Stock Transactions — CATERPILLAR INC

Total Bought
17,433,399
1,450 transactions
Total Sold
17,144,277
1,552 transactions
Net
+289,122
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
DIAMANT ASSET MANAGEMENT, INC.4,5833,140,603+3,136,0201.902.29+0.39buy
Capital International Investors2,138,9093,459,278+1,320,3690.190.57+0.38buy
BlackRock, Inc.36,208,77537,169,433+960,6580.350.46+0.11buy
Invesco Ltd.3,031,6663,849,600+817,9340.210.35+0.13buy
CITIGROUP INC509,9241,193,255+683,3310.200.54+0.34buy
BARCLAYS PLC1,147,8301,747,581+599,7510.260.44+0.18buy
GEODE CAPITAL MANAGEMENT, LLC10,610,18211,127,483+517,3010.370.49+0.12buy
Amundi1,714,1402,217,637+503,4970.270.43+0.16buy
GFS Advisors, LLC0500,940+500,9400.001.69+1.69buy
MORGAN STANLEY7,075,1197,499,662+424,5430.240.32+0.08buy
Capital Research Global Investors2,845,2073,200,849+355,6420.300.35+0.05buy
JPMORGAN CHASE & CO2,600,2702,940,579+340,3090.100.13+0.03buy
Holocene Advisors, LP0292,937+292,9370.000.50+0.50buy
AGF MANAGEMENT LTD2,651285,596+282,9450.010.91+0.90buy
Fisher Asset Management, LLC9,493,2669,775,952+282,6861.862.35+0.49buy
1832 Asset Management L.P.945194,231+193,2860.000.18+0.18buy
TWO SIGMA INVESTMENTS, LP13,200201,870+188,6700.010.12+0.11buy
Nearwater Capital Markets, Ltd0152,000+152,0000.002.54+2.54buy
DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main773,176918,660+145,4840.390.59+0.21buy
ACADIAN ASSET MANAGEMENT LLC21,128163,869+142,7410.020.16+0.14buy
BESSEMER GROUP INC406,478540,796+134,3180.360.60+0.24buy
Tredje AP-fonden0129,533+129,5330.000.50+0.50buy
UBS Group AG1,280,0011,404,577+124,5760.150.18+0.03buy
Artisan Partners Limited Partnership36,479149,683+113,2040.030.17+0.14buy
Bank Julius Baer & Co. Ltd, Zurich549,879660,444+110,5650.871.40+0.53buy
JONES FINANCIAL COMPANIES LLLP116,416226,331+109,9150.040.08+0.03buy
Clark Capital Management Group, Inc.7,146112,369+105,2230.030.49+0.47buy
PRINCIPAL FINANCIAL GROUP INC566,459666,306+99,8470.170.25+0.09buy
FRANKLIN RESOURCES INC873,720972,741+99,0210.120.17+0.05buy
Swiss National Bank1,283,7801,373,420+89,6400.440.56+0.12buy
CANADA PENSION PLAN INVESTMENT BOARD408,133497,436+89,3030.160.23+0.07buy
Qube Research & Technologies Ltd087,621+87,6210.000.09+0.09buy
FIFTH THIRD BANCORP504,190591,354+87,1640.920.77-0.15buy
Robeco Institutional Asset Management B.V.45,896130,991+85,0950.040.13+0.09buy
MACKENZIE FINANCIAL CORP345,505426,884+81,3790.240.36+0.13buy
TD Waterhouse Canada Inc.101,065179,054+77,9890.360.39+0.03buy
LPL Financial LLC1,023,2201,099,268+76,0480.160.21+0.05buy
ING GROEP NV66,441142,046+75,6050.230.62+0.39buy
KBC Group NV155,227229,297+74,0700.200.41+0.20buy
Jefferies Financial Group Inc.10,52483,728+73,2040.050.72+0.67buy
GOLDMAN SACHS GROUP INC3,139,5463,210,971+71,4250.260.30+0.04buy
FJARDE AP-FONDEN /FOURTH SWEDISH NATIONAL PENSION FUND117,924187,564+69,6400.570.72+0.16buy
CAPTRUST FINANCIAL ADVISORS141,582209,300+67,7180.150.26+0.11buy
Pictet Asset Management Holding SA307,291374,633+67,3420.170.28+0.11buy
Employees Retirement System of Texas061,448+61,4480.000.38+0.38buy
PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO60,156121,547+61,3910.130.34+0.21buy
Mitsubishi UFJ Asset Management Co., Ltd.1,290,5291,351,377+60,8480.520.64+0.12buy
Rathbones Group PLC172,709231,639+58,9300.390.66+0.27buy
Waverly Advisors, LLC48,166104,253+56,0870.220.55+0.33buy
BNP Paribas Asset Management Holding S.A.221,000275,591+54,5910.150.23+0.08buy
Ensign Peak Advisors, Inc178,875231,444+52,5690.180.31+0.12buy
Legal & General Group Plc2,720,3082,772,592+52,2840.350.45+0.11buy
NOMURA ASSET MANAGEMENT CO LTD313,622362,810+49,1880.450.66+0.21buy
COMMERCE BANK211,002259,482+48,4800.670.89+0.22buy
Quantinno Capital Management LP260,665308,530+47,8650.300.37+0.06buy
LAZARD ASSET MANAGEMENT LLC19,31562,361+43,0460.020.07+0.05buy
Janney Montgomery Scott LLC246,551289,401+42,8500.320.51+0.18buy
WELLS FARGO & COMPANY/MN2,008,1292,048,603+40,4740.220.29+0.07buy
WORLDQUANT MILLENNIUM ADVISORS LLC26,68166,882+40,2010.060.18+0.12buy
Calamos Advisors LLC95,705134,683+38,9780.230.37+0.14buy
TCW GROUP INC7,40146,057+38,6560.030.25+0.22buy
TD ASSET MANAGEMENT INC549,364585,483+36,1190.250.34+0.08buy
SEI INVESTMENTS CO174,713209,230+34,5170.100.14+0.04buy
WESTFIELD CAPITAL MANAGEMENT CO LP032,325+32,3250.000.10+0.10buy
Asset Management One Co., Ltd.289,298319,517+30,2190.470.67+0.20buy
Telemark Asset Management, LLC030,000+30,0000.001.96+1.96buy
Oribel Capital Management, LP030,000+30,0000.003.23+3.23buy
BALYASNY ASSET MANAGEMENT L.P.206,178236,149+29,9710.220.33+0.11buy
Bollard Group LLC200,490229,052+28,5623.024.96+1.94buy
Capital International Sarl7,21335,563+28,3500.070.41+0.35buy
AustralianSuper Pty Ltd028,242+28,2420.000.10+0.10buy
Polar Capital Holdings Plc117,615145,356+27,7410.310.45+0.14buy
INTECH INVESTMENT MANAGEMENT LLC26,30953,865+27,5560.130.38+0.24buy
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC25727,304+27,0470.000.06+0.06buy
Atlas Wealth LLC026,920+26,9200.000.20+0.20buy
HARBOUR INVESTMENTS, INC.10,70237,468+26,7660.120.41+0.29buy
Empowered Funds, LLC48,70275,281+26,5790.220.34+0.12buy
Overbrook Management Corp025,382+25,3820.003.40+3.40buy
Liontrust Investment Partners LLP025,328+25,3280.000.31+0.31buy
Allianz Asset Management GmbH177,578202,788+25,2100.120.17+0.05buy
Temasek Holdings (Private) Ltd27,36052,553+25,1930.050.13+0.07buy
NBT BANK N A /NY2,29127,451+25,1600.471.27+0.81buy
Regents Gate Capital LLP024,950+24,9500.003.77+3.77buy
Russell Investments Group, Ltd.176,891201,489+24,5980.110.15+0.04buy
ARK Investment Management LLC34,16858,578+24,4100.130.32+0.19buy
CAPITAL FUND MANAGEMENT S.A.56,20580,448+24,2430.300.51+0.21buy
Summit Financial, LLC12,93436,865+23,9310.110.33+0.22buy
Capital International, Inc./CA/84,616108,406+23,7900.380.59+0.21buy
Kentucky Retirement Systems29,07252,539+23,4670.450.35-0.10buy
Aberdeen Group plc494,496517,089+22,5930.440.59+0.15buy
RENAISSANCE TECHNOLOGIES LLC021,507+21,5070.000.02+0.02buy
Groupe la Francaise33,03554,220+21,1850.270.53+0.26buy
Beacon Pointe Advisors, LLC73,54293,986+20,4440.300.35+0.06buy
Bridgewater Associates, LP62,15782,502+20,3450.130.26+0.13buy
Voleon Capital Management LP1,12920,766+19,6370.010.32+0.30buy
Night Squared LP019,615+19,6150.002.04+2.04buy
TRIGLAV INVESTMENTS, D.O.O.019,250+19,2500.000.95+0.95buy
Y-Intercept (Hong Kong) Ltd60319,363+18,7600.010.26+0.25buy
Kestra Advisory Services, LLC202,090219,586+17,4960.480.59+0.11buy
Banco Santander, S.A.103,741120,995+17,2540.450.69+0.25buy
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