| Filed | As-Of/On | Form | Fullname | Fund Class | Shares | Activity | Shares Change | Shares Pct. Change | Hypothetical Old Value | Hypothetical New Value | Hypothetical Value Chg. | Hypotheticals Return |
Hypotheticals Results |
Director |
Other |
Ten Pct |
Officer |
Officer Title |
News Article |
History |
|---|
| 2009-11-06 | 2009-09-30 | 13F-HR | Am Sustainable Asset Management Ltd | Institution | 7,880 | Sold Some | -1,300 | -14.16 % | $453,888 | $453,888 | $0 | 0.00 % | $0 | | | | | | News Article | History of Am Sustainable Asset Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Ar Asset Managment Inc | Institution | 22,300 | No Change | 0 | 0 % | $1,284,480 | $1,284,480 | $0 | 0.00 % | $0 | | | | | | News Article | History of Ar Asset Managment Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR/A | Arvest Trust Co N A | Institution | 4,209 | New Holding | 4,209 | 100 % | $242,438 | $242,438 | $0 | 0.00 % | $0 | | | | | | News Article | History of Arvest Trust Co N A Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR/A | Baird Robert W And Co Inc | Institution | 63,466 | Sold Some | -20,602 | -24.50 % | $3,655,642 | $3,655,642 | $0 | 0.00 % | $0 | | | | | | News Article | History of Baird Robert W And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Birch Hill Investment Advisors Llc | Institution | 4,000 | New Holding | 4,000 | 100 % | $230,400 | $230,400 | $0 | 0.00 % | $0 | | | | | | News Article | History of Birch Hill Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Blair William And Co | Institution | 46,653 | Sold Some | -139,659 | -74.95 % | $2,687,213 | $2,687,213 | $0 | 0.00 % | $0 | | | | | | News Article | History of Blair William And Co Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Chelsea Counsel Co | Institution | 19,365 | Sold Some | -1,775 | -8.39 % | $1,115,424 | $1,115,424 | $0 | 0.00 % | $0 | | | | | | News Article | History of Chelsea Counsel Co Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Chwab Charles Investment Management Inc | Institution | 1,147,856 | Added More | 229,176 | 24.94 % | $66,116,506 | $66,116,506 | $0 | 0.00 % | $0 | | | | | | News Article | History of Chwab Charles Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Cobblestone Capital Advisors Llc | Institution | 5,325 | New Holding | 5,325 | 100 % | $306,720 | $306,720 | $0 | 0.00 % | $0 | | | | | | News Article | History of Cobblestone Capital Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Credit Suisse First Boston | Institution | 2,355,010 | Added More | 379,399 | 19.20 % | $135,648,576 | $135,648,576 | $0 | 0.00 % | $0 | | | | | | News Article | History of Credit Suisse First Boston Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Davis R M Inc | Institution | 18,310 | Sold Some | -17,541 | -48.92 % | $1,054,656 | $1,054,656 | $0 | 0.00 % | $0 | | | | | | News Article | History of Davis R M Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Dearborn Partners Llc | Institution | 7,825 | Added More | 11 | 0.14 % | $450,720 | $450,720 | $0 | 0.00 % | $0 | | | | | | News Article | History of Dearborn Partners Llc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Deere And Co | Institution | 32,114 | Sold Some | -947 | -2.86 % | $1,849,766 | $1,849,766 | $0 | 0.00 % | $0 | | | | | | News Article | History of Deere And Co Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Doolittle And Ganos Investment Counsel Llc | Institution | 1,600 | New Holding | 1,600 | 100 % | $92,160 | $92,160 | $0 | 0.00 % | $0 | | | | | | News Article | History of Doolittle And Ganos Investment Counsel Llc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Dunvegan Associates Inc | Institution | 68,970 | Sold Some | -20 | -0.02 % | $3,972,672 | $3,972,672 | $0 | 0.00 % | $0 | | | | | | News Article | History of Dunvegan Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Genworth Financial Inc | Institution | | Sold All | -23 | -100 % | | | | 0.00 % | $0 | | | | | | News Article | History of Genworth Financial Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Hartford Investment Management Co | Institution | 177,586 | Sold Some | -1,140 | -0.63 % | $10,228,954 | $10,228,954 | $0 | 0.00 % | $0 | | | | | | News Article | History of Hartford Investment Management Co Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Kidder Stephen W | Institution | 5,000 | Sold Some | -3,000 | -37.50 % | $288,000 | $288,000 | $0 | 0.00 % | $0 | | | | | | News Article | History of Kidder Stephen W Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Laurion Capital Management Lp | Institution | 61,898 | Sold Some | -9,074 | -12.78 % | $3,565,325 | $3,565,325 | $0 | 0.00 % | $0 | | | | | | News Article | History of Laurion Capital Management Lp Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Markel Corp | Institution | 236,300 | No Change | 0 | 0 % | $13,610,880 | $13,610,880 | $0 | 0.00 % | $0 | | | | | | News Article | History of Markel Corp Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Markston International Llc | Institution | 108,051 | Sold Some | -1,500 | -1.36 % | $6,223,738 | $6,223,738 | $0 | 0.00 % | $0 | | | | | | News Article | History of Markston International Llc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Marquette Asset Management Inc | Institution | 57,158 | Sold Some | -418 | -0.72 % | $3,292,301 | $3,292,301 | $0 | 0.00 % | $0 | | | | | | News Article | History of Marquette Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Metlife Securities Inc | Institution | 10,043 | Added More | 1,385 | 15.99 % | $578,477 | $578,477 | $0 | 0.00 % | $0 | | | | | | News Article | History of Metlife Securities Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Metropolitan Life Insurance Co | Institution | 497,193 | Sold Some | -2,967 | -0.59 % | $28,638,317 | $28,638,317 | $0 | 0.00 % | $0 | | | | | | News Article | History of Metropolitan Life Insurance Co Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Nbt Bank N A | Institution | 107,573 | Added More | 402 | 0.37 % | $6,196,205 | $6,196,205 | $0 | 0.00 % | $0 | | | | | | News Article | History of Nbt Bank N A Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Omerville Kurt F | Institution | 5,040 | New Holding | 5,040 | 100 % | $290,304 | $290,304 | $0 | 0.00 % | $0 | | | | | | News Article | History of Omerville Kurt F Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Palmerdodge Advisors Llc | Institution | 2,100 | New Holding | 2,100 | 100 % | $120,960 | $120,960 | $0 | 0.00 % | $0 | | | | | | News Article | History of Palmerdodge Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pioneer Investment Management Inc | Institution | 1,971,957 | Sold Some | -59,516 | -2.92 % | $113,584,723 | $113,584,723 | $0 | 0.00 % | $0 | | | | | | News Article | History of Pioneer Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pnc Financial Services Group Inc | Institution | 166,162 | Sold Some | -276,092 | -62.42 % | $9,570,931 | $9,570,931 | $0 | 0.00 % | $0 | | | | | | News Article | History of Pnc Financial Services Group Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Tcw Group Inc | Institution | 16,353 | New Holding | 16,353 | 100 % | $941,933 | $941,933 | $0 | 0.00 % | $0 | | | | | | News Article | History of Tcw Group Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Teachers Advisors Inc | Institution | 317,404 | Added More | 10,824 | 3.53 % | $18,282,470 | $18,282,470 | $0 | 0.00 % | $0 | | | | | | News Article | History of Teachers Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Tiaa Cref Investment Management Llc | Institution | 3,479,687 | Added More | 70,782 | 2.07 % | $200,429,971 | $200,429,971 | $0 | 0.00 % | $0 | | | | | | News Article | History of Tiaa Cref Investment Management Llc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Unionbancal Corp | Institution | 181,901 | Sold Some | -3,494 | -1.88 % | $10,477,498 | $10,477,498 | $0 | 0.00 % | $0 | | | | | | News Article | History of Unionbancal Corp Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Unitrin Inc Master Retirement Trust | Institution | 20,000 | No Change | 0 | 0 % | $1,152,000 | $1,152,000 | $0 | 0.00 % | $0 | | | | | | News Article | History of Unitrin Inc Master Retirement Trust Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Westport Resources Management Inc | Institution | 7,343 | Sold Some | -806 | -9.89 % | $422,957 | $422,957 | $0 | 0.00 % | $0 | | | | | | News Article | History of Westport Resources Management Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Ynovus Financial Corp | Institution | 55,801 | Sold Some | -77,177 | -58.03 % | $3,214,138 | $3,214,138 | $0 | 0.00 % | $0 | | | | | | News Article | History of Ynovus Financial Corp Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | And Co Inc | Institution | 168,982 | Added More | 7,998 | 4.96 % | $9,799,266 | $9,733,363 | $-65,903 | -0.67 % | $-3,119 | | | | | | News Article | History of And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Aster Investment Management Co Inc | Institution | 8,000 | Sold Some | -2,100 | -20.79 % | $463,920 | $460,800 | $-3,120 | -0.67 % | $819 | | | | | | News Article | History of Aster Investment Management Co Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Atwood And Palmer Inc | Institution | 8,200 | No Change | 0 | 0 % | $475,518 | $472,320 | $-3,198 | -0.67 % | $0 | | | | | | News Article | History of Atwood And Palmer Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Aureus Asset Management Llc | Institution | 5,666 | Sold Some | -2,000 | -26.08 % | $328,571 | $326,362 | $-2,210 | -0.67 % | $780 | | | | | | News Article | History of Aureus Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Bank Of Hawaii | Institution | 45,653 | Added More | 1,275 | 2.87 % | $2,647,417 | $2,629,613 | $-17,805 | -0.67 % | $-497 | | | | | | News Article | History of Bank Of Hawaii Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Bankers Trust Co | Institution | 7,460 | New Holding | 7,460 | 100 % | $432,605 | $429,696 | $-2,909 | -0.67 % | $-2,909 | | | | | | News Article | History of Bankers Trust Co Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Banta Asset Management Lp | Institution | 7,235 | Sold Some | -315 | -4.17 % | $419,558 | $416,736 | $-2,822 | -0.67 % | $123 | | | | | | News Article | History of Banta Asset Management Lp Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Campbell And Co Investment Adviser Llc | Institution | 4,125 | New Holding | 4,125 | 100 % | $239,209 | $237,600 | $-1,609 | -0.67 % | $-1,609 | | | | | | News Article | History of Campbell And Co Investment Adviser Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Davidson And Garrard Inc | Institution | 41,176 | Sold Some | -3,200 | -7.21 % | $2,387,796 | $2,371,738 | $-16,059 | -0.67 % | $1,248 | | | | | | News Article | History of Davidson And Garrard Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Fixed Income Securities Lp | Institution | 23,308 | Sold Some | -1,612 | -6.46 % | $1,351,631 | $1,342,541 | $-9,090 | -0.67 % | $629 | | | | | | News Article | History of Fixed Income Securities Lp Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Greenwood Capital Associates Llc | Institution | 81,316 | New Holding | 81,316 | 100 % | $4,715,515 | $4,683,802 | $-31,713 | -0.67 % | $-31,713 | | | | | | News Article | History of Greenwood Capital Associates Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Guardian Investor Services Llc | Institution | 17,130 | Added More | 222 | 1.31 % | $993,369 | $986,688 | $-6,681 | -0.67 % | $-87 | | | | | | News Article | History of Guardian Investor Services Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | High Point Bank And Trust Co | Institution | 2,250 | Sold Some | -460 | -16.97 % | $130,478 | $129,600 | $-878 | -0.67 % | $179 | | | | | | News Article | History of High Point Bank And Trust Co Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR/A | Huntington National Bank | Institution | 138,688 | Added More | 6,819 | 5.17 % | $8,042,517 | $7,988,429 | $-54,088 | -0.67 % | $-2,659 | | | | | | News Article | History of Huntington National Bank Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Kopp Investment Advisors Llc | Institution | 19,601 | Sold Some | -1,715 | -8.04 % | $1,136,662 | $1,129,018 | $-7,644 | -0.67 % | $669 | | | | | | News Article | History of Kopp Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Liebau Asset Management Company Llc | Institution | 24,630 | Sold Some | -200 | -0.80 % | $1,428,294 | $1,418,688 | $-9,606 | -0.67 % | $78 | | | | | | News Article | History of Liebau Asset Management Company Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Midwest Investment Management Llc | Institution | 50,180 | Sold Some | -150 | -0.29 % | $2,909,938 | $2,890,368 | $-19,570 | -0.67 % | $59 | | | | | | News Article | History of Midwest Investment Management Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Mitsubishi Ufj Asset Management Co Ltd | No Data | 176,300 | Sold Some | -5,900 | -3.23 % | $10,223,637 | $10,154,880 | $-68,757 | -0.67 % | $2,301 | | | | | | News Article | History of Mitsubishi Ufj Asset Management Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Nisa Investment Advisors L L C | Institution | 208,283 | Sold Some | -29,937 | -12.56 % | $12,078,331 | $11,997,101 | $-81,230 | -0.67 % | $11,675 | | | | | | News Article | History of Nisa Investment Advisors L L C Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Parametric Portfolio Associate | Institution | 589,175 | Sold Some | -139,547 | -19.14 % | $34,166,258 | $33,936,480 | $-229,778 | -0.67 % | $54,423 | | | | | | News Article | History of Parametric Portfolio Associate Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Profund Advisors Llc | Institution | 34,501 | Added More | 4,879 | 16.47 % | $2,000,713 | $1,987,258 | $-13,455 | -0.67 % | $-1,903 | | | | | | News Article | History of Profund Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Proshare Advisors Llc | Institution | 373,635 | Sold Some | -239,518 | -39.06 % | $21,667,094 | $21,521,376 | $-145,718 | -0.67 % | $93,412 | | | | | | News Article | History of Proshare Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Rafferty Asset Management Llc | Institution | 13,440 | No Change | 0 | 0 % | $779,386 | $774,144 | $-5,242 | -0.67 % | $0 | | | | | | News Article | History of Rafferty Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Tal Global Asset Management Inc | Institution | 80,964 | Sold Some | -11,661 | -12.58 % | $4,695,102 | $4,663,526 | $-31,576 | -0.67 % | $4,548 | | | | | | News Article | History of Tal Global Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Teacher Retirement System Of Texa | Institution | 624,591 | Sold Some | -339,131 | -35.18 % | $36,220,032 | $35,976,442 | $-243,590 | -0.67 % | $132,261 | | | | | | News Article | History of Teacher Retirement System Of Texa Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Tirschwell And Loewy Inc | Institution | 36,200 | Sold Some | -192 | -0.52 % | $2,099,238 | $2,085,120 | $-14,118 | -0.67 % | $75 | | | | | | News Article | History of Tirschwell And Loewy Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Tratton Management Co | Institution | 90,921 | Sold Some | -713 | -0.77 % | $5,272,509 | $5,237,050 | $-35,459 | -0.67 % | $278 | | | | | | News Article | History of Tratton Management Co Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Value Line Inc | Institution | 15,000 | Sold Some | -28,600 | -65.59 % | $869,850 | $864,000 | $-5,850 | -0.67 % | $11,154 | | | | | | News Article | History of Value Line Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | N-Q | Volumetric Fund Inc-Volumetric Fund | Mid-Cap Value | | Sold All | -5,600 | -100 % | | | | -0.67 % | $2,184 | | | | | | News Article | History of Volumetric Fund Inc-Volumetric Fund Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-08-31 | N-CSR | Alliancebernstein Pooling Portfolios-Alliancebernstein Inflation Protected Securities Portfolio | Specialty & Misc | 571,500 | New Holding | 571,500 | 100 % | $33,141,285 | $32,918,400 | $-222,885 | -0.67 % | $-222,885 | | | | | | News Article | History of Alliancebernstein Pooling Portfolios-Alliancebernstein Inflation Protected Securities Portfolio Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | 1st Source Bank | Institution | 7,712 | Added More | 985 | 14.64 % | $433,569 | $444,211 | $10,643 | 2.45 % | $1,359 | | | | | | News Article | History of 1st Source Bank Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Atlas Browninc | Institution | 6,836 | New Holding | 6,836 | 100 % | $384,320 | $393,754 | $9,434 | 2.45 % | $9,434 | | | | | | News Article | History of Atlas Browninc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Awgrass Asset Management Llc | Institution | 17,585 | New Holding | 17,585 | 100 % | $988,629 | $1,012,896 | $24,267 | 2.45 % | $24,267 | | | | | | News Article | History of Awgrass Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Babson Capital Management Llc | Institution | 48,360 | New Holding | 48,360 | 100 % | $2,718,799 | $2,785,536 | $66,737 | 2.45 % | $66,737 | | | | | | News Article | History of Babson Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Bridges Investment Counsel Inc | Institution | 12,285 | Sold Some | -200 | -1.60 % | $690,663 | $707,616 | $16,953 | 2.45 % | $-276 | | | | | | News Article | History of Bridges Investment Counsel Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Bristol John W And Co Inc | Institution | 1,777,526 | Sold Some | -35,953 | -1.98 % | $99,932,512 | $102,385,498 | $2,452,986 | 2.45 % | $-49,615 | | | | | | News Article | History of Bristol John W And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Capital One National Association | Institution | 48,709 | Added More | 2,630 | 5.70 % | $2,738,420 | $2,805,638 | $67,218 | 2.45 % | $3,629 | | | | | | News Article | History of Capital One National Association Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Curian Capital Llc | Institution | 11,889 | Sold Some | -9,789 | -45.15 % | $668,400 | $684,806 | $16,407 | 2.45 % | $-13,509 | | | | | | News Article | History of Curian Capital Llc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Delta Capital Management Llc | Institution | 43,700 | Sold Some | -5,060 | -10.37 % | $2,456,814 | $2,517,120 | $60,306 | 2.45 % | $-6,983 | | | | | | News Article | History of Delta Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | First Community Bank Trust And Financial Services Divison | Institution | 3,268 | No Change | 0 | 0 % | $183,727 | $188,237 | $4,510 | 2.45 % | $0 | | | | | | News Article | History of First Community Bank Trust And Financial Services Divison Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Fort Washington Investment Advisors Inc | Institution | 7,080 | No Change | 0 | 0 % | $398,038 | $407,808 | $9,770 | 2.45 % | $0 | | | | | | News Article | History of Fort Washington Investment Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Geewax Plus Partners Llc | Institution | | Sold All | -11,100 | -100 % | | | | 2.45 % | $-15,318 | | | | | | News Article | History of Geewax Plus Partners Llc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Greylin Investment Mangement Inc | Institution | 13,100 | No Change | 0 | 0 % | $736,482 | $754,560 | $18,078 | 2.45 % | $0 | | | | | | News Article | History of Greylin Investment Mangement Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Gw Capital Management Incco | Institution | 65,787 | Added More | 1,513 | 2.35 % | $3,698,545 | $3,789,331 | $90,786 | 2.45 % | $2,088 | | | | | | News Article | History of Gw Capital Management Incco Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Haverford Trust Co | Institution | 852,520 | New Holding | 852,520 | 100 % | $47,928,674 | $49,105,152 | $1,176,478 | 2.45 % | $1,176,478 | | | | | | News Article | History of Haverford Trust Co Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Horizon Asset Management Inc Ny | Institution | 22,550 | Added More | 750 | 3.44 % | $1,267,761 | $1,298,880 | $31,119 | 2.45 % | $1,035 | | | | | | News Article | History of Horizon Asset Management Inc Ny Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Meyer Handelman Co | Institution | 102,866 | Sold Some | -2,869 | -2.71 % | $5,783,127 | $5,925,082 | $141,955 | 2.45 % | $-3,959 | | | | | | News Article | History of Meyer Handelman Co Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Mitsubishi Ufj Trust Banking Corp | No Data | 573,582 | Added More | 8,510 | 1.50 % | $32,246,780 | $33,038,323 | $791,543 | 2.45 % | $11,744 | | | | | | News Article | History of Mitsubishi Ufj Trust Banking Corp Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Optimum Investment Advisor | Institution | 67,712 | Sold Some | -7,635 | -10.13 % | $3,806,769 | $3,900,211 | $93,443 | 2.45 % | $-10,536 | | | | | | News Article | History of Optimum Investment Advisor Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Outh Texas Money Management Ltd | Institution | | Sold All | -6,069 | -100 % | | | | 2.45 % | $-8,375 | | | | | | News Article | History of Outh Texas Money Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Yorktown Management And Research Co Inc | Institution | 5,500 | New Holding | 5,500 | 100 % | $309,210 | $316,800 | $7,590 | 2.45 % | $7,590 | | | | | | News Article | History of Yorktown Management And Research Co Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-08-31 | N-CSR | Alliancebernstein Portfolios-Alliancebernstein Wealth Preservation Strategy | Mixed-Asset Target Allocation Conserv | 51,300 | New Holding | 51,300 | 100 % | $2,884,086 | $2,954,880 | $70,794 | 2.45 % | $70,794 | | | | | | News Article | History of Alliancebernstein Portfolios-Alliancebernstein Wealth Preservation Strategy Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-08-31 | N-CSR | Ga Funds-Ssga Iam Shares Fund | Specialty & Misc | 9,821 | No Change | 0 | 0 % | $552,137 | $565,690 | $13,553 | 2.45 % | $0 | | | | | | News Article | History of Ga Funds-Ssga Iam Shares Fund Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-08-31 | N-CSRS | Gmo Trust-Gmo Value Fund | Multi-Cap Value | | Sold All | -4,500 | -100 % | | | | 2.45 % | $-6,210 | | | | | | News Article | History of Gmo Trust-Gmo Value Fund Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-06-30 | 13F-HR/A | Paragon Investment Management Inc | Institution | 142,791 | Added More | 46,045 | 47.59 % | $8,027,710 | $8,224,762 | $197,052 | 2.45 % | $63,542 | | | | | | News Article | History of Paragon Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-03-31 | 13F-HR/A | Paragon Investment Management Inc | Institution | 96,746 | Added More | 21,309 | 28.24 % | $5,439,060 | $5,572,570 | $133,509 | 2.45 % | $29,406 | | | | | | News Article | History of Paragon Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2008-06-30 | 13F-HR/A | Tate Farm Mutual Automobile Insurance Co | Institution | 19,591,200 | No Change | 0 | 0 % | $1,101,417,264 | $1,128,453,120 | $27,035,856 | 2.45 % | $0 | | | | | | News Article | History of Tate Farm Mutual Automobile Insurance Co Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Apg All Pensions Group | Institution | 1,022,283 | Sold Some | -600,367 | -36.99 % | $57,718,098 | $58,883,501 | $1,165,403 | 2.01 % | $-684,418 | | | | | | News Article | History of Apg All Pensions Group Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Bridges Investment Management Inc | Institution | 21,200 | Added More | 600 | 2.91 % | $1,196,952 | $1,221,120 | $24,168 | 2.01 % | $684 | | | | | | News Article | History of Bridges Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | N-Q | Burnham Investors Trust-Burnham Fund | Specialty & Misc | 30,000 | No Change | 0 | 0 % | $1,693,800 | $1,728,000 | $34,200 | 2.01 % | $0 | | | | | | News Article | History of Burnham Investors Trust-Burnham Fund Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Cannell Peter B And Co Inc | Institution | 37,167 | Sold Some | -16,250 | -30.42 % | $2,098,449 | $2,140,819 | $42,370 | 2.01 % | $-18,525 | | | | | | News Article | History of Cannell Peter B And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Conning Asset Management Co | Institution | 27,031 | Sold Some | -1,351 | -4.76 % | $1,526,170 | $1,556,986 | $30,815 | 2.01 % | $-1,540 | | | | | | News Article | History of Conning Asset Management Co Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Dividend Growth Advisors Llc | Institution | 100,751 | Sold Some | -3,303 | -3.17 % | $5,688,401 | $5,803,258 | $114,856 | 2.01 % | $-3,765 | | | | | | News Article | History of Dividend Growth Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Dock Street Asset Management Inc | Institution | 5,800 | New Holding | 5,800 | 100 % | $327,468 | $334,080 | $6,612 | 2.01 % | $6,612 | | | | | | News Article | History of Dock Street Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Duff And Phelps Investment Management Co | Institution | 52,370 | Added More | 500 | 0.96 % | $2,956,810 | $3,016,512 | $59,702 | 2.01 % | $570 | | | | | | News Article | History of Duff And Phelps Investment Management Co Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Eagle Global Advisors Llc | Institution | 6,715 | No Change | 0 | 0 % | $379,129 | $386,784 | $7,655 | 2.01 % | $0 | | | | | | News Article | History of Eagle Global Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Ixis Asset Management Advisors L P | Institution | 921,093 | Added More | 54,386 | 6.27 % | $52,004,911 | $53,054,957 | $1,050,046 | 2.01 % | $62,000 | | | | | | News Article | History of Ixis Asset Management Advisors L P Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Kanaly Trust Co | Institution | 7,308 | Sold Some | -700 | -8.74 % | $412,610 | $420,941 | $8,331 | 2.01 % | $-798 | | | | | | News Article | History of Kanaly Trust Co Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | King Luther Capital Management Corp | Institution | 12,000 | Sold Some | -2,100 | -14.89 % | $677,520 | $691,200 | $13,680 | 2.01 % | $-2,394 | | | | | | News Article | History of King Luther Capital Management Corp Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR/A | Leavell T And Associates Inc | Institution | 47,808 | Sold Some | -2,000 | -4.01 % | $2,699,240 | $2,753,741 | $54,501 | 2.01 % | $-2,280 | | | | | | News Article | History of Leavell T And Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Lee Danner And Bass Inc | Institution | 47,528 | Sold Some | -1,242 | -2.54 % | $2,683,431 | $2,737,613 | $54,182 | 2.01 % | $-1,416 | | | | | | News Article | History of Lee Danner And Bass Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | M And T Bank Corp | Institution | 104,539 | Added More | 11,860 | 12.79 % | $5,902,272 | $6,021,446 | $119,174 | 2.01 % | $13,520 | | | | | | News Article | History of M And T Bank Corp Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Omerset Asset Management Llc | Institution | 6,058 | Sold Some | -7,124 | -54.04 % | $342,035 | $348,941 | $6,906 | 2.01 % | $-8,121 | | | | | | News Article | History of Omerset Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Papp L Roy And Associate | Institution | 13,350 | Sold Some | -1,350 | -9.18 % | $753,741 | $768,960 | $15,219 | 2.01 % | $-1,539 | | | | | | News Article | History of Papp L Roy And Associate Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Private Trust Co Na | Institution | | Sold All | -25,596 | -100 % | | | | 2.01 % | $-29,179 | | | | | | News Article | History of Private Trust Co Na Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Prudential Financial Inc | Institution | 1,374,916 | Added More | 80,161 | 6.19 % | $77,627,757 | $79,195,162 | $1,567,404 | 2.01 % | $91,384 | | | | | | News Article | History of Prudential Financial Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Rmb Capital Management Llc | Institution | | Sold All | -77,968 | -100 % | | | | 2.01 % | $-88,884 | | | | | | News Article | History of Rmb Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Tewart And Patten Co Llc | Institution | 9,400 | Sold Some | -700 | -6.93 % | $530,724 | $541,440 | $10,716 | 2.01 % | $-798 | | | | | | News Article | History of Tewart And Patten Co Llc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Turner Investment Partners Inc | Institution | 1,189,823 | New Holding | 1,189,823 | 100 % | $67,177,407 | $68,533,805 | $1,356,398 | 2.01 % | $1,356,398 | | | | | | News Article | History of Turner Investment Partners Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-08-31 | N-CSR | California Investment Trust-Equity Income Fund | Equity Income | 17,292 | Added More | 2,000 | 13.07 % | $976,306 | $996,019 | $19,713 | 2.01 % | $2,280 | | | | | | News Article | History of California Investment Trust-Equity Income Fund Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-08-31 | N-CSR | California Investment Trust-S And P 500 Index Fund | S&P 500 Index | 4,988 | Sold Some | -400 | -7.42 % | $281,622 | $287,309 | $5,686 | 2.01 % | $-456 | | | | | | News Article | History of California Investment Trust-S And P 500 Index Fund Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Amcore Investment Group N A | Institution | 24,192 | New Holding | 24,192 | 100 % | $1,342,414 | $1,393,459 | $51,045 | 3.80 % | $51,045 | | | | | | News Article | History of Amcore Investment Group N A Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Bbva Usa Bancshares Inc | Institution | 49,826 | Sold Some | -508 | -1.00 % | $2,764,845 | $2,869,978 | $105,133 | 3.80 % | $-1,072 | | | | | | News Article | History of Bbva Usa Bancshares Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Broderick Brian C | Institution | 16,524 | No Change | 0 | 0 % | $916,917 | $951,782 | $34,866 | 3.80 % | $0 | | | | | | News Article | History of Broderick Brian C Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Bryn Mawr Trust Co | Institution | 6,422 | No Change | 0 | 0 % | $356,357 | $369,907 | $13,550 | 3.80 % | $0 | | | | | | News Article | History of Bryn Mawr Trust Co Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Citizens Bank Wealth Management Na | Institution | 18,848 | Sold Some | -1,884 | -9.08 % | $1,045,876 | $1,085,645 | $39,769 | 3.80 % | $-3,975 | | | | | | News Article | History of Citizens Bank Wealth Management Na Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Dowling And Yahnke Inc | Institution | 45,345 | Added More | 500 | 1.11 % | $2,516,194 | $2,611,872 | $95,678 | 3.80 % | $1,055 | | | | | | News Article | History of Dowling And Yahnke Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Fny Managed Accounts Llc | Institution | 4,154 | Sold Some | -14,072 | -77.20 % | $230,505 | $239,270 | $8,765 | 3.80 % | $-29,692 | | | | | | News Article | History of Fny Managed Accounts Llc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Hussman Econometrics Advisors Inc | Institution | 500,000 | No Change | 0 | 0 % | $27,745,000 | $28,800,000 | $1,055,000 | 3.80 % | $0 | | | | | | News Article | History of Hussman Econometrics Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Lane Douglas C And Associates Inc | Institution | 43,610 | Added More | 21,426 | 96.58 % | $2,419,919 | $2,511,936 | $92,017 | 3.80 % | $45,209 | | | | | | News Article | History of Lane Douglas C And Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Lpl Financial Corp | Institution | 88,416 | New Holding | 88,416 | 100 % | $4,906,204 | $5,092,762 | $186,558 | 3.80 % | $186,558 | | | | | | News Article | History of Lpl Financial Corp Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Montag A And Associates Inc | Institution | | Sold All | -8,455 | -100 % | | | | 3.80 % | $-17,840 | | | | | | News Article | History of Montag A And Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Morse Williams And Co Inc | Institution | 24,540 | New Holding | 24,540 | 100 % | $1,361,725 | $1,413,504 | $51,779 | 3.80 % | $51,779 | | | | | | News Article | History of Morse Williams And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR/A | Penn Mutual Life Insurance Co | Institution | 95,959 | Sold Some | -12,367 | -11.41 % | $5,324,765 | $5,527,238 | $202,473 | 3.80 % | $-26,094 | | | | | | News Article | History of Penn Mutual Life Insurance Co Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Quest Investment Management Inc | Institution | 6,968 | Sold Some | -180,945 | -96.29 % | $386,654 | $401,357 | $14,702 | 3.80 % | $-381,794 | | | | | | News Article | History of Quest Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Thrivent Financial For Lutheran | Institution | 356,800 | Sold Some | -455,086 | -56.05 % | $19,798,832 | $20,551,680 | $752,848 | 3.80 % | $-960,231 | | | | | | News Article | History of Thrivent Financial For Lutheran Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Valicenti Advisory Services Inc | Institution | 23,400 | Sold Some | -5,550 | -19.17 % | $1,298,466 | $1,347,840 | $49,374 | 3.80 % | $-11,711 | | | | | | News Article | History of Valicenti Advisory Services Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-08-31 | N-CSRS | Fidelity Select Portfolios-Industrial Equipment Portfolio | Specialty & Misc | 30,700 | New Holding | 30,700 | 100 % | $1,703,543 | $1,768,320 | $64,777 | 3.80 % | $64,777 | | | | | | News Article | History of Fidelity Select Portfolios-Industrial Equipment Portfolio Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-08-31 | N-CSRS | Fidelity Select Portfolios-Industrials Portfolio | Specialty & Misc | 14,200 | New Holding | 14,200 | 100 % | $787,958 | $817,920 | $29,962 | 3.80 % | $29,962 | | | | | | News Article | History of Fidelity Select Portfolios-Industrials Portfolio Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Clinton Group Inc | Institution | 27,300 | New Holding | 27,300 | 100 % | $1,503,138 | $1,572,480 | $69,342 | 4.61 % | $69,342 | | | | | | News Article | History of Clinton Group Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | General Electric Co | Institution | 46,544 | New Holding | 46,544 | 100 % | $2,562,713 | $2,680,934 | $118,222 | 4.61 % | $118,222 | | | | | | News Article | History of General Electric Co Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Greenbrier Partners Ltd | Institution | | Sold All | -40,000 | -100 % | | | | 4.61 % | $-101,600 | | | | | | News Article | History of Greenbrier Partners Ltd Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | It Investment Associates Inc | Institution | 7,450 | No Change | 0 | 0 % | $410,197 | $429,120 | $18,923 | 4.61 % | $0 | | | | | | News Article | History of It Investment Associates Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Middleton And Co Inc | Institution | 26,100 | New Holding | 26,100 | 100 % | $1,437,066 | $1,503,360 | $66,294 | 4.61 % | $66,294 | | | | | | News Article | History of Middleton And Co Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Mount Vernon Associates Inc | Institution | 20,070 | No Change | 0 | 0 % | $1,105,054 | $1,156,032 | $50,978 | 4.61 % | $0 | | | | | | News Article | History of Mount Vernon Associates Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Old National Bancorp | Institution | 6,532 | Sold Some | -685 | -9.49 % | $359,652 | $376,243 | $16,591 | 4.61 % | $-1,740 | | | | | | News Article | History of Old National Bancorp Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Oxford Asset Management | Institution | 25,063 | Added More | 12,924 | 106.46 % | $1,379,969 | $1,443,629 | $63,660 | 4.61 % | $32,827 | | | | | | News Article | History of Oxford Asset Management Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Texas Permanent School Fund | Institution | 534,154 | Added More | 14,800 | 2.84 % | $29,410,519 | $30,767,270 | $1,356,751 | 4.61 % | $37,592 | | | | | | News Article | History of Texas Permanent School Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Tocqueville Asset Management Lp | Institution | 85,639 | Sold Some | -7,281 | -7.83 % | $4,715,283 | $4,932,806 | $217,523 | 4.61 % | $-18,494 | | | | | | News Article | History of Tocqueville Asset Management Lp Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Tonebridge Capital Management Inc | Institution | 81,379 | Sold Some | -22,325 | -21.52 % | $4,480,728 | $4,687,430 | $206,703 | 4.61 % | $-56,706 | | | | | | News Article | History of Tonebridge Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Wesbanco Bank Inc | Institution | 23,338 | Sold Some | -167 | -0.71 % | $1,284,990 | $1,344,269 | $59,279 | 4.61 % | $-424 | | | | | | News Article | History of Wesbanco Bank Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Wilson Bennett Capital Management Inc Va | Institution | 10,586 | New Holding | 10,586 | 100 % | $582,865 | $609,754 | $26,888 | 4.61 % | $26,888 | | | | | | News Article | History of Wilson Bennett Capital Management Inc Va Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Advisors Series Trust-Castlerock Fund | Specialty & Misc | | Sold All | -5,500 | -100 % | | | | 4.61 % | $-13,970 | | | | | | News Article | History of Advisors Series Trust-Castlerock Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | American Israeli Shared Values Trust-American Israeli Shared Values Capital Appreciation Fund | Specialty & Misc | | Sold All | -130 | -100 % | | | | 4.61 % | $-330 | | | | | | News Article | History of American Israeli Shared Values Trust-American Israeli Shared Values Capital Appreciation Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-CSR | Dreyfuslaurel Funds Inc-Balanced Fund | Mixed-Asset Target Allocation Growth | 27,000 | Added More | 7,000 | 35.00 % | $1,486,620 | $1,555,200 | $68,580 | 4.61 % | $17,780 | | | | | | News Article | History of Dreyfuslaurel Funds Inc-Balanced Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Ei Institutional Investments Trust-Siit Large Cap Fund | Large-Cap Core | | Sold All | -42,375 | -100 % | | | | 4.61 % | $-107,633 | | | | | | News Article | History of Ei Institutional Investments Trust-Siit Large Cap Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Advisor Series I-Balanced Fund | Mixed-Asset Target Allocation Moderate | 51,600 | Added More | 37,600 | 268.57 % | $2,841,096 | $2,972,160 | $131,064 | 4.61 % | $95,504 | | | | | | News Article | History of Fidelity Advisor Series I-Balanced Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Advisor Series I-Balanced Fund | Mixed-Asset Target Allocation Moderate | 83,500 | Added More | 69,500 | 496.42 % | $4,597,510 | $4,809,600 | $212,090 | 4.61 % | $176,530 | | | | | | News Article | History of Fidelity Advisor Series I-Balanced Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Advisor Series I-Growth Opportunities Fund | Large-Cap Core | 191,200 | Added More | 16,700 | 9.57 % | $10,527,472 | $11,013,120 | $485,648 | 4.61 % | $42,418 | | | | | | News Article | History of Fidelity Advisor Series I-Growth Opportunities Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-CSRS | Fidelity Commonwealth Trust Ii-Fidelity Large Cap Growth Enhanced Index Fund | Large-Cap Growth | | Sold All | -2,558 | -100 % | | | | 4.61 % | $-6,497 | | | | | | News Article | History of Fidelity Commonwealth Trust Ii-Fidelity Large Cap Growth Enhanced Index Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-CSRS | Fidelity Commonwealth Trust Ii-Fidelity Large Cap Value Enhanced Index Fund | Large-Cap Value | 4,000 | New Holding | 4,000 | 100 % | $220,240 | $230,400 | $10,160 | 4.61 % | $10,160 | | | | | | News Article | History of Fidelity Commonwealth Trust Ii-Fidelity Large Cap Value Enhanced Index Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Commonwealth Trust-Fidelity 100 Index Fund | Specialty & Misc | 560,800 | Sold Some | -52,861 | -8.61 % | $30,877,648 | $32,302,080 | $1,424,432 | 4.61 % | $-134,267 | | | | | | News Article | History of Fidelity Commonwealth Trust-Fidelity 100 Index Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Financial Trust-Fidelity Independence Fund | Specialty & Misc | 95,700 | Added More | 5,700 | 6.33 % | $5,269,242 | $5,512,320 | $243,078 | 4.61 % | $14,478 | | | | | | News Article | History of Fidelity Financial Trust-Fidelity Independence Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Mt Vernon Street Trust-Fidelity Aggressive Growth Fund | Multi-Cap Growth | | Sold All | -2,280,000 | -100 % | | | | 4.61 % | $-5,791,200 | | | | | | News Article | History of Fidelity Mt Vernon Street Trust-Fidelity Aggressive Growth Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Mt Vernon Street Trust-Fidelity Growth Company Fund | Multi-Cap Growth | 4,260,000 | Added More | 3,910,000 | 1117.14 % | $234,555,600 | $245,376,000 | $10,820,400 | 4.61 % | $9,931,400 | | | | | | News Article | History of Fidelity Mt Vernon Street Trust-Fidelity Growth Company Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Securities Fund-Agressive Growth Fund | Global Small/Mid-Cap Growth | | Sold All | -250,000 | -100 % | | | | 4.61 % | $-635,000 | | | | | | News Article | History of Fidelity Securities Fund-Agressive Growth Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-CSR | Growth Fund Of America Inc-Growth Fund Of America Inc | Multi-Cap Growth | 4,000,000 | No Change | 0 | 0 % | $220,240,000 | $230,400,000 | $10,160,000 | 4.61 % | $0 | | | | | | News Article | History of Growth Fund Of America Inc-Growth Fund Of America Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Vanguard Wellington Fund-Vanguard Wellington Fund | Mixed-Asset Target Allocation Growth | 3,875,400 | No Change | 0 | 0 % | $213,379,524 | $223,223,040 | $9,843,516 | 4.61 % | $0 | | | | | | News Article | History of Vanguard Wellington Fund-Vanguard Wellington Fund Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-08-31 | N-CSR | Vanguard World Fund-Vanguard Mega Cap 300 Index Fund | No Data | 54,871 | Added More | 33,807 | 160.49 % | $3,021,197 | $3,160,570 | $139,372 | 4.61 % | $85,870 | | | | | | News Article | History of Vanguard World Fund-Vanguard Mega Cap 300 Index Fund Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Burnham Asset Management Corp | Institution | 49,413 | Sold Some | -2,400 | -4.63 % | $2,828,894 | $2,846,189 | $17,295 | 0.61 % | $-840 | | | | | | News Article | History of Burnham Asset Management Corp Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Catawba Capital Management | Institution | 6,560 | Sold Some | -1,395 | -17.53 % | $375,560 | $377,856 | $2,296 | 0.61 % | $-488 | | | | | | News Article | History of Catawba Capital Management Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Dimensional Fund Advisors Inc | Institution | 534,587 | Added More | 13,831 | 2.65 % | $30,605,106 | $30,792,211 | $187,105 | 0.61 % | $4,841 | | | | | | News Article | History of Dimensional Fund Advisors Inc Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Fma Advisory Inc | Institution | 27,472 | New Holding | 27,472 | 100 % | $1,572,772 | $1,582,387 | $9,615 | 0.61 % | $9,615 | | | | | | News Article | History of Fma Advisory Inc Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Greenway Trading Llc | Institution | | Sold All | -30,600 | -100 % | | | | 0.61 % | $-10,710 | | | | | | News Article | History of Greenway Trading Llc Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Marshwinds Advisory Co | Institution | 10,744 | Added More | 279 | 2.66 % | $615,094 | $618,854 | $3,760 | 0.61 % | $98 | | | | | | News Article | History of Marshwinds Advisory Co Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Paragon Investment Management Inc | Institution | | Sold All | -142,791 | -100 % | | | | 0.61 % | $-49,977 | | | | | | News Article | History of Paragon Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Prudential Corp Plc | Institution | | Sold All | -1,872,723 | -100 % | | | | 0.61 % | $-655,453 | | | | | | News Article | History of Prudential Corp Plc Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-08-31 | N-CSRS | Dreyfus Growth Opportunity Fund Inc-Dreyfus Growth Opportunity Fund Inc | Large-Cap Growth | | Sold All | -36,540 | -100 % | | | | 0.61 % | $-12,789 | | | | | | News Article | History of Dreyfus Growth Opportunity Fund Inc-Dreyfus Growth Opportunity Fund Inc Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Evergreen Equity Trust De-Evergreen Market Index Fund | Specialty & Misc | 17,511 | Sold Some | -19 | -0.10 % | $1,002,505 | $1,008,634 | $6,129 | 0.61 % | $-7 | | | | | | News Article | History of Evergreen Equity Trust De-Evergreen Market Index Fund Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Evergreen Equity Trust De-Evergreen Market Index Growth Fund | Multi-Cap Growth | 26,967 | Sold Some | -33,850 | -55.65 % | $1,543,861 | $1,553,299 | $9,438 | 0.61 % | $-11,848 | | | | | | News Article | History of Evergreen Equity Trust De-Evergreen Market Index Growth Fund Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Evergreen Equity Trust De-Evergreen Market Index Value Fund | Multi-Cap Value | 27,307 | New Holding | 27,307 | 100 % | $1,563,326 | $1,572,883 | $9,557 | 0.61 % | $9,557 | | | | | | News Article | History of Evergreen Equity Trust De-Evergreen Market Index Value Fund Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Unified Series Trust-Marathon Value Portfolio | Multi-Cap Value | 16,730 | New Holding | 16,730 | 100 % | $957,793 | $963,648 | $5,856 | 0.61 % | $5,856 | | | | | | News Article | History of Unified Series Trust-Marathon Value Portfolio Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Usaa Mutual Funds Trust-Cornerstone Strategy Fund | Specialty & Misc | 4,100 | New Holding | 4,100 | 100 % | $234,725 | $236,160 | $1,435 | 0.61 % | $1,435 | | | | | | News Article | History of Usaa Mutual Funds Trust-Cornerstone Strategy Fund Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Valic Co I-Social Awareness Fund | Mixed-Asset Target Allocation Growth | 24,779 | New Holding | 24,779 | 100 % | $1,418,598 | $1,427,270 | $8,673 | 0.61 % | $8,673 | | | | | | News Article | History of Valic Co I-Social Awareness Fund Ownership Of Caterpillar Inc |
| 2009-10-29 | 2009-06-30 | 13F-HR/A | Huntington National Bank | Institution | 131,869 | Sold Some | -9,429 | -6.67 % | $7,549,500 | $7,595,654 | $46,154 | 0.61 % | $-3,300 | | | | | | News Article | History of Huntington National Bank Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Capital City Trust Co | Institution | 1,100 | Sold Some | -950 | -46.34 % | $59,873 | $63,360 | $3,487 | 5.82 % | $-3,012 | | | | | | News Article | History of Capital City Trust Co Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Carl Domino Inc | Institution | 32,285 | Added More | 325 | 1.01 % | $1,757,273 | $1,859,616 | $102,343 | 5.82 % | $1,030 | | | | | | News Article | History of Carl Domino Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Chevy Chase Trust Holdings Inc | No Data | 592,299 | Added More | 1,187 | 0.20 % | $32,238,835 | $34,116,422 | $1,877,588 | 5.82 % | $3,763 | | | | | | News Article | History of Chevy Chase Trust Holdings Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Courier Capital Corp | Institution | 9,892 | No Compare | | | $538,422 | $569,779 | $31,358 | 5.82 % | | | | | | | News Article | History of Courier Capital Corp Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Davenport And Co Llc | Institution | 18,053,760 | New Holding | 18,053,760 | 100 % | $982,666,157 | $1,039,896,576 | $57,230,419 | 5.82 % | $57,230,419 | | | | | | News Article | History of Davenport And Co Llc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Entry Investment Management Inc | Institution | 61,700 | New Holding | 61,700 | 100 % | $3,358,331 | $3,553,920 | $195,589 | 5.82 % | $195,589 | | | | | | News Article | History of Entry Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Essex Financial Services Inc | Institution | 9,603 | Added More | 872 | 9.98 % | $522,691 | $553,133 | $30,442 | 5.82 % | $2,764 | | | | | | News Article | History of Essex Financial Services Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Fidgeon Timothy F | Institution | 4,294 | New Holding | 4,294 | 100 % | $233,722 | $247,334 | $13,612 | 5.82 % | $13,612 | | | | | | News Article | History of Fidgeon Timothy F Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Guaranty Trust Co Of Missouri | Institution | 58,090 | Sold Some | -3,625 | -5.87 % | $3,161,839 | $3,345,984 | $184,145 | 5.82 % | $-11,491 | | | | | | News Article | History of Guaranty Trust Co Of Missouri Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Maple Securities Usa Inc | Institution | | Sold All | -14,747 | -100 % | | | | 5.82 % | $-46,748 | | | | | | News Article | History of Maple Securities Usa Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Mu Investments Co Ltd | No Data | 2,670 | No Compare | | | $145,328 | $153,792 | $8,464 | 5.82 % | | | | | | | News Article | History of Mu Investments Co Ltd Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Niederhoffer R G Capital Management Inc | Institution | 17,700 | New Holding | 17,700 | 100 % | $963,411 | $1,019,520 | $56,109 | 5.82 % | $56,109 | | | | | | News Article | History of Niederhoffer R G Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Northstar Investment Advisors Llc | Institution | 6,484 | Sold Some | -400 | -5.81 % | $352,924 | $373,478 | $20,554 | 5.82 % | $-1,268 | | | | | | News Article | History of Northstar Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Paul A Violich Inc | Institution | 24,700 | Sold Some | -1,900 | -7.14 % | $1,344,421 | $1,422,720 | $78,299 | 5.82 % | $-6,023 | | | | | | News Article | History of Paul A Violich Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Pf Beheer Bv | Institution | 147,100 | Added More | 117,244 | 392.69 % | $8,006,653 | $8,472,960 | $466,307 | 5.82 % | $371,663 | | | | | | News Article | History of Pf Beheer Bv Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Pirit Of America Management Corpny | Institution | 14,200 | Added More | 2,200 | 18.33 % | $772,906 | $817,920 | $45,014 | 5.82 % | $6,974 | | | | | | News Article | History of Pirit Of America Management Corpny Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Prentiss Smith And Co Inc | Institution | 360 | No Change | 0 | 0 % | $19,595 | $20,736 | $1,141 | 5.82 % | $0 | | | | | | News Article | History of Prentiss Smith And Co Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Sandy Spring Bank | No Data | 4,702 | Sold Some | -38 | -0.80 % | $255,930 | $270,835 | $14,905 | 5.82 % | $-120 | | | | | | News Article | History of Sandy Spring Bank Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Wallington Asset Management Llc | Institution | 1,440 | No Change | 0 | 0 % | $78,379 | $82,944 | $4,565 | 5.82 % | $0 | | | | | | News Article | History of Wallington Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Wilbanks Smith And Thomas Asset Management Llc | Institution | 15,840 | Sold Some | -3,020 | -16.01 % | $862,171 | $912,384 | $50,213 | 5.82 % | $-9,573 | | | | | | News Article | History of Wilbanks Smith And Thomas Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-08-31 | N-Q | Alliancebernstein Trust-Alliancebernstein Value Fund | Multi-Cap Value | 149,400 | New Holding | 149,400 | 100 % | $8,131,842 | $8,605,440 | $473,598 | 5.82 % | $473,598 | | | | | | News Article | History of Alliancebernstein Trust-Alliancebernstein Value Fund Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-08-31 | N-Q | American Century Strategic Asset Allocations Inc-Newton Fund | Small-Cap Core | | Sold All | -47,900 | -100 % | | | | 5.82 % | $-151,843 | | | | | | News Article | History of American Century Strategic Asset Allocations Inc-Newton Fund Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-08-31 | N-CSRS | Fidelity Concord Street Trust-Spartan International Index Fund | Global Flex Port | | Sold All | -1,381,776 | -100 % | | | | 5.82 % | $-4,380,230 | | | | | | News Article | History of Fidelity Concord Street Trust-Spartan International Index Fund Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Abal Trust Co | Institution | 119,483 | Sold Some | -9,495 | -7.36 % | $6,773,491 | $6,882,221 | $108,730 | 1.60 % | $-8,640 | | | | | | News Article | History of Abal Trust Co Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Aull Monroe Investment Management Corp | Institution | 50,911 | Sold Some | -1,329 | -2.54 % | $2,886,145 | $2,932,474 | $46,329 | 1.60 % | $-1,209 | | | | | | News Article | History of Aull Monroe Investment Management Corp Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Buffington Mohr Mcneal | Institution | 1,810 | No Change | 0 | 0 % | $102,609 | $104,256 | $1,647 | 1.60 % | $0 | | | | | | News Article | History of Buffington Mohr Mcneal Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Deroy And Devereaux Private Investment Counsel Inc | Institution | 4,000 | Sold Some | -6,000 | -60.00 % | $226,760 | $230,400 | $3,640 | 1.60 % | $-5,460 | | | | | | News Article | History of Deroy And Devereaux Private Investment Counsel Inc Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Eaward Management Corp | Institution | 55,026 | Added More | 29,656 | 116.89 % | $3,119,424 | $3,169,498 | $50,074 | 1.60 % | $26,987 | | | | | | News Article | History of Eaward Management Corp Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Fruth Investment Management | Institution | 10,960 | Added More | 60 | 0.55 % | $621,322 | $631,296 | $9,974 | 1.60 % | $55 | | | | | | News Article | History of Fruth Investment Management Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Hartford Financial Management Inc | Institution | 25,179 | Sold Some | -324 | -1.27 % | $1,427,398 | $1,450,310 | $22,913 | 1.60 % | $-295 | | | | | | News Article | History of Hartford Financial Management Inc Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Hl Financial Services Llc | Institution | 49,146 | Sold Some | -970 | -1.93 % | $2,786,087 | $2,830,810 | $44,723 | 1.60 % | $-883 | | | | | | News Article | History of Hl Financial Services Llc Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Igma Investment Counselors Inc | Institution | 40,801 | Sold Some | -280 | -0.68 % | $2,313,009 | $2,350,138 | $37,129 | 1.60 % | $-255 | | | | | | News Article | History of Igma Investment Counselors Inc Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Investors Capital Advisory Service | Institution | 39,916 | Added More | 47 | 0.11 % | $2,262,838 | $2,299,162 | $36,324 | 1.60 % | $43 | | | | | | News Article | History of Investors Capital Advisory Service Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | North American Management Corp | Institution | 59,735 | Sold Some | -65,935 | -52.46 % | $3,386,377 | $3,440,736 | $54,359 | 1.60 % | $-60,001 | | | | | | News Article | History of North American Management Corp Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Thomas White International Ltd | Institution | 28,300 | Sold Some | -557 | -1.93 % | $1,604,327 | $1,630,080 | $25,753 | 1.60 % | $-507 | | | | | | News Article | History of Thomas White International Ltd Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Tower Bridge Advisor | Institution | 118,100 | Added More | 6,850 | 6.15 % | $6,695,089 | $6,802,560 | $107,471 | 1.60 % | $6,234 | | | | | | News Article | History of Tower Bridge Advisor Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Wagner Investment Management Inc | Institution | 1,600 | No Change | 0 | 0 % | $90,704 | $92,160 | $1,456 | 1.60 % | $0 | | | | | | News Article | History of Wagner Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-09 | 13F-HR | First National Bank Of Mount Dora Trust Investment Service | Institution | 100 | No Change | 0 | 0 % | $5,669 | $5,760 | $91 | 1.60 % | $0 | | | | | | News Article | History of First National Bank Of Mount Dora Trust Investment Service Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-09-30 | 13F-HR | Birmingham Capital Management Co Inc | Institution | 100,325 | New Holding | 100,325 | 100 % | $5,725,548 | $5,778,720 | $53,172 | 0.92 % | $53,172 | | | | | | News Article | History of Birmingham Capital Management Co Inc Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Allianz Funds Multi-Strategy Trust-Allianz Rcm Disciplined Equity Fund | No Data | | Sold All | -6,390 | -100 % | | | | 0.92 % | $-3,387 | | | | | | News Article | History of Allianz Funds Multi-Strategy Trust-Allianz Rcm Disciplined Equity Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Claymore Exchange Traded Fund Trust-Claymoremorningstar Manufacturing Super Sector Index Etf | Specialty & Misc | 435 | No Change | 0 | 0 % | $24,825 | $25,056 | $231 | 0.92 % | $0 | | | | | | News Article | History of Claymore Exchange Traded Fund Trust-Claymoremorningstar Manufacturing Super Sector Index Etf Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Ing Series Fund Inc-Ing Balanced Fund | Mixed-Asset Target Allocation Moderate | 2,500 | New Holding | 2,500 | 100 % | $142,675 | $144,000 | $1,325 | 0.92 % | $1,325 | | | | | | News Article | History of Ing Series Fund Inc-Ing Balanced Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Ing Series Fund Inc-Ing Corporate Leaders 100 Fund | No Data | 2,250 | No Change | 0 | 0 % | $128,408 | $129,600 | $1,193 | 0.92 % | $0 | | | | | | News Article | History of Ing Series Fund Inc-Ing Corporate Leaders 100 Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Ing Series Fund Inc-Ing Index Plus Largecap Fund | Large-Cap Core | 14,900 | New Holding | 14,900 | 100 % | $850,343 | $858,240 | $7,897 | 0.92 % | $7,897 | | | | | | News Article | History of Ing Series Fund Inc-Ing Index Plus Largecap Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc-Tdax Independence 2010 Exchange-Traded Fund | Mixed-Asset Target 2010 Funds | | Sold All | -249 | -100 % | | | | 0.92 % | $-132 | | | | | | News Article | History of Tdax Funds Inc-Tdax Independence 2010 Exchange-Traded Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc-Tdax Independence 2020 Exchange-Traded Fund | Mixed-Asset Target 2020 Funds | | Sold All | -1,347 | -100 % | | | | 0.92 % | $-714 | | | | | | News Article | History of Tdax Funds Inc-Tdax Independence 2020 Exchange-Traded Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc-Tdax Independence 2030 Exchange-Traded Fund | Mixed-Asset Target 2030 Funds | | Sold All | -1,580 | -100 % | | | | 0.92 % | $-837 | | | | | | News Article | History of Tdax Funds Inc-Tdax Independence 2030 Exchange-Traded Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc-Tdax Independence 2040 Exchange-Traded Fund | Mixed-Asset Target 2030+ Funds | | Sold All | -1,757 | -100 % | | | | 0.92 % | $-931 | | | | | | News Article | History of Tdax Funds Inc-Tdax Independence 2040 Exchange-Traded Fund Ownership Of Caterpillar Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc-Tdax Independence In-Target Exchange-Traded Fund | Specialty & Misc | | Sold All | -190 | -100 % | | | | 0.92 % | $-101 | | | | | | News Article | History of Tdax Funds Inc-Tdax Independence In-Target Exchange-Traded Fund Ownership Of Caterpillar Inc |
| 2009-10-22 | 2009-09-30 | N-Q | Armstrong Associates Inc-Armstrong Associates Inc | Multi-Cap Core | | Sold All | -4,000 | -100 % | | | | -1.94 % | $4,560 | | | | | | News Article | History of Armstrong Associates Inc-Armstrong Associates Inc Ownership Of Caterpillar Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Inc | No Data | 35,061 | Sold Some | -161,908 | -82.19 % | $2,059,483 | $2,019,514 | $-39,970 | -1.94 % | $184,575 | | | | | | News Article | History of Blackrock Inc Ownership Of Caterpillar Inc |
| 2009-10-09 | 2009-07-31 | N-CSR | Advisors Inner Circle Fund Ii-Value Fund | Small-Cap Core | 47,900 | Sold Some | -20,500 | -29.97 % | $2,569,356 | $2,759,040 | $189,684 | 7.38 % | $-81,180 | | | | | | News Article | History of Advisors Inner Circle Fund Ii-Value Fund Ownership Of Caterpillar Inc |
| 2009-10-09 | 2009-07-31 | N-CSR | Ishares Trust-Ishares Nyse 100 Index Fund | Specialty & Misc | 7,918 | Sold Some | -702 | -8.14 % | $424,722 | $456,077 | $31,355 | 7.38 % | $-2,780 | | | | | | News Article | History of Ishares Trust-Ishares Nyse 100 Index Fund Ownership Of Caterpillar Inc |
| 2009-10-09 | 2009-07-31 | N-CSR | Lord Abbett Large Cap Growth Fund-Lord Abbett Large Cap Growth Fund | Large-Cap Growth | 21,740 | New Holding | 21,740 | 100 % | $1,166,134 | $1,252,224 | $86,090 | 7.38 % | $86,090 | | | | | | News Article | History of Lord Abbett Large Cap Growth Fund-Lord Abbett Large Cap Growth Fund Ownership Of Caterpillar Inc |
| 2009-10-07 | 2009-07-31 | N-CSR | Fidelity Advisor Series Vii-Fidelity Advisor Industrials Fund | Specialty & Misc | 36,200 | New Holding | 36,200 | 100 % | $1,878,780 | $2,085,120 | $206,340 | 10.98 % | $206,340 | | | | | | News Article | History of Fidelity Advisor Series Vii-Fidelity Advisor Industrials Fund Ownership Of Caterpillar Inc |
| 2009-10-07 | 2009-07-31 | N-CSRS | Fidelity Devonshire Trust-Fidelity Series All-Sector Equity Fund | No Data | 322,300 | New Holding | 322,300 | 100 % | $16,727,370 | $18,564,480 | $1,837,110 | 10.98 % | $1,837,110 | | | | | | News Article | History of Fidelity Devonshire Trust-Fidelity Series All-Sector Equity Fund Ownership Of Caterpillar Inc |
| 2009-10-07 | 2009-07-31 | N-CSRS | Fidelity Devonshire Trust-Fidelity Series Large Cap Value Fund | No Data | 432,800 | New Holding | 432,800 | 100 % | $22,462,320 | $24,929,280 | $2,466,960 | 10.98 % | $2,466,960 | | | | | | News Article | History of Fidelity Devonshire Trust-Fidelity Series Large Cap Value Fund Ownership Of Caterpillar Inc |
| 2009-10-07 | 2009-07-31 | N-CSR | Profunds-Bull Profund | Large-Cap Core | | Sold All | -8,840 | -100 % | | | | 10.98 % | $-50,388 | | | | | | News Article | History of Profunds-Bull Profund Ownership Of Caterpillar Inc |
| 2009-10-07 | 2009-07-31 | N-CSR | Profunds-Industrials Ultrasector Profund | Specialty & Misc | 986 | New Holding | 986 | 100 % | $51,173 | $56,794 | $5,620 | 10.98 % | $5,620 | | | | | | News Article | History of Profunds-Industrials Ultrasector Profund Ownership Of Caterpillar Inc |
| 2009-10-07 | 2009-07-31 | N-CSRS | Unamerica Series Trust-Balanced Portfolio | Flexible Portfolio | | Sold All | -16,659 | -100 % | | | | 10.98 % | $-94,956 | | | | | | News Article | History of Unamerica Series Trust-Balanced Portfolio Ownership Of Caterpillar Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Fifth Third Funds-Fifth Third Institutional Money Market Fund | Specialty & Misc | | Sold All | -95,138 | -100 % | | | | 17.96 % | $-834,360 | | | | | | News Article | History of Fifth Third Funds-Fifth Third Institutional Money Market Fund Ownership Of Caterpillar Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Usaa Mutual Funds Trust-Income Stock Fund | Equity Income | 16,000 | New Holding | 16,000 | 100 % | $781,280 | $921,600 | $140,320 | 17.96 % | $140,320 | | | | | | News Article | History of Usaa Mutual Funds Trust-Income Stock Fund Ownership Of Caterpillar Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Usaa Mutual Funds Trust-Money Market Fund | Specialty & Misc | | Sold All | -9,900 | -100 % | | | | 17.96 % | $-86,823 | | | | | | News Article | History of Usaa Mutual Funds Trust-Money Market Fund Ownership Of Caterpillar Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Usaa Mutual Funds Trust-Value Fund | Multi-Cap Value | | Sold All | -168,300 | -100 % | | | | 17.96 % | $-1,475,991 | | | | | | News Article | History of Usaa Mutual Funds Trust-Value Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Aim Equity Funds-Aim Diversified Dividend Fund | Large-Cap Core | 239,572 | New Holding | 239,572 | 100 % | $12,361,915 | $13,799,347 | $1,437,432 | 11.62 % | $1,437,432 | | | | | | News Article | History of Aim Equity Funds-Aim Diversified Dividend Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Alpine Series Trust-Alpine Dynamic Balance Fund | Specialty & Misc | | Sold All | -10,000 | -100 % | | | | 11.62 % | $-60,000 | | | | | | News Article | History of Alpine Series Trust-Alpine Dynamic Balance Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | American Beacon Funds-American Beacon Balanced Fund | Mixed-Asset Target Allocation Growth | 40,000 | No Change | 0 | 0 % | $2,064,000 | $2,304,000 | $240,000 | 11.62 % | $0 | | | | | | News Article | History of American Beacon Funds-American Beacon Balanced Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | American Beacon Funds-American Beacon Large Cap Value Fund | Large-Cap Value | 469,300 | Added More | 7,900 | 1.71 % | $24,215,880 | $27,031,680 | $2,815,800 | 11.62 % | $47,400 | | | | | | News Article | History of American Beacon Funds-American Beacon Large Cap Value Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | American Century Mutual Funds Inc-Capital Value Fund | Large-Cap Value | | Sold All | -34,400 | -100 % | | | | 11.62 % | $-206,400 | | | | | | News Article | History of American Century Mutual Funds Inc-Capital Value Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Chroder Global Series Trust-North American Equity Fund | Specialty & Misc | 38,308 | Added More | 10,800 | 39.26 % | $1,976,693 | $2,206,541 | $229,848 | 11.62 % | $64,800 | | | | | | News Article | History of Chroder Global Series Trust-North American Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc-International Core Equity Portfolio | International Small-Mid-Cap Value | 166,126 | New Holding | 166,126 | 100 % | $8,572,102 | $9,568,858 | $996,756 | 11.62 % | $996,756 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc-International Core Equity Portfolio Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc-Us Sustainability Core 1 Portfolio | No Data | 5,100 | New Holding | 5,100 | 100 % | $263,160 | $293,760 | $30,600 | 11.62 % | $30,600 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc-Us Sustainability Core 1 Portfolio Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Trust Co-Global Large Company Serie | Large-Cap Core | 224,643 | New Holding | 224,643 | 100 % | $11,591,579 | $12,939,437 | $1,347,858 | 11.62 % | $1,347,858 | | | | | | News Article | History of Dfa Investment Trust Co-Global Large Company Serie Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Eclipse Funds Inc-Mainstay All Cap Growth Fund | Multi-Cap Growth | | Sold All | -12,600 | -100 % | | | | 11.62 % | $-75,600 | | | | | | News Article | History of Eclipse Funds Inc-Mainstay All Cap Growth Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Eclipse Funds Inc-Mainstay S And P 500 Index Fund | S&P 500 Index | 76,661 | New Holding | 76,661 | 100 % | $3,955,708 | $4,415,674 | $459,966 | 11.62 % | $459,966 | | | | | | News Article | History of Eclipse Funds Inc-Mainstay S And P 500 Index Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Exeter Fund Inc Ny-Dividend Focus Serie | No Data | 182 | New Holding | 182 | 100 % | $9,391 | $10,483 | $1,092 | 11.62 % | $1,092 | | | | | | News Article | History of Exeter Fund Inc Ny-Dividend Focus Serie Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Advisor Series Viii-Value Leaders Fund | Multi-Cap Core | 3,900 | New Holding | 3,900 | 100 % | $201,240 | $224,640 | $23,400 | 11.62 % | $23,400 | | | | | | News Article | History of Fidelity Advisor Series Viii-Value Leaders Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Capital Trust-Fidelity Stock Selector | Specialty & Misc | 7,300 | New Holding | 7,300 | 100 % | $376,680 | $420,480 | $43,800 | 11.62 % | $43,800 | | | | | | News Article | History of Fidelity Capital Trust-Fidelity Stock Selector Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Charles Street Trust-Fidelity Global Balanced Fund | Global Flex Port | 34,000 | New Holding | 34,000 | 100 % | $1,754,400 | $1,958,400 | $204,000 | 11.62 % | $204,000 | | | | | | News Article | History of Fidelity Charles Street Trust-Fidelity Global Balanced Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Commonwealth Trust-Fidelity Large Cap Stock Fund | Large-Cap Core | 8,000 | New Holding | 8,000 | 100 % | $412,800 | $460,800 | $48,000 | 11.62 % | $48,000 | | | | | | News Article | History of Fidelity Commonwealth Trust-Fidelity Large Cap Stock Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Commonwealth Trust-Spartan 500 Index Fund | S&P 500 Index | 866,635 | Added More | 25,687 | 3.05 % | $44,718,366 | $49,918,176 | $5,199,810 | 11.62 % | $154,122 | | | | | | News Article | History of Fidelity Commonwealth Trust-Spartan 500 Index Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Investment Trust-Fidelity Europe Fund | European Region | 73,000 | New Holding | 73,000 | 100 % | $3,766,800 | $4,204,800 | $438,000 | 11.62 % | $438,000 | | | | | | News Article | History of Fidelity Investment Trust-Fidelity Europe Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Investment Trust-Fidelity Global Commodity Stock Fund | No Data | 7,600 | No Compare | | | $392,160 | $437,760 | $45,600 | 11.62 % | | | | | | | News Article | History of Fidelity Investment Trust-Fidelity Global Commodity Stock Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Fidelity Investment Trust-Fidelity Worldwide Fund | Specialty & Misc | 73,000 | New Holding | 73,000 | 100 % | $3,766,800 | $4,204,800 | $438,000 | 11.62 % | $438,000 | | | | | | News Article | History of Fidelity Investment Trust-Fidelity Worldwide Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | First American Investment Funds Inc-Large Cap Value Fund | Large-Cap Value | 1,633 | New Holding | 1,633 | 100 % | $84,263 | $94,061 | $9,798 | 11.62 % | $9,798 | | | | | | News Article | History of First American Investment Funds Inc-Large Cap Value Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | First American Investment Funds Inc-Quantitative Large Cap Core Fund | Large-Cap Core | 6,713 | New Holding | 6,713 | 100 % | $346,391 | $386,669 | $40,278 | 11.62 % | $40,278 | | | | | | News Article | History of First American Investment Funds Inc-Quantitative Large Cap Core Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | First American Investment Funds Inc-Quantitative Large Cap Growth Fund | Large-Cap Core | 1,539 | New Holding | 1,539 | 100 % | $79,412 | $88,646 | $9,234 | 11.62 % | $9,234 | | | | | | News Article | History of First American Investment Funds Inc-Quantitative Large Cap Growth Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-CSR | George Putnam Fund Of Boston-George Putnam Fund Of Boston | Mixed-Asset Target Allocation Moderate | 80,500 | Sold Some | -60,100 | -42.74 % | $4,153,800 | $4,636,800 | $483,000 | 11.62 % | $-360,600 | | | | | | News Article | History of George Putnam Fund Of Boston-George Putnam Fund Of Boston Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Hartford Mutual Funds Ii Inc-Hartford Growth Fund | Large-Cap Growth | 92 | Sold Some | -111 | -54.67 % | $4,747 | $5,299 | $552 | 11.62 % | $-666 | | | | | | News Article | History of Hartford Mutual Funds Ii Inc-Hartford Growth Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Hartford Mutual Funds Incct-Hartford Balanced Income Fund | Mixed-Asset Target Allocation Moderate | 5 | No Change | 0 | 0 % | $258 | $288 | $30 | 11.62 % | $0 | | | | | | News Article | History of Hartford Mutual Funds Incct-Hartford Balanced Income Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Hartford Mutual Funds Incct-Hartford Equity Income Fund | Equity Income | 71 | No Change | 0 | 0 % | $3,664 | $4,090 | $426 | 11.62 % | $0 | | | | | | News Article | History of Hartford Mutual Funds Incct-Hartford Equity Income Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Icap Funds Inc-Mainstay Icap Equity Fund | Specialty & Misc | 372,400 | New Holding | 372,400 | 100 % | $19,215,840 | $21,450,240 | $2,234,400 | 11.62 % | $2,234,400 | | | | | | News Article | History of Icap Funds Inc-Mainstay Icap Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Icap Funds Inc-Mainstay Icap Global Fund | Global Flex Port | 12,050 | New Holding | 12,050 | 100 % | $621,780 | $694,080 | $72,300 | 11.62 % | $72,300 | | | | | | News Article | History of Icap Funds Inc-Mainstay Icap Global Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Icap Funds Inc-Mainstay Icap Select Equity Fund | Specialty & Misc | 1,075,750 | New Holding | 1,075,750 | 100 % | $55,508,700 | $61,963,200 | $6,454,500 | 11.62 % | $6,454,500 | | | | | | News Article | History of Icap Funds Inc-Mainstay Icap Select Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Ishares Trust-Ishares Dow Jones Select Dividend Index Fund | Specialty & Misc | 644,551 | Sold Some | -55,019 | -7.86 % | $33,258,832 | $37,126,138 | $3,867,306 | 11.62 % | $-330,114 | | | | | | News Article | History of Ishares Trust-Ishares Dow Jones Select Dividend Index Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Ishares Trust-Ishares Kld Select Social Index Fund | Specialty & Misc | 3,225 | No Compare | | | $166,410 | $185,760 | $19,350 | 11.62 % | | | | | | | News Article | History of Ishares Trust-Ishares Kld Select Social Index Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Ishares Trust-Ishares Morningstar Large Value Index Fund | Large-Cap Value | 46,864 | Sold Some | -3,275 | -6.53 % | $2,418,182 | $2,699,366 | $281,184 | 11.62 % | $-19,650 | | | | | | News Article | History of Ishares Trust-Ishares Morningstar Large Value Index Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-CSR | Janus Investment Fund-Intech Risk-Managed Value Fund | No Data | 2,200 | No Compare | | | $113,520 | $126,720 | $13,200 | 11.62 % | | | | | | | News Article | History of Janus Investment Fund-Intech Risk-Managed Value Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Janus Investment Fund-Janus Fund | Large-Cap Growth | | Sold All | -52,700 | -100 % | | | | 11.62 % | $-316,200 | | | | | | News Article | History of Janus Investment Fund-Janus Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Jnl Investors Series Trust-Jackson Perspective 5 Fund | Specialty & Misc | 13,954 | Sold Some | -3,590 | -20.46 % | $720,026 | $803,750 | $83,724 | 11.62 % | $-21,540 | | | | | | News Article | History of Jnl Investors Series Trust-Jackson Perspective 5 Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Jnl Investors Series Trust-Jackson Perspective Index 5 Fund | Specialty & Misc | 659 | No Change | 0 | 0 % | $34,004 | $37,958 | $3,954 | 11.62 % | $0 | | | | | | News Article | History of Jnl Investors Series Trust-Jackson Perspective Index 5 Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Mainstay Funds-Mainstay Capital Appreciation Fund | Large-Cap Growth | | Sold All | -48,100 | -100 % | | | | 11.62 % | $-288,600 | | | | | | News Article | History of Mainstay Funds-Mainstay Capital Appreciation Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Mainstay Funds-Mainstay Equity Index Fund | Specialty & Misc | 15,203 | Sold Some | -902 | -5.60 % | $784,475 | $875,693 | $91,218 | 11.62 % | $-5,412 | | | | | | News Article | History of Mainstay Funds-Mainstay Equity Index Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Mainstay Funds-Mainstay Map Fund | Multi-Cap Core | 384,300 | Added More | 306,700 | 395.23 % | $19,829,880 | $22,135,680 | $2,305,800 | 11.62 % | $1,840,200 | | | | | | News Article | History of Mainstay Funds-Mainstay Map Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Mainstay Funds-Mainstay Value Fund | Large-Cap Value | 230,503 | New Holding | 230,503 | 100 % | $11,893,955 | $13,276,973 | $1,383,018 | 11.62 % | $1,383,018 | | | | | | News Article | History of Mainstay Funds-Mainstay Value Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Mainstay Funds-S000010077 | No Data | 8,000 | New Holding | 8,000 | 100 % | $412,800 | $460,800 | $48,000 | 11.62 % | $48,000 | | | | | | News Article | History of Mainstay Funds-S000010077 Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Managers Trust I-Managers Fremont Global Fund | Global Flex Port | 1,400 | No Change | 0 | 0 % | $72,240 | $80,640 | $8,400 | 11.62 % | $0 | | | | | | News Article | History of Managers Trust I-Managers Fremont Global Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Pioneer Equity Income Fund-Pioneer Equity Income Fund | Equity Income | 230,000 | New Holding | 230,000 | 100 % | $11,868,000 | $13,248,000 | $1,380,000 | 11.62 % | $1,380,000 | | | | | | News Article | History of Pioneer Equity Income Fund-Pioneer Equity Income Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-CSR | Putnam Investment Funds-Putnam Growth Opportunities Fund | Large-Cap Growth | | Sold All | -19,000 | -100 % | | | | 11.62 % | $-114,000 | | | | | | News Article | History of Putnam Investment Funds-Putnam Growth Opportunities Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-CSR | Putnam Investment Funds-Putnam Research Fund | No Data | | Sold All | -8,400 | -100 % | | | | 11.62 % | $-50,400 | | | | | | News Article | History of Putnam Investment Funds-Putnam Research Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-CSR | Putnam Investors Fund-Putnam Investors Fund | Large-Cap Core | | Sold All | -184,313 | -100 % | | | | 11.62 % | $-1,105,878 | | | | | | News Article | History of Putnam Investors Fund-Putnam Investors Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Riversource Retirement Series Trust-Riversource 12020 Contrarian Equity Fund | No Data | 10,642 | Sold Some | -7,059 | -39.87 % | $549,127 | $612,979 | $63,852 | 11.62 % | $-42,354 | | | | | | News Article | History of Riversource Retirement Series Trust-Riversource 12020 Contrarian Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Riversource Retirement Series Trust-Riversource Recovery And Infrastructure Fund | No Data | 129,676 | Added More | 78,034 | 151.10 % | $6,691,282 | $7,469,338 | $778,056 | 11.62 % | $468,204 | | | | | | News Article | History of Riversource Retirement Series Trust-Riversource Recovery And Infrastructure Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Russell Investment Co-Diversified Equity Fund | No Data | 373,350 | New Holding | 373,350 | 100 % | $19,264,860 | $21,504,960 | $2,240,100 | 11.62 % | $2,240,100 | | | | | | News Article | History of Russell Investment Co-Diversified Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Russell Investment Co-Emerging Markets Fund | Emerging Markets | 16,600 | New Holding | 16,600 | 100 % | $856,560 | $956,160 | $99,600 | 11.62 % | $99,600 | | | | | | News Article | History of Russell Investment Co-Emerging Markets Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Russell Investment Co-Global Equity Fund | Global Multi-Cap Core | 123,400 | New Holding | 123,400 | 100 % | $6,367,440 | $7,107,840 | $740,400 | 11.62 % | $740,400 | | | | | | News Article | History of Russell Investment Co-Global Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Russell Investment Co-International Fund | International Multi-Cap Core | | Sold All | -16,600 | -100 % | | | | 11.62 % | $-99,600 | | | | | | News Article | History of Russell Investment Co-International Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Van Kampen Trust Ii-Global Tactical Asset Allocation Fund | No Data | 400 | New Holding | 400 | 100 % | $20,640 | $23,040 | $2,400 | 11.62 % | $2,400 | | | | | | News Article | History of Van Kampen Trust Ii-Global Tactical Asset Allocation Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Vanguard International Equity Index Funds-Vanguard Total World Stock Index Fund | No Data | 12,920 | Added More | 2,070 | 19.07 % | $666,672 | $744,192 | $77,520 | 11.62 % | $12,420 | | | | | | News Article | History of Vanguard International Equity Index Funds-Vanguard Total World Stock Index Fund Ownership Of Caterpillar Inc |
| 2009-09-29 | 2009-07-31 | N-CSRS | Vanguard Specialized Funds-Vanguard Dividend Growth Fund | Multi-Cap Growth | | Sold All | -1,016,000 | -100 % | | | | 11.62 % | $-6,096,000 | | | | | | News Article | History of Vanguard Specialized Funds-Vanguard Dividend Growth Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Advisors Inner Circle Fund-Hgk Equity Value Fund | Large-Cap Value | 2,900 | New Holding | 2,900 | 100 % | $151,322 | $167,040 | $15,718 | 10.38 % | $15,718 | | | | | | News Article | History of Advisors Inner Circle Fund-Hgk Equity Value Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Advisors Series Trust-Activepassive Large Cap Growth Fund | No Data | 1,480 | New Holding | 1,480 | 100 % | $77,226 | $85,248 | $8,022 | 10.38 % | $8,022 | | | | | | News Article | History of Advisors Series Trust-Activepassive Large Cap Growth Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Advisors Series Trust-Castlerock Fund | Specialty & Misc | 5,500 | New Holding | 5,500 | 100 % | $286,990 | $316,800 | $29,810 | 10.38 % | $29,810 | | | | | | News Article | History of Advisors Series Trust-Castlerock Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Chwab Capital Trust-Schwab Fundamental Us Large Company Index Fund | Large-Cap Core | 35,245 | Added More | 15,500 | 78.50 % | $1,839,084 | $2,030,112 | $191,028 | 10.38 % | $84,010 | | | | | | News Article | History of Chwab Capital Trust-Schwab Fundamental Us Large Company Index Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Chwab Capital Trust-Schwab Technology Fund | Science & Tech | 566,462 | New Holding | 566,462 | 100 % | $29,557,987 | $32,628,211 | $3,070,224 | 10.38 % | $3,070,224 | | | | | | News Article | History of Chwab Capital Trust-Schwab Technology Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Epiphany Funds-Epiphany Core Equity Fund | Multi-Cap Core | 1,260 | No Change | 0 | 0 % | $65,747 | $72,576 | $6,829 | 10.38 % | $0 | | | | | | News Article | History of Epiphany Funds-Epiphany Core Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Jpmorgan Trust I-Jpmorgan Market Neutral Fund | Specialty & Misc | 26 | Added More | 12 | 85.71 % | $1,357 | $1,498 | $141 | 10.38 % | $65 | | | | | | News Article | History of Jpmorgan Trust I-Jpmorgan Market Neutral Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Jpmorgan Trust I-Jpmorgan Tax Aware Core Equity Fund | Multi-Cap Core | 64 | Sold Some | -3 | -4.47 % | $3,340 | $3,686 | $347 | 10.38 % | $-16 | | | | | | News Article | History of Jpmorgan Trust I-Jpmorgan Tax Aware Core Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Jpmorgan Trust I-Jpmorgan Tax Aware Disciplined Equity Fund | Specialty & Misc | 81 | Added More | 23 | 39.65 % | $4,227 | $4,666 | $439 | 10.38 % | $125 | | | | | | News Article | History of Jpmorgan Trust I-Jpmorgan Tax Aware Disciplined Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Legg Mason Partners Equity Trust-Legg Mason Partners All Cap Fund | Specialty & Misc | | Sold All | -64,300 | -100 % | | | | 10.38 % | $-348,506 | | | | | | News Article | History of Legg Mason Partners Equity Trust-Legg Mason Partners All Cap Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Legg Mason Partners Equity Trust-Legg Mason Partners Equity Income Builder Fund | No Data | | Sold All | -7,000 | -100 % | | | | 10.38 % | $-37,940 | | | | | | News Article | History of Legg Mason Partners Equity Trust-Legg Mason Partners Equity Income Builder Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Lord Abbett Affiliated Fund Inc-Lord Abbett Affiliated Fund Inc | Large-Cap Value | 2,065,307 | New Holding | 2,065,307 | 100 % | $107,767,719 | $118,961,683 | $11,193,964 | 10.38 % | $11,193,964 | | | | | | News Article | History of Lord Abbett Affiliated Fund Inc-Lord Abbett Affiliated Fund Inc Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Lord Abbett Securities Trust-Lord Abbett All Value Fund | Multi-Cap Value | 13,360 | Added More | 10,480 | 363.88 % | $697,125 | $769,536 | $72,411 | 10.38 % | $56,802 | | | | | | News Article | History of Lord Abbett Securities Trust-Lord Abbett All Value Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds-Massmutual Premier Balanced Fund | Mixed-Asset Target Allocation Growth | 1,900 | Added More | 500 | 35.71 % | $99,142 | $109,440 | $10,298 | 10.38 % | $2,710 | | | | | | News Article | History of Massmutual Premier Funds-Massmutual Premier Balanced Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds-Massmutual Premier Enhanced Index Core Equity Fund | Large-Cap Core | 400 | Added More | 200 | 100.00 % | $20,872 | $23,040 | $2,168 | 10.38 % | $1,084 | | | | | | News Article | History of Massmutual Premier Funds-Massmutual Premier Enhanced Index Core Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds-Massmutual Premier Enhanced Index Growth Fund | Large-Cap Core | 60 | Sold Some | -8,000 | -99.25 % | $3,131 | $3,456 | $325 | 10.38 % | $-43,360 | | | | | | News Article | History of Massmutual Premier Funds-Massmutual Premier Enhanced Index Growth Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds-Massmutual Premier Enhanced Index Value Fund | Multi-Cap Value | 10,900 | New Holding | 10,900 | 100 % | $568,762 | $627,840 | $59,078 | 10.38 % | $59,078 | | | | | | News Article | History of Massmutual Premier Funds-Massmutual Premier Enhanced Index Value Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds-Massmutual Premier Main Street Fund | Small-Cap Core | | Sold All | -25,600 | -100 % | | | | 10.38 % | $-138,752 | | | | | | News Article | History of Massmutual Premier Funds-Massmutual Premier Main Street Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Powershares Exchange Traded Fund Trust-Powershares Dividend Achievers Portfolio | Specialty & Misc | 30,840 | New Holding | 30,840 | 100 % | $1,609,231 | $1,776,384 | $167,153 | 10.38 % | $167,153 | | | | | | News Article | History of Powershares Exchange Traded Fund Trust-Powershares Dividend Achievers Portfolio Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Vanguard Windsor Funds-Vanguard Windsor Fund | Multi-Cap Value | 935,000 | New Holding | 935,000 | 100 % | $48,788,300 | $53,856,000 | $5,067,700 | 10.38 % | $5,067,700 | | | | | | News Article | History of Vanguard Windsor Funds-Vanguard Windsor Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Vanguard Windsor Funds-Vanguard Windsor Ii Fund | Large-Cap Value | | Sold All | -42,600 | -100 % | | | | 10.38 % | $-230,892 | | | | | | News Article | History of Vanguard Windsor Funds-Vanguard Windsor Ii Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Victory Portfolios-Victory Stock Index Fund | S&P 500 Index | 2,267 | Sold Some | -79 | -3.36 % | $118,292 | $130,579 | $12,287 | 10.38 % | $-428 | | | | | | News Article | History of Victory Portfolios-Victory Stock Index Fund Ownership Of Caterpillar Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Voyageur Mutual Funds Iii Mn-Delaware Large Cap Core Fund | Large-Cap Core | | Sold All | -220 | -100 % | | | | 10.38 % | $-1,192 | | | | | | News Article | History of Voyageur Mutual Funds Iii Mn-Delaware Large Cap Core Fund Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Advantage Funds Inc-Global Alpha Fund | Global Flex Port | 1,544 | Sold Some | -759 | -32.95 % | $79,053 | $88,934 | $9,882 | 12.50 % | $-4,858 | | | | | | News Article | History of Advantage Funds Inc-Global Alpha Fund Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Advisors Inner Circle Fund-Edgewood Growth Fund | Multi-Cap Growth | 10,500 | New Holding | 10,500 | 100 % | $537,600 | $604,800 | $67,200 | 12.50 % | $67,200 | | | | | | News Article | History of Advisors Inner Circle Fund-Edgewood Growth Fund Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Advisors Inner Circle Fund-Lsv Conservative Core Equity Fund | Multi-Cap Value | 4,300 | Sold Some | -1,100 | -20.37 % | $220,160 | $247,680 | $27,520 | 12.50 % | $-7,040 | | | | | | News Article | History of Advisors Inner Circle Fund-Lsv Conservative Core Equity Fund Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Calamos Investment Trustil-Calamos Market Neutral Income Fund | Equity Income | 35,000 | No Change | 0 | 0 % | $1,792,000 | $2,016,000 | $224,000 | 12.50 % | $0 | | | | | | News Article | History of Calamos Investment Trustil-Calamos Market Neutral Income Fund Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Direxion Shares Etf Trust-Direxion Daily Large Cap Bull 3x Shares | No Data | 10,829 | Sold Some | -29,325 | -73.03 % | $554,445 | $623,750 | $69,306 | 12.50 % | $-187,680 | | | | | | News Article | History of Direxion Shares Etf Trust-Direxion Daily Large Cap Bull 3x Shares Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Thrivent Mutual Funds-Thrivent Large Cap Stock Fund | Large-Cap Core | | Sold All | -120,452 | -100 % | | | | 12.50 % | $-770,893 | | | | | | News Article | History of Thrivent Mutual Funds-Thrivent Large Cap Stock Fund Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Unified Series Trust-Jones Villalta Opportunity Fund | No Data | 730 | No Change | 0 | 0 % | $37,376 | $42,048 | $4,672 | 12.50 % | $0 | | | | | | News Article | History of Unified Series Trust-Jones Villalta Opportunity Fund Ownership Of Caterpillar Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Unified Series Trust-Marathon Value Portfolio | Multi-Cap Value | | Sold All | -12,890 | -100 % | | | | 12.50 % | $-82,496 | | | | | | News Article | History of Unified Series Trust-Marathon Value Portfolio Ownership Of Caterpillar Inc |
| 2009-09-24 | 2009-07-31 | N-Q | Dreyfus Index Funds Inc-Dreyfus S And P 500 Index Fund | S&P 500 Index | 146,314 | No Change | 0 | 0 % | $7,586,381 | $8,427,686 | $841,306 | 11.08 % | $0 | | | | | | News Article | History of Dreyfus Index Funds Inc-Dreyfus S And P 500 Index Fund Ownership Of Caterpillar Inc |
| 2009-09-24 | 2009-07-31 | N-Q | Nationwide Mutual Funds-Nationwide Fund | Mixed-Asset Target 2010 Funds | 49,300 | New Holding | 49,300 | 100 % | $2,556,205 | $2,839,680 | $283,475 | 11.08 % | $283,475 | | | | | | News Article | History of Nationwide Mutual Funds-Nationwide Fund Ownership Of Caterpillar Inc |
| 2009-09-24 | 2009-07-31 | N-Q | Nationwide Mutual Funds-Nationwide Growth Fund |
RSS feed for CAT