+0.09buy
AVIVA PLC190,322228,318+37,9960.200.28+0.07buy
Segment Wealth Management, LLC2,18036,525+34,3450.061.02+0.96buy
Zurcher Kantonalbank (Zurich Cantonalbank)216,760248,905+32,1450.250.33+0.08buy
FORSTA AP-FONDEN123,000151,900+28,9000.370.47+0.10buy
TWO SIGMA SECURITIES, LLC7,17534,864+27,6890.110.74+0.62buy
Allianz Asset Management GmbH199,872227,372+27,5000.110.14+0.03buy
Buck Wealth Strategies, LLC2,08229,107+27,0250.233.66+3.44buy
CHARLES SCHWAB INVESTMENT MANAGEMENT INC3,264,6353,291,247+26,6120.260.29+0.03buy
APG Asset Management N.V.407,955433,828+25,8730.210.26+0.04buy
Robeco Institutional Asset Management B.V.121,152146,389+25,2370.090.12+0.03buy
PRINCIPAL FINANCIAL GROUP INC727,853752,651+24,7980.140.17+0.03buy
HRT FINANCIAL LP8,45332,356+23,9030.020.07+0.06buy
Creative Planning180,613203,608+22,9950.100.08-0.02buy
Steward Partners Investment Advisory, LLC72,43095,358+22,9280.300.40+0.10buy
State of Tennessee, Department of Treasury186,747208,561+21,8140.220.29+0.07buy
Swedbank AB243,058264,832+21,7740.120.85+0.73buy
Edgestream Partners, L.P.1,65921,912+20,2530.040.40+0.36buy
ZACKS INVESTMENT MANAGEMENT500,890521,038+20,1481.822.04+0.21buy
Vest Financial, LLC108,386127,718+19,3321.191.24+0.05buy
Venture Visionary Partners LLC8,97727,295+18,3180.130.480.00buy
Beacon Pointe Advisors, LLC72,88490,664+17,7800.260.37+0.11buy
MIZUHO MARKETS AMERICAS LLC18,12434,519+16,3950.160.34+0.18buy
DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main73,12889,412+16,2840.030.04+0.01buy
FIFTH THIRD BANCORP485,869502,108+16,2390.610.72+0.11buy
SCHRODER INVESTMENT MANAGEMENT GROUP352,812368,371+15,5590.140.16+0.02buy
Sumitomo Mitsui DS Asset Management Company, Ltd244,754260,271+15,5170.951.19+0.24buy
TruWealth Advisors, LLC1,18616,677+15,4910.030.43+0.40buy
Twin Tree Management, LP20,62435,822+15,1980.110.30+0.19buy
Alpha Cubed Investments, LLC98,386113,456+15,0701.632.17+0.54buy
SlateStone Wealth, LLC21,93336,949+15,0160.841.36+0.52buy
Summit Trail Advisors, LLC3,76618,439+14,6730.040.18+0.14buy
SEI INVESTMENTS CO100,216114,337+14,1210.050.06+0.01buy
Kestra Advisory Services, LLC134,766148,860+14,0940.340.39+0.05buy
Freestone Capital Holdings, LLC14,27527,567+13,2920.190.38+0.19buy
CANADA LIFE ASSURANCE Co205,897219,154+13,2570.140.17+0.03buy
Sigma Planning Corp13,64726,475+12,8280.320.31-0.01buy
Viewpoint Capital Management LLC12,74825,333+12,5852.645.33+2.69buy
Handelsbanken Fonder AB163,201175,509+12,3080.240.28+0.04buy
Focus Partners Wealth7,47819,276+11,7980.030.06+0.03buy
WESBANCO BANK INC11,76123,499+11,7380.200.32+0.13buy
Banco Santander, S.A.69,66981,022+11,3530.240.36+0.11buy
Plato Investment Management Ltd2,80513,465+10,6601.020.51-0.51buy
COLDSTREAM CAPITAL MANAGEMENT INC11,60422,019+10,4150.100.20+0.11buy
MERCER GLOBAL ADVISORS INC /ADV89,28599,508+10,2230.080.10+0.02buy
NATIXIS ADVISORS, LLC258,723268,938+10,2150.200.23+0.03buy
FIRST NATIONAL TRUST CO32,13942,204+10,0650.420.63+0.21buy
Financial Advocates Investment Management16,05826,120+10,0620.310.56+0.24buy
Compound Planning, Inc.11,58321,482+9,8990.470.73+0.25buy
SCOTIA CAPITAL INC.43,37453,262+9,8880.080.12+0.03buy
Merit Financial Group, LLC3,87513,654+9,7790.030.11+0.08buy
COMMERZBANK AKTIENGESELLSCHAFT /FI1,82910,839+9,0100.020.13+0.11buy
SHELTON CAPITAL MANAGEMENT24,97033,916+8,9460.240.36+0.12buy
Focus Partners Advisor Solutions, LLC2,73011,418+8,6880.040.12+0.08buy
QRG CAPITAL MANAGEMENT, INC.91,00699,554+8,5480.400.46+0.06buy
IBEX WEALTH ADVISORS27,960+7,9580.130.52+0.38buy
NEVILLE RODIE & SHAW INC286,491294,175+7,6840.660.67+0.01buy
GUGGENHEIM CAPITAL LLC75,64083,287+7,6470.180.23+0.05buy
Dakota Wealth Management53,51860,792+7,2740.610.55-0.06buy
Capital Investment Counsel, LLC14,72021,519+6,7991.641.69+0.05buy
STATE OF WISCONSIN INVESTMENT BOARD273,834280,518+6,6840.240.28+0.04buy
DUALITY ADVISERS, LP5,67412,340+6,6660.180.45+0.27buy
CWM, LLC48,28854,662+6,3740.080.10+0.02buy
Capital International, Inc./CA/139,506145,713+6,2070.640.72+0.08buy
NOMURA ASSET MANAGEMENT CO LTD269,814275,822+6,0080.330.37+0.04buy
Daiwa Securities Group Inc.121,684127,600+5,9160.230.26+0.04buy
UniSuper Management Pty Ltd4,0569,800+5,7440.010.03+0.02buy
D.A. DAVIDSON & CO.75,13080,777+5,6470.220.27+0.05buy
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