Stock Transactions — CATERPILLAR INC

Total Bought
760,767,696
1,278 transactions
Total Sold
16,068,719
1,453 transactions
Net
+744,698,977
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
CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM706,389747,331,911+746,625,5220.530.09-0.44buy
JPMORGAN CHASE & CO2,940,5797,325,731+4,385,1520.130.44+0.31buy
FMR LLC3,824,2935,781,969+1,957,6760.140.27+0.12buy
BlackRock, Inc.37,169,43337,991,505+822,0720.460.60+0.14buy
PRICE T ROWE ASSOCIATES INC /MD/5,582,0186,171,628+589,6100.460.66+0.20buy
CANADA PENSION PLAN INVESTMENT BOARD497,436907,030+409,5940.230.53+0.31buy
GOLDMAN SACHS GROUP INC3,210,9713,570,493+359,5220.300.40+0.10buy
UBS Group AG1,404,5771,700,215+295,6380.180.29+0.11buy
Nuveen, LLC2,310,2582,600,359+290,1010.440.66+0.22buy
AQR CAPITAL MANAGEMENT LLC266,964505,020+238,0560.080.19+0.10buy
JANE STREET GROUP, LLC32,639234,892+202,2530.020.16+0.13buy
Fisher Asset Management, LLC9,775,9529,942,521+166,5692.353.15+0.80buy
MASSACHUSETTS FINANCIAL SERVICES CO /MA/1,583,5651,748,257+164,6920.380.60+0.22buy
AustralianSuper Pty Ltd28,242189,616+161,3740.100.87+0.77buy
WESTFIELD CAPITAL MANAGEMENT CO LP32,325174,620+142,2950.100.61+0.51buy
FAYEZ SAROFIM & CO68,191179,790+111,5990.120.45+0.33buy
NOMURA HOLDINGS INC12,461120,838+108,3770.070.54+0.47buy
VESTOR CAPITAL, LLC24,799122,835+98,0361.272.91+1.64buy
Temasek Holdings (Private) Ltd52,553140,673+88,1200.130.41+0.29buy
CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM879,849965,570+85,7210.380.58+0.20buy
LPL Financial LLC1,099,2681,182,150+82,8820.210.28+0.08buy
SEI INVESTMENTS CO209,230290,919+81,6890.140.27+0.14buy
JONES FINANCIAL COMPANIES LLLP226,331303,927+77,5960.080.12+0.05buy
Handelsbanken Fonder AB128,511205,152+76,6410.300.62+0.32buy
Walleye Capital LLC9,98885,858+75,8700.040.43+0.39buy
NATIXIS ADVISORS, LLC341,212415,152+73,9400.340.50+0.16buy
D. E. Shaw & Co., Inc.53,404124,461+71,0570.030.08+0.05buy
WELLS FARGO & COMPANY/MN2,048,6032,118,690+70,0870.290.39+0.10buy
LAZARD ASSET MANAGEMENT LLC62,361126,876+64,5150.070.20+0.13buy
HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND70,224134,492+64,2680.080.20+0.12buy
PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO121,547180,688+59,1410.340.66+0.33buy
WORLDQUANT MILLENNIUM ADVISORS LLC66,882122,579+55,6970.180.45+0.27buy
Employees Retirement System of Texas61,448114,114+52,6660.380.97+0.58buy
FEDERATED HERMES, INC.3,09855,734+52,6360.000.09+0.08buy
Allianz Asset Management GmbH202,788254,402+51,6140.170.25+0.08buy
Quantinno Capital Management LP308,530358,789+50,2590.370.46+0.09buy
Inspire Investing, LLC18,82767,536+48,7091.302.95+1.66buy
GEODE CAPITAL MANAGEMENT, LLC11,127,48311,175,493+48,0100.490.64+0.14buy
Robeco Institutional Asset Management B.V.130,991178,121+47,1300.130.23+0.10buy
CITADEL ADVISORS LLC309,529355,861+46,3320.160.22+0.06buy
TORONTO DOMINION BANK148,718193,657+44,9390.200.34+0.14buy
ALLIANCEBERNSTEIN L.P.834,168876,982+42,8140.150.21+0.05buy
Arax Advisory Partners3,77842,605+38,8270.080.30+0.23buy
NATIXIS10,86247,798+36,9360.030.24+0.21buy
XPONANCE, INC.85,474122,094+36,6200.430.80+0.37buy
ATALANTA SOSNOFF CAPITAL, LLC142,241176,008+33,7672.163.30+1.14buy
MERCER GLOBAL ADVISORS INC /ADV156,746189,337+32,5910.160.25+0.08buy
MACQUARIE GROUP LTD50,80083,172+32,3720.210.38+0.17buy
HSBC HOLDINGS PLC908,491940,436+31,9450.380.48+0.10buy
OFI INVEST ASSET MANAGEMENT62,41593,536+31,1210.510.88+0.36buy
Tidal Investments LLC197,991228,796+30,8050.440.59+0.15buy
AE Wealth Management LLC25,55055,707+30,1570.100.28+0.18buy
RAYMOND JAMES FINANCIAL INC1,026,1971,055,701+29,5040.220.30+0.08buy
Aberdeen Group plc517,089546,048+28,9590.590.82+0.22buy
Raiffeisen Bank International AG12,05639,500+27,4440.120.48+0.36buy
CAPTRUST FINANCIAL ADVISORS209,300236,355+27,0550.260.39+0.13buy
Mitsubishi UFJ Asset Management Co., Ltd.1,351,3771,377,957+26,5800.640.81+0.17buy
WELLINGTON MANAGEMENT GROUP LLP1,118,7221,144,800+26,0780.150.21+0.06buy
PANAGORA ASSET MANAGEMENT INC11,78536,548+24,7630.030.12+0.09buy
CAPITAL FUND MANAGEMENT S.A.80,448104,146+23,6980.510.79+0.28buy
Simplicity Wealth,LLC4,07627,639+23,5630.160.99+0.83buy
MARSHALL WACE, LLP28,49951,689+23,1900.020.05+0.02buy
Federation des caisses Desjardins du Quebec61,32984,327+22,9980.160.27+0.12buy
Mediolanum International Funds Ltd113,532136,412+22,8800.801.20+0.40buy
LBP AM SA19,43442,175+22,7410.190.45+0.26buy
Polar Capital Holdings Plc145,356167,175+21,8190.450.50+0.05buy
National Pension Service988,7161,010,122+21,4060.530.69+0.16buy
MISSION WEALTH MANAGEMENT, LP10,07731,425+21,3480.150.42+0.27buy
INSIGNEO ADVISORY SERVICES, LLC4,53525,517+20,9820.231.02+0.79buy
Vise Technologies, Inc.23,78844,237+20,4490.270.53+0.27buy
Daiwa Securities Group Inc.174,585194,149+19,5640.360.47+0.11buy
Zurich Insurance Group Ltd/FI119,852138,646+18,7940.671.02+0.36buy
RHUMBLINE ADVISERS797,434814,357+16,9230.480.65+0.17buy
UniSuper Management Pty Ltd33,44350,234+16,7910.150.28+0.12buy
Integrated Wealth Concepts LLC24,32340,838+16,5150.140.21+0.07buy
SOROS CAPITAL MANAGEMENT LLC16,50032,800+16,3005.086.25+1.16buy
Calamos Advisors LLC134,683150,261+15,5780.370.58+0.21buy
Tredje AP-fonden129,533144,911+15,3780.500.70+0.20buy
TD Waterhouse Canada Inc.179,054194,396+15,3420.390.51+0.12buy
Symmetry Investments LP9,77624,866+15,0901.682.94+1.26buy
OSAIC HOLDINGS, INC.295,166310,135+14,9690.310.39+0.08buy
Rafferty Asset Management, LLC30,29645,132+14,8360.090.11+0.02buy
Creative Planning365,769379,703+13,9340.180.24+0.06buy
Elo Mutual Pension Insurance Co22,47036,253+13,7830.260.50+0.23buy
STIFEL FINANCIAL CORP577,396591,099+13,7030.380.52+0.15buy
Wealth Group, Ltd.5,63419,039+13,4053.725.06+1.34buy
NBT BANK N A /NY12,62626,003+13,3770.591.83+1.25buy
Banco Santander, S.A.120,995133,742+12,7470.690.89+0.19buy
CITIGROUP INC1,193,2551,205,934+12,6790.540.60+0.06buy
Union Bancaire Privee, UBP SA53,04865,464+12,4160.520.79+0.27buy
EP Wealth Advisors, LLC22,40934,715+12,3060.080.14+0.06buy
QRG CAPITAL MANAGEMENT, INC.95,917108,049+12,1320.700.95+0.25buy
Ameritas Advisory Services, LLC12,99825,083+12,0850.360.54+0.18buy
MetLife Investment Management, LLC111,257123,114+11,8570.400.59+0.19buy
Capital Wealth Planning, LLC1,186,0961,197,856+11,7604.636.37+1.74buy
CI INVESTMENTS INC.10,88922,614+11,7250.040.08+0.04buy
Valeo Financial Advisors, LLC22,10433,191+11,0870.370.75+0.37buy
BW Gestao de Investimentos Ltda.68011,720+11,0400.020.30+0.28buy
COMMERCE BANK259,482270,388+10,9060.891.26+0.37buy
TEACHER RETIREMENT SYSTEM OF TEXAS178,829189,582+10,7530.530.54+0.01buy
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