Stock Transactions — CATERPILLAR INC

Total Bought
16,657,020
1,387 transactions
Total Sold
17,905,750
1,248 transactions
Net
-1,248,730
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
Nuveen, LLC1,281,3062,365,428+1,084,1220.120.25+0.13buy
VOYA INVESTMENT MANAGEMENT LLC300,7861,298,617+997,8310.110.50+0.39buy
PRICE T ROWE ASSOCIATES INC /MD/1,038,1051,855,578+817,4730.040.08+0.04buy
Assenagon Asset Management S.A.130,382843,093+712,7110.080.52+0.44buy
MARSHALL WACE, LLP145,061761,800+616,7390.060.35+0.29buy
Capital Research Global Investors3,736,1634,302,761+566,5980.270.33+0.07buy
VAN ECK ASSOCIATES CORP113,661571,724+458,0630.050.25+0.20buy
Soundwatch Capital LLC0429,033+429,0330.000.07+0.07buy
MILLENNIUM MANAGEMENT LLC213,902599,309+385,4070.070.21+0.14buy
Amundi1,554,8551,911,674+356,8190.170.26+0.09buy
BALYASNY ASSET MANAGEMENT L.P.24,641368,170+343,5290.020.32+0.30buy
NATIONAL BANK OF CANADA /FI/194,105512,757+318,6520.080.21+0.14buy
TWO SIGMA ADVISERS, LP0312,700+312,7000.000.25+0.25buy
SG Americas Securities, LLC204,201490,953+286,7520.230.84+0.61buy
Schonfeld Strategic Advisors LLC29,395313,528+284,1330.070.92+0.85buy
Interval Partners, LP0274,315+274,3150.002.43+2.43buy
ROYAL BANK OF CANADA1,957,2272,214,599+257,3720.140.17+0.02buy
Alyeska Investment Group, L.P.0218,946+218,9460.000.30+0.30buy
VICTORY CAPITAL MANAGEMENT INC464,358681,565+217,2070.160.17+0.01buy
Cartenna Capital, LP23,500240,000+216,5000.625.71+5.09buy
Fisher Asset Management, LLC9,210,1259,418,321+208,1961.311.45+0.14buy
Freestone Grove Partners LP38,617225,967+187,3500.130.66+0.53buy
Pictet Asset Management Holding SA306,004464,791+158,7870.110.18+0.07buy
Walleye Capital LLC835152,233+151,3980.000.55+0.54buy
TWO SIGMA INVESTMENTS, LP2,052144,201+142,1490.000.10+0.10buy
Invesco Ltd.3,141,9363,282,720+140,7840.200.22+0.02buy
TORONTO DOMINION BANK357,563493,282+135,7190.300.41+0.11buy
Legal & General Group Plc2,608,1042,743,075+134,9710.230.26+0.03buy
Trexquant Investment LP0134,293+134,2930.000.59+0.59buy
UBS Group AG2,033,7242,163,518+129,7940.150.18+0.03buy
AMERICAN CENTURY COMPANIES INC598,234727,912+129,6780.120.15+0.03buy
Fullerton Fund Management Co Ltd.0123,130+123,1300.001.93+1.93buy
ProShare Advisors LLC604,142725,166+121,0240.450.56+0.11buy
MORGAN STANLEY7,168,7737,288,145+119,3720.170.18+0.02buy
Zurich Insurance Group Ltd/FI0117,414+117,4140.000.35+0.35buy
FIL Ltd3,344119,909+116,5650.000.04+0.04buy
HRT FINANCIAL LP0114,625+114,6250.000.20+0.20buy
LOS ANGELES CAPITAL MANAGEMENT LLC132,653244,380+111,7270.190.36+0.16buy
CAPSTONE INVESTMENT ADVISORS, LLC12,877122,577+109,7000.040.41+0.37buy
DEUTSCHE BANK AG\1,408,0161,517,385+109,3690.180.22+0.03buy
DIAMOND HILL CAPITAL MANAGEMENT INC700,736797,199+96,4631.061.42+0.36buy
Jain Global LLC1,56096,502+94,9420.010.58+0.57buy
MASSACHUSETTS FINANCIAL SERVICES CO /MA/093,783+93,7830.000.01+0.01buy
WELLS FARGO & COMPANY/MN1,814,1201,903,646+89,5260.140.16+0.02buy
JONES FINANCIAL COMPANIES LLLP2,77890,545+87,7670.000.03+0.03buy
Ilmarinen Mutual Pension Insurance Co087,000+87,0000.000.27+0.27buy
Covalis Capital LLP086,526+86,5260.004.25+4.25buy
Swiss National Bank1,361,6001,446,800+85,2000.320.34+0.02buy
Sumitomo Mitsui Trust Group, Inc.1,416,4641,499,272+82,8080.330.36+0.03buy
Point72 Asset Management, L.P.081,351+81,3510.000.07+0.07buy
MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.78,947159,276+80,3290.060.12+0.06buy
Mitsubishi UFJ Asset Management Co., Ltd.1,181,8491,255,507+73,6580.360.39+0.03buy
THRIVENT FINANCIAL FOR LUTHERANS551,765621,518+69,7530.400.53+0.12buy
CSM Advisors, LLC25,66589,328+63,6630.461.01+0.55buy
NOMURA HOLDINGS INC16,08179,234+63,1530.030.21+0.19buy
ING GROEP NV3,93165,789+61,8580.010.16+0.15buy
Bornite Capital Management LP060,000+60,0000.002.33+2.33buy
KEYBANK NATIONAL ASSOCIATION/OH134,482191,239+56,7570.180.28+0.10buy
CADINHA & CO LLC055,013+55,0130.003.54+3.54buy
Mariner, LLC240,807295,642+54,8350.130.17+0.03buy
VESTOR CAPITAL, LLC13354,798+54,6650.000.62+0.61buy
Vest Financial, LLC141,770190,846+49,0760.731.05+0.32buy
CAPITAL FUND MANAGEMENT S.A.48,27795,861+47,5840.200.41+0.21buy
LPL Financial LLC940,372986,421+46,0490.120.13+0.01buy
Sequoia Financial Advisors, LLC125,429170,951+45,5220.320.45+0.14buy
WORLDQUANT MILLENNIUM ADVISORS LLC8,67653,949+45,2730.020.10+0.09buy
Allianz Asset Management GmbH199,019243,746+44,7270.100.13+0.03buy
Summit Trail Advisors, LLC042,329+42,3290.000.28+0.28buy
Quadrature Capital Ltd040,996+40,9960.000.27+0.27buy
Dakota Wealth Management35,86575,704+39,8390.280.62+0.34buy
Engineers Gate Manager LP1,31141,040+39,7290.010.20+0.19buy
BARCLAYS PLC1,364,2241,403,087+38,8630.200.22+0.01buy
BOOTHBAY FUND MANAGEMENT, LLC4,24042,050+37,8100.050.50+0.45buy
Graham Capital Management, L.P.3,03240,582+37,5500.030.48+0.45buy
Brevan Howard Capital Management LP31,26168,638+37,3770.290.29+0.00buy
ExodusPoint Capital Management, LP035,894+35,8940.000.17+0.17buy
Alight Capital Management LP035,500+35,5000.003.50+3.50buy
ALLIANCEBERNSTEIN L.P.537,319572,165+34,8460.060.07+0.01buy
Aventail Capital Group, LP033,808+33,8080.000.58+0.58buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP204,014237,553+33,5390.110.14+0.03buy
CHARLES SCHWAB INVESTMENT MANAGEMENT INC3,304,4483,337,915+33,4670.200.22+0.02buy
Longbow Finance SA032,687+32,6870.001.35+1.35buy
IMC-Chicago, LLC032,442+32,4420.000.31+0.31buy
NOMURA ASSET MANAGEMENT CO LTD308,902340,368+31,4660.310.36+0.05buy
WOLVERINE TRADING, LLC031,011+31,0110.000.30+0.30buy
COMPASS CAPITAL MANAGEMENT, INC030,485+30,4850.000.63+0.63buy
DRH Investments, Inc.030,414+30,4140.0012.20+12.20buy
AXA S.A.141,283170,806+29,5230.150.19+0.04buy
HRT FINANCIAL LP029,100+29,1000.000.05+0.05buy
ADAGE CAPITAL PARTNERS GP, L.L.C.134,754163,584+28,8300.080.11+0.02buy
Gotham Asset Management, LLC69,29997,913+28,6140.190.23+0.04buy
MOORE CAPITAL MANAGEMENT, LP027,893+27,8930.000.22+0.22buy
Brandywine Global Investment Management, LLC597,249624,360+27,1111.421.71+0.29buy
SummitTX Capital, L.P.3,51830,473+26,9550.050.52+0.47buy
BANK OF NOVA SCOTIA387,362413,061+25,6990.290.33+0.04buy
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP025,000+25,0000.000.15+0.15buy
UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC4,204,4454,228,772+24,3270.360.33-0.02buy
Alpha Cubed Investments, LLC139,204163,211+24,0072.052.40+0.35buy
Concentric Capital Strategies, LP023,183+23,1830.000.51+0.51buy
AQR CAPITAL MANAGEMENT LLC81,978103,957+21,9790.030.03+0.01buy
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