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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/10/2024 | VANGUARD GROUP INC | 47.87 M | $17.54 B | -1.01% | 9.49% |
| 05/15/2024 | STATE STREET CORP | 37.39 M | $13.70 B | -0.88% | 7.41% |
| 05/10/2024 | BLACKROCK INC. | 33.53 M | $12.29 B | 0.07% | 6.65% |
| 05/14/2024 | CAPITAL WORLD INVESTORS | 28.17 M | $10.32 B | -2.95% | 5.70% |
| 05/14/2024 | STATE FARM MUTUAL AUTOMOBILE INSURANCE CO | 17.76 M | $6.51 B | 0.00% | 3.60% |
| 05/13/2024 | GEODE CAPITAL MANAGEMENT, LLC | 10.22 M | $3.74 B | 3.51% | 2.03% |
| 05/09/2024 | FISHER ASSET MANAGEMENT, LLC | 8.34 M | $3.06 B | 2.49% | 1.69% |
| 05/15/2024 | BILL & MELINDA GATES FOUNDATION TRUST | 7.35 M | $2.69 B | 0.00% | 1.49% |
| 05/15/2024 | MORGAN STANLEY | 7.20 M | $2.64 B | 0.00% | 1.43% |
| 05/14/2024 | NORTHERN TRUST CORP | 6.42 M | $2.35 B | -3.53% | 1.27% |
| 05/13/2024 | FMR LLC | 5.95 M | $2.18 B | 7.83% | 1.18% |
| 05/15/2024 | BANK OF AMERICA CORP /DE/ | 4.65 M | $1.70 B | -0.98% | 0.92% |
| 07/01/2024 | LEGAL & GENERAL GROUP PLC | 3.79 M | $1.39 B | -0.94% | 0.77% |
| 04/25/2024 | BANK OF NEW YORK MELLON CORP | 3.61 M | $1.32 B | -4.42% | 0.72% |
| 05/09/2024 | CHARLES SCHWAB INVESTMENT MANAGEMENT INC | 3.29 M | $1.18 B | 0.82% | 0.65% |
| 05/15/2024 | GOLDMAN SACHS GROUP INC | 3.14 M | $1.15 B | 1.04% | 0.62% |
| 05/10/2024 | DIMENSIONAL FUND ADVISORS LP | 2.90 M | $1.06 B | 2.50% | 0.58% |
| 05/14/2024 | INVESCO LTD. | 2.71 M | $994.84 M | -10.83% | 0.54% |
| 05/15/2024 | UBS ASSET MANAGEMENT AMERICAS INC | 2.57 M | $941.76 M | 8.95% | 0.51% |
| 05/15/2024 | AMUNDI | 2.44 M | $873.67 M | -23.82% | 0.49% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 2.49 M | $912.63 M | 65.18% | 0.49% |
| 05/13/2024 | NUVEEN ASSET MANAGEMENT, LLC | 2.49 M | $912.44 M | -8.53% | 0.49% |
| 05/15/2024 | CITADEL ADVISORS LLC | 2.34 M | $858.44 M | 33.20% | 0.46% |
| 05/15/2024 | BARCLAYS PLC | 2.31 M | $846.13 M | 62.44% | 0.46% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 2.31 M | $845.43 M | -20.64% | 0.46% |
| 05/10/2024 | JPMORGAN CHASE & CO | 2.15 M | $786.28 M | 6.91% | 0.43% |
| 05/14/2024 | CAPITAL RESEARCH GLOBAL INVESTORS | 2.02 M | $740.23 M | 6.28% | 0.41% |
| 05/15/2024 | AMERIPRISE FINANCIAL INC | 1.91 M | $700.23 M | -2.69% | 0.38% |
| 05/13/2024 | UBS GROUP AG | 1.85 M | $676.81 M | 4.86% | 0.37% |
| 05/10/2024 | WELLS FARGO & COMPANY/MN | 1.83 M | $669.66 M | -0.50% | 0.36% |
| 05/14/2024 | PRIMECAP MANAGEMENT CO/CA/ | 1.73 M | $634.28 M | -4.07% | 0.35% |
| 05/15/2024 | ROYAL BANK OF CANADA | 1.75 M | $640.82 M | -21.75% | 0.35% |
| 04/19/2024 | SUMITOMO MITSUI TRUST HOLDINGS, INC. | 1.55 M | $566.23 M | -0.48% | 0.31% |
| 05/07/2024 | SWISS NATIONAL BANK | 1.52 M | $558.66 M | -4.43% | 0.30% |
| 05/15/2024 | DEUTSCHE BANK AG\ | 1.41 M | $515.40 M | -2.78% | 0.28% |
| 05/13/2024 | DIAMOND HILL CAPITAL MANAGEMENT INC | 1.31 M | $478.56 M | -15.01% | 0.26% |
| 05/07/2024 | CAPITAL WEALTH PLANNING, LLC | 1.30 M | $475.58 M | 9.76% | 0.26% |
| 05/15/2024 | HSBC HOLDINGS PLC | 1.25 M | $457.84 M | -9.89% | 0.25% |
| 05/15/2024 | CITADEL ADVISORS LLC | 1.23 M | $450.38 M | -12.69% | 0.24% |
| 05/14/2024 | LAZARD ASSET MANAGEMENT LLC | 1.07 M | $391.35 M | -3.75% | 0.22% |
| 05/02/2024 | NORDEA INVESTMENT MANAGEMENT AB | 1.07 M | $389.93 M | 5.07% | 0.22% |
| 05/15/2024 | PRICE T ROWE ASSOCIATES INC /MD/ | 1.07 M | $392.40 M | -4.81% | 0.21% |
| 05/10/2024 | CREDIT SUISSE AG/ | 1.01 M | $370.44 M | -9.58% | 0.20% |
| 04/30/2024 | CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | 932,223 | $341.59 M | -22.88% | 0.18% |
| 05/14/2024 | NATIONAL PENSION SERVICE | 901,804 | $330.45 M | -0.22% | 0.18% |
| 05/09/2024 | RHUMBLINE ADVISERS | 917,006 | $336.02 M | -0.88% | 0.18% |
| 05/13/2024 | BANK OF MONTREAL /CAN/ | 884,539 | $322.67 M | -21.08% | 0.18% |
| 05/09/2024 | MITSUBISHI UFJ KOKUSAI ASSET MANAGEMENT CO., LTD. | 863,117 | $316.27 M | 12.50% | 0.17% |
| 05/16/2024 | CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | 822,324 | $301.32 M | 0.36% | 0.16% |
| 05/10/2024 | CITIGROUP INC | 800,900 | $293.47 M | 612.54% | 0.16% |
A. During the previous two years, 3463 institutional investors and hedge funds held shares of Caterpillar Inc.. The most heavily invested institutionals were:
VANGUARD GROUP INC: 47.87 M
STATE STREET CORP: 37.39 M
BlackRock Inc.: 33.53 M
Capital World Investors: 28.17 M
STATE FARM MUTUAL AUTOMOBILE INSURANCE CO: 17.76 M
GEODE CAPITAL MANAGEMENT, LLC: 10.22 M
A. 69.34% of Caterpillar Inc. stock is owned by institutional investors.
A. Institutional investors have bought a total of 538.85 M shares in the last 24 months. This purchase volume represents approximately $178.15 B in transactions.
