| 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 |
|---|
| 2009-11-19 | 2009-09-30 | 13F-HR | Mcmillion Capital Management Inc | Institution | 67,935 | Sold Some | -1,531 | -2.20 % | $3,981,670 | $3,981,670 | $0 | 0.00 % | $0 | | | | | | News Article | History of Mcmillion Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-19 | 2009-09-30 | 13F-HR/A | Rbc Asset Management Inc | Institution | 132,600 | New Holding | 132,600 | 100 % | $7,771,686 | $7,771,686 | $0 | 0.00 % | $0 | | | | | | News Article | History of Rbc Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-19 | 2009-09-30 | 13F-HR/A | Royal Bank Of Canada | Institution | 10,890 | Added More | 1,497 | 15.93 % | $638,263 | $638,263 | $0 | 0.00 % | $0 | | | | | | News Article | History of Royal Bank Of Canada Ownership Of Caterpillar Inc |
| 2009-11-19 | 2009-09-30 | 13F-HR | Wood Asset Management Inc | Institution | 4,448 | New Holding | 4,448 | 100 % | $260,697 | $260,697 | $0 | 0.00 % | $0 | | | | | | News Article | History of Wood Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR/A | Adage Capital Partners Gp Llc | Institution | 703,950 | Added More | 175,000 | 33.08 % | $41,821,670 | $41,258,510 | $-563,160 | -1.34 % | $-140,000 | | | | | | News Article | History of Adage Capital Partners Gp Llc Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR/A | Capital Management Associates | Institution | 28,835 | New Holding | 28,835 | 100 % | $1,713,087 | $1,690,019 | $-23,068 | -1.34 % | $-23,068 | | | | | | News Article | History of Capital Management Associates Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR | Jane Street Holding Llc | Institution | 22,896 | Added More | 6,304 | 37.99 % | $1,360,251 | $1,341,935 | $-18,317 | -1.34 % | $-5,043 | | | | | | News Article | History of Jane Street Holding Llc Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR/A | M And R Capital Management Inc | Institution | 9,052 | Sold Some | -28 | -0.30 % | $537,779 | $530,538 | $-7,242 | -1.34 % | $22 | | | | | | News Article | History of M And R Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | N-Q | Mlig Variable Insurance Trust - Roszellord Abbett Affiliated Portfolio | Specialty & Misc | 2,700 | Sold Some | -4,900 | -64.47 % | $160,407 | $158,247 | $-2,160 | -1.34 % | $3,920 | | | | | | News Article | History of Mlig Variable Insurance Trust - Roszellord Abbett Affiliated Portfolio Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | N-Q | Mlig Variable Insurance Trust - Roszellord Abbett Large Cap Value Portfolio | Large-Cap Value | 508 | Sold Some | -77 | -13.16 % | $30,180 | $29,774 | $-406 | -1.34 % | $62 | | | | | | News Article | History of Mlig Variable Insurance Trust - Roszellord Abbett Large Cap Value Portfolio Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR | Royal Bank Of Canada Trust Co Ltd | Institution | 6,210 | No Change | 0 | 0 % | $368,936 | $363,968 | $-4,968 | -1.34 % | $0 | | | | | | News Article | History of Royal Bank Of Canada Trust Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR | Timber Hill Llc | No Data | | Sold All | -32,439 | -100 % | | | | -1.34 % | $25,951 | | | | | | News Article | History of Timber Hill Llc Ownership Of Caterpillar Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR | Willis Investment Counsel | Institution | | Sold All | -93,466 | -100 % | | | | -1.34 % | $74,773 | | | | | | News Article | History of Willis Investment Counsel Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Amvescap Plc | Institution | 447,319 | Added More | 241,873 | 117.73 % | $26,785,462 | $26,217,367 | $-568,095 | -2.12 % | $-307,179 | | | | | | News Article | History of Amvescap Plc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Brc Investment Management Llc | Institution | 119,920 | New Holding | 119,920 | 100 % | $7,180,810 | $7,028,511 | $-152,298 | -2.12 % | $-152,298 | | | | | | News Article | History of Brc Investment Management Llc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Castleark Management Llc | Institution | 1,500 | No Change | 0 | 0 % | $89,820 | $87,915 | $-1,905 | -2.12 % | $0 | | | | | | News Article | History of Castleark Management Llc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | N-Q | Country Mutual Funds Trust - Country Growth Fund | Multi-Cap Growth | 36,000 | Sold Some | -8,700 | -19.46 % | $2,155,680 | $2,109,960 | $-45,720 | -2.12 % | $11,049 | | | | | | News Article | History of Country Mutual Funds Trust - Country Growth Fund Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | N-Q | Country Mutual Funds Trust - Country Vp Growth Fund | Multi-Cap Growth | 2,100 | Sold Some | -600 | -22.22 % | $125,748 | $123,081 | $-2,667 | -2.12 % | $762 | | | | | | News Article | History of Country Mutual Funds Trust - Country Vp Growth Fund Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Credit Suisse First Boston | Institution | 2,355,010 | Added More | 379,399 | 19.20 % | $141,017,999 | $138,027,136 | $-2,990,863 | -2.12 % | $-481,837 | | | | | | News Article | History of Credit Suisse First Boston Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Great Lakes Advisors Inc | Institution | 29,955,723 | Added More | 29,350,682 | 4851.02 % | $1,793,748,693 | $1,755,704,925 | $-38,043,768 | -2.12 % | $-37,275,366 | | | | | | News Article | History of Great Lakes Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Janus Capital Management Llc | Institution | 158,148 | Sold Some | -2,973,583 | -94.95 % | $9,469,902 | $9,269,054 | $-200,848 | -2.12 % | $3,776,450 | | | | | | News Article | History of Janus Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | N-Q | Lincoln National Aggressive Growth Fund Inc - Lvip Ssga Large Cap 100 Fund | No Data | 29,300 | New Holding | 29,300 | 100 % | $1,754,484 | $1,717,273 | $-37,211 | -2.12 % | $-37,211 | | | | | | News Article | History of Lincoln National Aggressive Growth Fund Inc - Lvip Ssga Large Cap 100 Fund Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | N-Q | Lincoln Variable Insurance Products Trust - Core Fund | Multi-Cap Core | 39,986 | New Holding | 39,986 | 100 % | $2,394,362 | $2,343,579 | $-50,782 | -2.12 % | $-50,782 | | | | | | News Article | History of Lincoln Variable Insurance Products Trust - Core Fund Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | N-Q | Lincoln Variable Insurance Products Trust - Growth Fund | Multi-Cap Growth | 6,910 | New Holding | 6,910 | 100 % | $413,771 | $404,995 | $-8,776 | -2.12 % | $-8,776 | | | | | | News Article | History of Lincoln Variable Insurance Products Trust - Growth Fund Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Montrusco Bolton Investments Inc | No Data | 78,465 | No Compare | | | $4,698,484 | $4,598,834 | $-99,651 | -2.12 % | | | | | | | News Article | History of Montrusco Bolton Investments Inc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Penobscot Investment Management Company Inc | Institution | 28,890 | Added More | 4,800 | 19.92 % | $1,729,933 | $1,693,243 | $-36,690 | -2.12 % | $-6,096 | | | | | | News Article | History of Penobscot Investment Management Company Inc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Rathbone Brothers Plc | Institution | 24,870 | No Change | 0 | 0 % | $1,489,216 | $1,457,631 | $-31,585 | -2.12 % | $0 | | | | | | News Article | History of Rathbone Brothers Plc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Traxis Partners Llc | Institution | 102,000 | No Change | 0 | 0 % | $6,107,760 | $5,978,220 | $-129,540 | -2.12 % | $0 | | | | | | News Article | History of Traxis Partners Llc Ownership Of Caterpillar Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Wells Fargo And Co | Institution | 3,233,079 | Sold Some | -702,587 | -17.85 % | $193,596,771 | $189,490,760 | $-4,106,010 | -2.12 % | $892,285 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Acadia Trust Na | Institution | 9,573 | Sold Some | -14 | -0.14 % | $578,209 | $561,074 | $-17,136 | -2.96 % | $25 | | | | | | News Article | History of Acadia Trust Na Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Aletheia Research And Management Inc | Institution | 2,734,826 | Added More | 442,866 | 19.32 % | $165,183,490 | $160,288,152 | $-4,895,339 | -2.96 % | $-792,730 | | | | | | News Article | History of Aletheia Research And Management Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Alger Fred Management Inc | Institution | 70,850 | Sold Some | -38,190 | -35.02 % | $4,279,340 | $4,152,519 | $-126,822 | -2.96 % | $68,360 | | | | | | News Article | History of Alger Fred Management Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Alyeska Investment Group Lp | No Data | 205,000 | New Holding | 205,000 | 100 % | $12,382,000 | $12,015,050 | $-366,950 | -2.96 % | $-366,950 | | | | | | News Article | History of Alyeska Investment Group Lp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | American International Group Inc | Institution | 577,330 | Added More | 6,856 | 1.20 % | $34,870,732 | $33,837,311 | $-1,033,421 | -2.96 % | $-12,272 | | | | | | News Article | History of American International Group Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ancora Advisors Llc | Institution | 15,042 | Added More | 167 | 1.12 % | $908,537 | $881,612 | $-26,925 | -2.96 % | $-299 | | | | | | News Article | History of Ancora Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Aqr Capital Management Llc | Institution | 38,055 | Added More | 30,155 | 381.70 % | $2,298,522 | $2,230,404 | $-68,118 | -2.96 % | $-53,977 | | | | | | News Article | History of Aqr Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Argyll Research Llc | Institution | 829,000 | New Holding | 829,000 | 100 % | $50,071,600 | $48,587,690 | $-1,483,910 | -2.96 % | $-1,483,910 | | | | | | News Article | History of Argyll Research Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ashfield Capital Partners Llc | Institution | 12,900 | No Change | 0 | 0 % | $779,160 | $756,069 | $-23,091 | -2.96 % | $0 | | | | | | News Article | History of Ashfield Capital Partners Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Atherton Lane Advisers Llc | Institution | 396,464 | New Holding | 396,464 | 100 % | $23,946,426 | $23,236,755 | $-709,671 | -2.96 % | $-709,671 | | | | | | News Article | History of Atherton Lane Advisers Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Balyasny Asset Management Llc | Institution | 30,900 | Sold Some | -19,100 | -38.20 % | $1,866,360 | $1,811,049 | $-55,311 | -2.96 % | $34,189 | | | | | | News Article | History of Balyasny Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Bam Management Llc | No Data | 38,533 | New Holding | 38,533 | 100 % | $2,327,393 | $2,258,419 | $-68,974 | -2.96 % | $-68,974 | | | | | | News Article | History of Bam Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Bancorpsouth Inc | Institution | 1,301 | New Holding | 1,301 | 100 % | $78,580 | $76,252 | $-2,329 | -2.96 % | $-2,329 | | | | | | News Article | History of Bancorpsouth Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Baring Asset Management Inc | Institution | 240,260 | Added More | 55,431 | 29.99 % | $14,511,704 | $14,081,639 | $-430,065 | -2.96 % | $-99,221 | | | | | | News Article | History of Baring Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Benchmark Capital Advisors | Institution | 11,250 | Sold Some | -1,100 | -8.90 % | $679,500 | $659,363 | $-20,138 | -2.96 % | $1,969 | | | | | | News Article | History of Benchmark Capital Advisors Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Bluestein R H And Co | Institution | 648,995 | Added More | 219,238 | 51.01 % | $39,199,298 | $38,037,597 | $-1,161,701 | -2.96 % | $-392,436 | | | | | | News Article | History of Bluestein R H And Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Boston Financial Mangement Inc | Institution | 88,329 | Sold Some | -1,804 | -2.00 % | $5,335,072 | $5,176,963 | $-158,109 | -2.96 % | $3,229 | | | | | | News Article | History of Boston Financial Mangement Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Brown Advisory Securities Llc | Institution | 6,807 | Sold Some | -377 | -5.24 % | $411,143 | $398,958 | $-12,185 | -2.96 % | $675 | | | | | | News Article | History of Brown Advisory Securities Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Brown Advisory Securities Llc | Institution | 6,807 | Sold Some | -677 | -9.04 % | $411,143 | $398,958 | $-12,185 | -2.96 % | $1,212 | | | | | | News Article | History of Brown Advisory Securities Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Brown Brothers Harriman And Co | Institution | 69,830 | Added More | 381 | 0.54 % | $4,217,732 | $4,092,736 | $-124,996 | -2.96 % | $-682 | | | | | | News Article | History of Brown Brothers Harriman And Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Brown Investment Advisory And Trust Co | Institution | 28,295 | Sold Some | -1,975 | -6.52 % | $1,709,018 | $1,658,370 | $-50,648 | -2.96 % | $3,535 | | | | | | News Article | History of Brown Investment Advisory And Trust Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Busey Trust Co | Institution | 116,668 | Sold Some | -4,013 | -3.32 % | $7,046,747 | $6,837,911 | $-208,836 | -2.96 % | $7,183 | | | | | | News Article | History of Busey Trust Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Canandaigua National Bank And Trust Co | Institution | 35,988 | New Holding | 35,988 | 100 % | $2,173,675 | $2,109,257 | $-64,419 | -2.96 % | $-64,419 | | | | | | News Article | History of Canandaigua National Bank And Trust Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Capital World Investors | Institution | 6,060,000 | Added More | 1,060,000 | 21.20 % | $366,024,000 | $355,176,600 | $-10,847,400 | -2.96 % | $-1,897,400 | | | | | | News Article | History of Capital World Investors Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Capstone Investment Advisors Llc | Institution | | Sold All | -93,087 | -100 % | | | | -2.96 % | $166,626 | | | | | | News Article | History of Capstone Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Carret Asset Management | Institution | 25,995 | Sold Some | -630 | -2.36 % | $1,570,098 | $1,523,567 | $-46,531 | -2.96 % | $1,128 | | | | | | News Article | History of Carret Asset Management Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Choate Investment Advisors | Institution | 5,400 | New Holding | 5,400 | 100 % | $326,160 | $316,494 | $-9,666 | -2.96 % | $-9,666 | | | | | | News Article | History of Choate Investment Advisors Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Citadel L P | Institution | 70,370 | Added More | 25,576 | 57.09 % | $4,250,348 | $4,124,386 | $-125,962 | -2.96 % | $-45,781 | | | | | | News Article | History of Citadel L P Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Cna Financial Corp | Institution | 1,999 | Added More | 749 | 59.92 % | $120,740 | $117,161 | $-3,578 | -2.96 % | $-1,341 | | | | | | News Article | History of Cna Financial Corp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Colony Group Llc | Institution | 213,319 | New Holding | 213,319 | 100 % | $12,884,468 | $12,502,627 | $-381,841 | -2.96 % | $-381,841 | | | | | | News Article | History of Colony Group Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Concert Wealth Management Inc | No Data | 1,871 | Sold Some | -1 | -0.05 % | $113,008 | $109,659 | $-3,349 | -2.96 % | $2 | | | | | | News Article | History of Concert Wealth Management Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Connor Clark And Lunn Investment Management Ltd | Institution | 12,225 | New Holding | 12,225 | 100 % | $738,390 | $716,507 | $-21,883 | -2.96 % | $-21,883 | | | | | | News Article | History of Connor Clark And Lunn Investment Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Covington Capital Management | Institution | 7,119 | Added More | 481 | 7.24 % | $429,988 | $417,245 | $-12,743 | -2.96 % | $-861 | | | | | | News Article | History of Covington Capital Management Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Croft Leominster Inc | Institution | 83,095 | Added More | 444 | 0.53 % | $5,018,938 | $4,870,198 | $-148,740 | -2.96 % | $-795 | | | | | | News Article | History of Croft Leominster Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Dominick Dominick Llc | No Data | 14,816 | Sold Some | -42,389 | -74.10 % | $894,886 | $868,366 | $-26,521 | -2.96 % | $75,876 | | | | | | News Article | History of Dominick Dominick Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Dsc Advisors L P | Institution | | Sold All | -15,000 | -100 % | | | | -2.96 % | $26,850 | | | | | | News Article | History of Dsc Advisors L P Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Eaton Vance Management | Institution | 879,049 | Sold Some | -36,441 | -3.98 % | $53,094,560 | $51,521,062 | $-1,573,498 | -2.96 % | $65,229 | | | | | | News Article | History of Eaton Vance Management Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Eaton Vance Management | Institution | 879,049 | Sold Some | -33,486 | -3.66 % | $53,094,560 | $51,521,062 | $-1,573,498 | -2.96 % | $59,940 | | | | | | News Article | History of Eaton Vance Management Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Employees Retirement System Of Texas | Institution | 782,000 | Added More | 345,000 | 78.94 % | $47,232,800 | $45,833,020 | $-1,399,780 | -2.96 % | $-617,550 | | | | | | News Article | History of Employees Retirement System Of Texas Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Epoch Investment Partners Inc | Institution | | Sold All | -13,700 | -100 % | | | | -2.96 % | $24,523 | | | | | | News Article | History of Epoch Investment Partners Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ewt Llc | Institution | 17,904 | New Holding | 17,904 | 100 % | $1,081,402 | $1,049,353 | $-32,048 | -2.96 % | $-32,048 | | | | | | News Article | History of Ewt Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fidelity International Ltd | Institution | 817,780 | Added More | 246,070 | 43.04 % | $49,393,912 | $47,930,086 | $-1,463,826 | -2.96 % | $-440,465 | | | | | | News Article | History of Fidelity International Ltd Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fifth Third Asset Management Inc | Institution | 205,147 | Sold Some | -226,026 | -52.42 % | $12,390,879 | $12,023,666 | $-367,213 | -2.96 % | $404,587 | | | | | | News Article | History of Fifth Third Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fifth Third Bancorp | Institution | 74,144 | Sold Some | -45,259 | -37.90 % | $4,478,298 | $4,345,580 | $-132,718 | -2.96 % | $81,014 | | | | | | News Article | History of Fifth Third Bancorp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Financial Counselors Inc | Institution | 5,700 | Sold Some | -200 | -3.38 % | $344,280 | $334,077 | $-10,203 | -2.96 % | $358 | | | | | | News Article | History of Financial Counselors Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | First National Bank Of Chester County | Institution | 500 | Added More | 300 | 150.00 % | $30,200 | $29,305 | $-895 | -2.96 % | $-537 | | | | | | News Article | History of First National Bank Of Chester County Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | First Washington Corp | Institution | 100 | No Change | 0 | 0 % | $6,040 | $5,861 | $-179 | -2.96 % | $0 | | | | | | News Article | History of First Washington Corp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fmr Corp | Institution | 9,139,904 | Added More | 1,170,333 | 14.68 % | $552,050,202 | $535,689,773 | $-16,360,428 | -2.96 % | $-2,094,896 | | | | | | News Article | History of Fmr Corp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fort Hill Capital Management Llc | No Data | 5,697 | New Holding | 5,697 | 100 % | $344,099 | $333,901 | $-10,198 | -2.96 % | $-10,198 | | | | | | News Article | History of Fort Hill Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Forward Uniplan Advisors Inc | Institution | 4,700 | New Holding | 4,700 | 100 % | $283,880 | $275,467 | $-8,413 | -2.96 % | $-8,413 | | | | | | News Article | History of Forward Uniplan Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Fuller And Thaler Asset Management Inc | Institution | | Sold All | -100 | -100 % | | | | -2.96 % | $179 | | | | | | News Article | History of Fuller And Thaler Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Furgueson Capital Management | Institution | | Sold All | -7 | -100 % | | | | -2.96 % | $13 | | | | | | News Article | History of Furgueson Capital Management Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Galleon Management L P | Institution | 5,000 | New Holding | 5,000 | 100 % | $302,000 | $293,050 | $-8,950 | -2.96 % | $-8,950 | | | | | | News Article | History of Galleon Management L P Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Gam Usa Inc | Institution | 5,000 | No Change | 0 | 0 % | $302,000 | $293,050 | $-8,950 | -2.96 % | $0 | | | | | | News Article | History of Gam Usa Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Gates Bill And Melinda Foundation | Institution | 7,590,400 | Added More | 400 | 0.00 % | $458,460,160 | $444,873,344 | $-13,586,816 | -2.96 % | $-716 | | | | | | News Article | History of Gates Bill And Melinda Foundation Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | General Re New England Asset Management Inc | Institution | 8,300 | Sold Some | -300 | -3.48 % | $501,320 | $486,463 | $-14,857 | -2.96 % | $537 | | | | | | News Article | History of General Re New England Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Hale And Dorr Capital Management Llc | Institution | 18,255 | Sold Some | -2,500 | -12.04 % | $1,102,602 | $1,069,926 | $-32,676 | -2.96 % | $4,475 | | | | | | News Article | History of Hale And Dorr Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ing Groep Nv | Institution | 552,469 | Added More | 204,892 | 58.94 % | $33,369,128 | $32,380,208 | $-988,920 | -2.96 % | $-366,757 | | | | | | News Article | History of Ing Groep Nv Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ing Investment Management Europe B V | Institution | 94,075 | Added More | 38,985 | 70.76 % | $5,682,130 | $5,513,736 | $-168,394 | -2.96 % | $-69,783 | | | | | | News Article | History of Ing Investment Management Europe B V Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Jesaga Advisers Llc | Institution | 724,700 | Added More | 588,400 | 431.69 % | $43,771,880 | $42,474,667 | $-1,297,213 | -2.96 % | $-1,053,236 | | | | | | News Article | History of Jesaga Advisers Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Keating Investment Counselors Inc | Institution | 10,000 | No Change | 0 | 0 % | $604,000 | $586,100 | $-17,900 | -2.96 % | $0 | | | | | | News Article | History of Keating Investment Counselors Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Laffer Investments | Institution | 230 | New Holding | 230 | 100 % | $13,892 | $13,480 | $-412 | -2.96 % | $-412 | | | | | | News Article | History of Laffer Investments Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Leuthold Weeden Capital Management Llc | Institution | 137,677 | Sold Some | -13,474 | -8.91 % | $8,315,691 | $8,069,249 | $-246,442 | -2.96 % | $24,118 | | | | | | News Article | History of Leuthold Weeden Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Mackenzie Financial Corp | Institution | 252,600 | Added More | 85,200 | 50.89 % | $15,257,040 | $14,804,886 | $-452,154 | -2.96 % | $-152,508 | | | | | | News Article | History of Mackenzie Financial Corp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Madison Square Investors Llc | No Data | 165,671 | Sold Some | -111,128 | -40.14 % | $10,006,528 | $9,709,977 | $-296,551 | -2.96 % | $198,919 | | | | | | News Article | History of Madison Square Investors Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Martin And Co Inc | Institution | 38,635 | Sold Some | -1,490 | -3.71 % | $2,333,554 | $2,264,397 | $-69,157 | -2.96 % | $2,667 | | | | | | News Article | History of Martin And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Millennium Management Llc | Institution | 261,135 | Added More | 46,291 | 21.54 % | $15,772,554 | $15,305,122 | $-467,432 | -2.96 % | $-82,861 | | | | | | News Article | History of Millennium Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Morgan Stanley | Institution | 4,903,639 | Added More | 1,139,614 | 30.27 % | $296,179,796 | $287,402,282 | $-8,777,514 | -2.96 % | $-2,039,909 | | | | | | News Article | History of Morgan Stanley Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Narwhal Capital Management | No Data | 31,200 | No Change | 0 | 0 % | $1,884,480 | $1,828,632 | $-55,848 | -2.96 % | $0 | | | | | | News Article | History of Narwhal Capital Management Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | New York State Teachers Retirement System | Institution | 1,922,276 | New Holding | 1,922,276 | 100 % | $116,105,470 | $112,664,596 | $-3,440,874 | -2.96 % | $-3,440,874 | | | | | | News Article | History of New York State Teachers Retirement System Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Newalliance Bank | Institution | 5,275 | Sold Some | -1,100 | -17.25 % | $318,610 | $309,168 | $-9,442 | -2.96 % | $1,969 | | | | | | News Article | History of Newalliance Bank Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Northern Trust Co Of Connecticut | Institution | | Sold All | -372,809 | -100 % | | | | -2.96 % | $667,328 | | | | | | News Article | History of Northern Trust Co Of Connecticut Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Northern Trust Corp | Institution | 8,393,093 | Added More | 103,366 | 1.24 % | $506,942,817 | $491,919,181 | $-15,023,636 | -2.96 % | $-185,025 | | | | | | News Article | History of Northern Trust Corp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Nwq Investment Management Co Llc | Institution | 107,700 | No Change | 0 | 0 % | $6,505,080 | $6,312,297 | $-192,783 | -2.96 % | $0 | | | | | | News Article | History of Nwq Investment Management Co Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Oppenheimer Funds Inc | Institution | 14,200 | Sold Some | -1,313,311 | -98.93 % | $857,680 | $832,262 | $-25,418 | -2.96 % | $2,350,827 | | | | | | News Article | History of Oppenheimer Funds Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Oz Management Llc | Institution | 70,000 | Sold Some | -900 | -1.26 % | $4,228,000 | $4,102,700 | $-125,300 | -2.96 % | $1,611 | | | | | | News Article | History of Oz Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Philadelphia Investment Management Co | Institution | 6,880 | New Holding | 6,880 | 100 % | $415,552 | $403,237 | $-12,315 | -2.96 % | $-12,315 | | | | | | News Article | History of Philadelphia Investment Management Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Philadelphia Trust Co | Institution | 6,050 | New Holding | 6,050 | 100 % | $365,420 | $354,591 | $-10,830 | -2.96 % | $-10,830 | | | | | | News Article | History of Philadelphia Trust Co Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Porter Orlin Llc | Institution | 134,500 | No Change | 0 | 0 % | $8,123,800 | $7,883,045 | $-240,755 | -2.96 % | $0 | | | | | | News Article | History of Porter Orlin Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Provident Advisors Llc | Institution | | Sold All | -8,500 | -100 % | | | | -2.96 % | $15,215 | | | | | | News Article | History of Provident Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Rafferty Asset Management Llc | Institution | 9,790 | Sold Some | -3,650 | -27.15 % | $591,316 | $573,792 | $-17,524 | -2.96 % | $6,534 | | | | | | News Article | History of Rafferty Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Rbc Dominion Securities Inc | Institution | 82,971 | Added More | 17,503 | 26.73 % | $5,011,448 | $4,862,930 | $-148,518 | -2.96 % | $-31,330 | | | | | | News Article | History of Rbc Dominion Securities Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Rockefeller Financial Services Inc | Institution | 80 | Sold Some | -1,649 | -95.37 % | $4,832 | $4,689 | $-143 | -2.96 % | $2,952 | | | | | | News Article | History of Rockefeller Financial Services Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Royal Bank Of Canada Investment Management Uk Ltd | Institution | 6,530 | New Holding | 6,530 | 100 % | $394,412 | $382,723 | $-11,689 | -2.96 % | $-11,689 | | | | | | News Article | History of Royal Bank Of Canada Investment Management Uk Ltd Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ruane Cunniff And Goldfarb Inc | Institution | 137,839 | Sold Some | -2,346,899 | -94.45 % | $8,325,476 | $8,078,744 | $-246,732 | -2.96 % | $4,200,949 | | | | | | News Article | History of Ruane Cunniff And Goldfarb Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Sac Capital Advisors Lp | No Data | 5,736 | Sold Some | -71,429 | -92.56 % | $346,454 | $336,187 | $-10,267 | -2.96 % | $127,858 | | | | | | News Article | History of Sac Capital Advisors Lp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Scout Investment Advisors Inc | Institution | 40,368 | New Holding | 40,368 | 100 % | $2,438,227 | $2,365,968 | $-72,259 | -2.96 % | $-72,259 | | | | | | News Article | History of Scout Investment Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Shaw D E And Co Inc | Institution | 209,197 | Sold Some | -1,038,610 | -83.23 % | $12,635,499 | $12,261,036 | $-374,463 | -2.96 % | $1,859,112 | | | | | | News Article | History of Shaw D E And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Silvercrest Asset Management Group Llc | Institution | 7,250 | Sold Some | -200 | -2.68 % | $437,900 | $424,923 | $-12,978 | -2.96 % | $358 | | | | | | News Article | History of Silvercrest Asset Management Group Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | State Treasurer State Of Michigan | Institution | 347,404 | Added More | 4,500 | 1.31 % | $20,983,202 | $20,361,348 | $-621,853 | -2.96 % | $-8,055 | | | | | | News Article | History of State Treasurer State Of Michigan Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Stewardship Partners Investment Counsel Inc | Institution | 40,741 | Sold Some | -530 | -1.28 % | $2,460,756 | $2,387,830 | $-72,926 | -2.96 % | $949 | | | | | | News Article | History of Stewardship Partners Investment Counsel Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Taurus Asset Management Llc | Institution | 4,413 | New Holding | 4,413 | 100 % | $266,545 | $258,646 | $-7,899 | -2.96 % | $-7,899 | | | | | | News Article | History of Taurus Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Thales Fund Management Llc | Institution | | Sold All | -18,923 | -100 % | | | | -2.96 % | $33,872 | | | | | | News Article | History of Thales Fund Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Transamerica Investment Management Llc | Institution | 2,363,973 | Added More | 41,935 | 1.80 % | $142,783,969 | $138,552,458 | $-4,231,512 | -2.96 % | $-75,064 | | | | | | News Article | History of Transamerica Investment Management Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Trustco Bank Corp N Y | Institution | 4,544 | New Holding | 4,544 | 100 % | $274,458 | $266,324 | $-8,134 | -2.96 % | $-8,134 | | | | | | News Article | History of Trustco Bank Corp N Y Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Trustmark National Bank Trust Department | Institution | 3,710 | New Holding | 3,710 | 100 % | $224,084 | $217,443 | $-6,641 | -2.96 % | $-6,641 | | | | | | News Article | History of Trustmark National Bank Trust Department Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ubs Global Asset Management Americas Inc | Institution | 823,403 | Sold Some | -27,485 | -3.23 % | $49,733,541 | $48,259,650 | $-1,473,891 | -2.96 % | $49,198 | | | | | | News Article | History of Ubs Global Asset Management Americas Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Umb Bank N A | Institution | 143,943 | Sold Some | -15,006 | -9.44 % | $8,694,157 | $8,436,499 | $-257,658 | -2.96 % | $26,861 | | | | | | News Article | History of Umb Bank N A Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Us Bancorp De | Institution | 327,083 | Sold Some | -12,146 | -3.58 % | $19,755,813 | $19,170,335 | $-585,479 | -2.96 % | $21,741 | | | | | | News Article | History of Us Bancorp De Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wealthtrust Advisors Inc | Institution | 4,584 | Sold Some | -8,130 | -63.94 % | $276,874 | $268,668 | $-8,205 | -2.96 % | $14,553 | | | | | | News Article | History of Wealthtrust Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Weiss Multi-Strategy Advisers Llc | Institution | | Sold All | -20,300 | -100 % | | | | -2.96 % | $36,337 | | | | | | News Article | History of Weiss Multi-Strategy Advisers Llc Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wellington Management Co Llp | Institution | 10,085,709 | Sold Some | -980,662 | -8.86 % | $609,176,824 | $591,123,404 | $-18,053,419 | -2.96 % | $1,755,385 | | | | | | News Article | History of Wellington Management Co Llp Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wentworth Hauser And Violich | Institution | 29,191 | Sold Some | -2,569 | -8.08 % | $1,763,136 | $1,710,885 | $-52,252 | -2.96 % | $4,599 | | | | | | News Article | History of Wentworth Hauser And Violich Ownership Of Caterpillar Inc |
| 2009-11-16 | 2009-06-30 | 13F-HR/A | Brown Brothers Harriman And Co | Institution | 69,449 | Sold Some | -22,535 | -24.49 % | $4,194,720 | $4,070,406 | $-124,314 | -2.96 % | $40,338 | | | | | | News Article | History of Brown Brothers Harriman And Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-11-13 | 13F-HR | Wilmington Trust Co | Institution | 118,525 | Sold Some | -1,743 | -1.44 % | $6,966,900 | $6,946,750 | $-20,149 | -0.28 % | $296 | | | | | | News Article | History of Wilmington Trust Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-11-13 | 13F-HR | Wilmington Trust Fsb | Institution | 66,546 | Added More | 2,440 | 3.80 % | $3,911,574 | $3,900,261 | $-11,313 | -0.28 % | $-415 | | | | | | News Article | History of Wilmington Trust Fsb Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-10-31 | 13F-HR | Peak6 Investments L P | Institution | 268,560 | Sold Some | -70,393 | -20.76 % | $15,785,957 | $15,740,302 | $-45,655 | -0.28 % | $11,967 | | | | | | News Article | History of Peak6 Investments L P Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Advisors Capital Management Llc | Institution | 26,650 | Sold Some | -633 | -2.32 % | $1,566,487 | $1,561,957 | $-4,531 | -0.28 % | $108 | | | | | | News Article | History of Advisors Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Advisory Research Inc | Institution | 234,176 | Sold Some | -8,356 | -3.44 % | $13,764,865 | $13,725,055 | $-39,810 | -0.28 % | $1,421 | | | | | | News Article | History of Advisory Research Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Alleghany Corp | Institution | 15,000 | No Change | 0 | 0 % | $881,700 | $879,150 | $-2,550 | -0.28 % | $0 | | | | | | News Article | History of Alleghany Corp Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Allied Irish Banks Plc | Institution | 6,212 | No Change | 0 | 0 % | $365,141 | $364,085 | $-1,056 | -0.28 % | $0 | | | | | | News Article | History of Allied Irish Banks Plc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Alpine Woods Capital Investors Llc | Institution | 4,900 | New Holding | 4,900 | 100 % | $288,022 | $287,189 | $-833 | -0.28 % | $-833 | | | | | | News Article | History of Alpine Woods Capital Investors Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Alter Asset Management Inc | Institution | | Sold All | -14,750 | -100 % | | | | -0.28 % | $2,508 | | | | | | News Article | History of Alter Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ameriprise Financial Inc | Institution | 5,194,904 | Sold Some | -244,944 | -4.50 % | $305,356,457 | $304,473,323 | $-883,134 | -0.28 % | $41,640 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Appleton Partners Inc | Institution | 89,607 | Sold Some | -1,006 | -1.11 % | $5,267,099 | $5,251,866 | $-15,233 | -0.28 % | $171 | | | | | | News Article | History of Appleton Partners Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Aston Asset Management Llc | Institution | 16,000 | Added More | 15,471 | 2924.57 % | $940,480 | $937,760 | $-2,720 | -0.28 % | $-2,630 | | | | | | News Article | History of Aston Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Aston Asset Management Llc | Institution | 16,000 | No Change | 0 | 0 % | $940,480 | $937,760 | $-2,720 | -0.28 % | $0 | | | | | | News Article | History of Aston Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Axa | Institution | 13,231,741 | Added More | 6,098,982 | 85.50 % | $777,761,736 | $775,512,340 | $-2,249,396 | -0.28 % | $-1,036,827 | | | | | | News Article | History of Axa Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barclays Plc | Institution | 422,425 | Sold Some | -76,568 | -15.34 % | $24,830,142 | $24,758,329 | $-71,812 | -0.28 % | $13,017 | | | | | | News Article | History of Barclays Plc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barrett Associates Inc Ny | Institution | 9,000 | Sold Some | -3,000 | -25.00 % | $529,020 | $527,490 | $-1,530 | -0.28 % | $510 | | | | | | News Article | History of Barrett Associates Inc Ny Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Bartlett And Co | Institution | 3,164 | Added More | 52 | 1.67 % | $185,980 | $185,442 | $-538 | -0.28 % | $-9 | | | | | | News Article | History of Bartlett And Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Batterymarch Financial Management Inc | Institution | 18,195 | Sold Some | -42 | -0.23 % | $1,069,502 | $1,066,409 | $-3,093 | -0.28 % | $7 | | | | | | News Article | History of Batterymarch Financial Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Blenheim Capital Management L L C | Institution | | Sold All | -250,000 | -100 % | | | | -0.28 % | $42,500 | | | | | | News Article | History of Blenheim Capital Management L L C Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Bnp Paribas Arbitrage Sa | Institution | 476,964 | Sold Some | -181,978 | -27.61 % | $28,035,944 | $27,954,860 | $-81,084 | -0.28 % | $30,936 | | | | | | News Article | History of Bnp Paribas Arbitrage Sa Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Bnp Paribas Asset Management S A S | Institution | 39,756 | Added More | 4,129 | 11.58 % | $2,336,858 | $2,330,099 | $-6,759 | -0.28 % | $-702 | | | | | | News Article | History of Bnp Paribas Asset Management S A S Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Boulder Investment Advisers Llc | Institution | 80,000 | No Change | 0 | 0 % | $4,702,400 | $4,688,800 | $-13,600 | -0.28 % | $0 | | | | | | News Article | History of Boulder Investment Advisers Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Bowen Hanes And Co Inc | Institution | 533,130 | Sold Some | -11,145 | -2.04 % | $31,337,381 | $31,246,749 | $-90,632 | -0.28 % | $1,895 | | | | | | News Article | History of Bowen Hanes And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Bragg Financial Advisors Inc | Institution | 19,419 | Sold Some | -947 | -4.64 % | $1,141,449 | $1,138,148 | $-3,301 | -0.28 % | $161 | | | | | | News Article | History of Bragg Financial Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Brandywine Asset Management Llc | Institution | 917,020 | Sold Some | -154,277 | -14.40 % | $53,902,436 | $53,746,542 | $-155,893 | -0.28 % | $26,227 | | | | | | News Article | History of Brandywine Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Callahan Leighton Co Llc | Institution | 34,203 | Sold Some | -1,266 | -3.56 % | $2,010,452 | $2,004,638 | $-5,815 | -0.28 % | $215 | | | | | | News Article | History of Callahan Leighton Co Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Capital One Financial Corp | Institution | 4,521 | Sold Some | -658 | -12.70 % | $265,744 | $264,976 | $-769 | -0.28 % | $112 | | | | | | News Article | History of Capital One Financial Corp Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Caxton Associates Llc | Institution | 74,793 | Added More | 58,585 | 361.45 % | $4,396,333 | $4,383,618 | $-12,715 | -0.28 % | $-9,959 | | | | | | News Article | History of Caxton Associates Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Clearbridge Advisors Llc | Institution | 123,884 | Added More | 4,795 | 4.02 % | $7,281,902 | $7,260,841 | $-21,060 | -0.28 % | $-815 | | | | | | News Article | History of Clearbridge Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Cohen And Steers Inc | Institution | 219,597 | New Holding | 219,597 | 100 % | $12,907,912 | $12,870,580 | $-37,331 | -0.28 % | $-37,331 | | | | | | News Article | History of Cohen And Steers Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Colorado State Bank Trust | Institution | 5,983 | Sold Some | -120 | -1.96 % | $351,681 | $350,664 | $-1,017 | -0.28 % | $20 | | | | | | News Article | History of Colorado State Bank Trust Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Credit Agricole S A | Institution | 280,074 | Added More | 106,095 | 60.98 % | $16,462,750 | $16,415,137 | $-47,613 | -0.28 % | $-18,036 | | | | | | News Article | History of Credit Agricole S A Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Dekabank Deutsche Girozentrale | No Data | 95,590 | No Change | 0 | 0 % | $5,618,780 | $5,602,530 | $-16,250 | -0.28 % | $0 | | | | | | News Article | History of Dekabank Deutsche Girozentrale Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Delaware Management Business Trust | Institution | 16,700 | Sold Some | -500 | -2.90 % | $981,626 | $978,787 | $-2,839 | -0.28 % | $85 | | | | | | News Article | History of Delaware Management Business Trust Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Denver Investment Advisors Llc | Institution | 108,038 | Sold Some | -34,213 | -24.05 % | $6,350,474 | $6,332,107 | $-18,366 | -0.28 % | $5,816 | | | | | | News Article | History of Denver Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Diamondback Capital Management Llc | Institution | | Sold All | -8,596 | -100 % | | | | -0.28 % | $1,461 | | | | | | News Article | History of Diamondback Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Dixon Hubard And Feinour Inc | Institution | 6,967 | No Change | 0 | 0 % | $409,520 | $408,336 | $-1,184 | -0.28 % | $0 | | | | | | News Article | History of Dixon Hubard And Feinour Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Dnb Asset Management Us Inc | Institution | 132,712 | Sold Some | -144,958 | -52.20 % | $7,800,811 | $7,778,250 | $-22,561 | -0.28 % | $24,643 | | | | | | News Article | History of Dnb Asset Management Us Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Dynamic Capital Management Llc | Institution | 15,400 | Added More | 5,200 | 50.98 % | $905,212 | $902,594 | $-2,618 | -0.28 % | $-884 | | | | | | News Article | History of Dynamic Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Edgar Lomax Co | Institution | 232,645 | Sold Some | -2,550 | -1.08 % | $13,674,873 | $13,635,323 | $-39,550 | -0.28 % | $434 | | | | | | News Article | History of Edgar Lomax Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Equitrust Investment Management Services Inc | Institution | 45,728 | No Change | 0 | 0 % | $2,687,892 | $2,680,118 | $-7,774 | -0.28 % | $0 | | | | | | News Article | History of Equitrust Investment Management Services Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | F And C Asset Management Plc | Institution | 185,981 | Sold Some | -9,792 | -5.00 % | $10,931,963 | $10,900,346 | $-31,617 | -0.28 % | $1,665 | | | | | | News Article | History of F And C Asset Management Plc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Faim Investments Llc | Institution | 19,675 | Added More | 225 | 1.15 % | $1,156,497 | $1,153,152 | $-3,345 | -0.28 % | $-38 | | | | | | News Article | History of Faim Investments Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Fairfield Research Corp | Institution | 566 | No Change | 0 | 0 % | $33,269 | $33,173 | $-96 | -0.28 % | $0 | | | | | | News Article | History of Fairfield Research Corp Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Fiduciary Asset Management Co | Institution | 370,100 | No Change | 0 | 0 % | $21,754,478 | $21,691,561 | $-62,917 | -0.28 % | $0 | | | | | | News Article | History of Fiduciary Asset Management Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | First Mercantile Trust Co | Institution | 32,841 | Sold Some | -15,529 | -32.10 % | $1,930,394 | $1,924,811 | $-5,583 | -0.28 % | $2,640 | | | | | | News Article | History of First Mercantile Trust Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | First National Bank Of Omaha | Institution | 2,775 | Sold Some | -950 | -25.50 % | $163,115 | $162,643 | $-472 | -0.28 % | $162 | | | | | | News Article | History of First National Bank Of Omaha Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Fulton Breakefield Broenniman Llc | Institution | 34,419 | New Holding | 34,419 | 100 % | $2,023,149 | $2,017,298 | $-5,851 | -0.28 % | $-5,851 | | | | | | News Article | History of Fulton Breakefield Broenniman Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Gartmore Mutual Fund Capital Trust | Institution | 23,430 | Sold Some | -371,041 | -94.06 % | $1,377,215 | $1,373,232 | $-3,983 | -0.28 % | $63,077 | | | | | | News Article | History of Gartmore Mutual Fund Capital Trust Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Geneva Capital Management Ltd | Institution | 18,879 | Sold Some | -690 | -3.52 % | $1,109,708 | $1,106,498 | $-3,209 | -0.28 % | $117 | | | | | | News Article | History of Geneva Capital Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Geode Capital Management Llc | Institution | 3,603,078 | Added More | 231,095 | 6.85 % | $211,788,925 | $211,176,402 | $-612,523 | -0.28 % | $-39,286 | | | | | | News Article | History of Geode Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Getco Holding Co | No Data | 4,792 | Sold Some | -9,453 | -66.36 % | $281,674 | $280,859 | $-815 | -0.28 % | $1,607 | | | | | | News Article | History of Getco Holding Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Glg Partners Inc | Institution | | Sold All | -70,803 | -100 % | | | | -0.28 % | $12,037 | | | | | | News Article | History of Glg Partners Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Glynn Ja And Co | Institution | | Sold All | -13,165 | -100 % | | | | -0.28 % | $2,238 | | | | | | News Article | History of Glynn Ja And Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Goldman Sachs Group Inc | Institution | 2,206,959 | Added More | 220,251 | 11.08 % | $129,725,050 | $129,349,867 | $-375,183 | -0.28 % | $-37,443 | | | | | | News Article | History of Goldman Sachs Group Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Golub Group Inc | Institution | 90,891 | Added More | 1,286 | 1.43 % | $5,342,573 | $5,327,122 | $-15,451 | -0.28 % | $-219 | | | | | | News Article | History of Golub Group Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Grantham Mayo Van Otterloo And Co Llc | Institution | 17,300 | Added More | 8,600 | 98.85 % | $1,016,894 | $1,013,953 | $-2,941 | -0.28 % | $-1,462 | | | | | | News Article | History of Grantham Mayo Van Otterloo And Co Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Grove Creek Asset Management | Institution | 689,536 | Sold Some | -26,333 | -3.67 % | $40,530,926 | $40,413,705 | $-117,221 | -0.28 % | $4,477 | | | | | | News Article | History of Grove Creek Asset Management Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Guggenheim Capital Llc | Institution | 23,723 | Added More | 8,517 | 56.01 % | $1,394,438 | $1,390,405 | $-4,033 | -0.28 % | $-1,448 | | | | | | News Article | History of Guggenheim Capital Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Henderson Group Plc | Institution | 180,075 | Added More | 10,549 | 6.22 % | $10,584,809 | $10,554,196 | $-30,613 | -0.28 % | $-1,793 | | | | | | News Article | History of Henderson Group Plc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Hightower Advisors Llc | No Data | 6,289 | Sold Some | -3,400 | -35.09 % | $369,667 | $368,598 | $-1,069 | -0.28 % | $578 | | | | | | News Article | History of Hightower Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Impala Asset Management Llc | Institution | 322,000 | New Holding | 322,000 | 100 % | $18,927,160 | $18,872,420 | $-54,740 | -0.28 % | $-54,740 | | | | | | News Article | History of Impala Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Investec Asset Management Ltd | Institution | 450,978 | New Holding | 450,978 | 100 % | $26,508,487 | $26,431,821 | $-76,666 | -0.28 % | $-76,666 | | | | | | News Article | History of Investec Asset Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ionic Capital Management Llc | Institution | | Sold All | -37,000 | -100 % | | | | -0.28 % | $6,290 | | | | | | News Article | History of Ionic Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Janney Montgomery Scott Llc | Institution | 58,933 | No Change | 0 | 0 % | $3,464,082 | $3,454,063 | $-10,019 | -0.28 % | $0 | | | | | | News Article | History of Janney Montgomery Scott Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Jefferies Group Inc | Institution | 28,904 | Sold Some | -14,213 | -32.96 % | $1,698,977 | $1,694,063 | $-4,914 | -0.28 % | $2,416 | | | | | | News Article | History of Jefferies Group Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Keybank National Association | Institution | 750 | No Change | 0 | 0 % | $44,085 | $43,958 | $-128 | -0.28 % | $0 | | | | | | News Article | History of Keybank National Association Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | King Investment Advisors Inc | Institution | 8,285 | Sold Some | -17,175 | -67.45 % | $486,992 | $485,584 | $-1,408 | -0.28 % | $2,920 | | | | | | News Article | History of King Investment Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Labranche And Co Inc | Institution | 239,382 | Added More | 124,255 | 107.92 % | $14,070,874 | $14,030,179 | $-40,695 | -0.28 % | $-21,123 | | | | | | News Article | History of Labranche And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Legg Mason Capital Management Inc | Institution | 164,300 | Sold Some | -1,901,175 | -92.04 % | $9,657,554 | $9,629,623 | $-27,931 | -0.28 % | $323,200 | | | | | | News Article | History of Legg Mason Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Legg Mason Investment Counsel Llc | Institution | 250,652 | Sold Some | -3,032 | -1.19 % | $14,733,325 | $14,690,714 | $-42,611 | -0.28 % | $515 | | | | | | News Article | History of Legg Mason Investment Counsel Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Legg Mason Trust Company National Association | Institution | 32,716 | Sold Some | -1,680 | -4.88 % | $1,923,046 | $1,917,485 | $-5,562 | -0.28 % | $286 | | | | | | News Article | History of Legg Mason Trust Company National Association Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Logan Capital Management Inc | Institution | 54,585 | No Change | 0 | 0 % | $3,208,506 | $3,199,227 | $-9,279 | -0.28 % | $0 | | | | | | News Article | History of Logan Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Lord Abbett And Co Llc | Institution | 4,548,797 | Sold Some | -270,161 | -5.60 % | $267,378,288 | $266,604,992 | $-773,295 | -0.28 % | $45,927 | | | | | | News Article | History of Lord Abbett And Co Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Los Angeles Capital Management And Equity Research Inc | Institution | 86,297 | New Holding | 86,297 | 100 % | $5,072,538 | $5,057,867 | $-14,670 | -0.28 % | $-14,670 | | | | | | News Article | History of Los Angeles Capital Management And Equity Research Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Lucas Capital Management | Institution | 16,510 | Sold Some | -1,550 | -8.58 % | $970,458 | $967,651 | $-2,807 | -0.28 % | $264 | | | | | | News Article | History of Lucas Capital Management Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Mairs And Power Inc | Institution | 4,475 | New Holding | 4,475 | 100 % | $263,041 | $262,280 | $-761 | -0.28 % | $-761 | | | | | | News Article | History of Mairs And Power Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Managed Account Advisors Llc | Institution | 574,766 | Added More | 146,780 | 34.29 % | $33,784,745 | $33,687,035 | $-97,710 | -0.28 % | $-24,953 | | | | | | News Article | History of Managed Account Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Marshall Ilsley Corp | Institution | 457,382 | Sold Some | -9,922 | -2.12 % | $26,884,914 | $26,807,159 | $-77,755 | -0.28 % | $1,687 | | | | | | News Article | History of Marshall Ilsley Corp Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Mason Street Advisors Llc | Institution | 147,176 | Added More | 700 | 0.47 % | $8,651,005 | $8,625,985 | $-25,020 | -0.28 % | $-119 | | | | | | News Article | History of Mason Street Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Mayo Investment Advisers Llc | Institution | 109,500 | Sold Some | -91,800 | -45.60 % | $6,436,410 | $6,417,795 | $-18,615 | -0.28 % | $15,606 | | | | | | News Article | History of Mayo Investment Advisers Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | N-Q | Met Investors Series Trust - Lord Abbett Growth And Income Portfolio | Multi-Cap Growth | 380,072 | Sold Some | -22,119 | -5.49 % | $22,340,632 | $22,276,020 | $-64,612 | -0.28 % | $3,760 | | | | | | News Article | History of Met Investors Series Trust - Lord Abbett Growth And Income Portfolio Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | N-Q | Met Investors Series Trust - Pioneer Fund Portfolio | Specialty & Misc | 130,181 | Added More | 956 | 0.73 % | $7,652,039 | $7,629,908 | $-22,131 | -0.28 % | $-163 | | | | | | News Article | History of Met Investors Series Trust - Pioneer Fund Portfolio Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Milbank Winthrop And Co Inc | Institution | 51,846 | Added More | 15,550 | 42.84 % | $3,047,508 | $3,038,694 | $-8,814 | -0.28 % | $-2,644 | | | | | | News Article | History of Milbank Winthrop And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Milbank Winthrop And Co Inc | Institution | 51,846 | Added More | 1,850 | 3.70 % | $3,047,508 | $3,038,694 | $-8,814 | -0.28 % | $-315 | | | | | | News Article | History of Milbank Winthrop And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Natixis | Institution | 112,772 | Sold Some | -64,610 | -36.42 % | $6,628,738 | $6,609,567 | $-19,171 | -0.28 % | $10,984 | | | | | | News Article | History of Natixis Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Natixis | Institution | 188,945 | Added More | 11,563 | 6.51 % | $11,106,187 | $11,074,066 | $-32,121 | -0.28 % | $-1,966 | | | | | | News Article | History of Natixis Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Neuberger Berman Group Llc | No Data | 5,103,477 | Added More | 4,752,233 | 1352.97 % | $299,982,378 | $299,114,787 | $-867,591 | -0.28 % | $-807,880 | | | | | | News Article | History of Neuberger Berman Group Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | New York State Common Retirement Fund | Institution | 2,123,172 | Added More | 43,270 | 2.08 % | $124,800,050 | $124,439,111 | $-360,939 | -0.28 % | $-7,356 | | | | | | News Article | History of New York State Common Retirement Fund Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Next Century Growth Investors Llc | Institution | 30,291 | Sold Some | -151 | -0.49 % | $1,780,505 | $1,775,356 | $-5,149 | -0.28 % | $26 | | | | | | News Article | History of Next Century Growth Investors Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Noesis Capital Mangement Corp | Institution | 59,380 | Sold Some | -3,260 | -5.20 % | $3,490,356 | $3,480,262 | $-10,095 | -0.28 % | $554 | | | | | | News Article | History of Noesis Capital Mangement Corp Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Nuveen Hydepark Group Llc | Institution | 347,350 | Sold Some | -17,610 | -4.82 % | $20,417,233 | $20,358,184 | $-59,050 | -0.28 % | $2,994 | | | | | | News Article | History of Nuveen Hydepark Group Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Old Second National Bank Of Aurora | Institution | 39,444 | Sold Some | -10,863 | -21.59 % | $2,318,518 | $2,311,813 | $-6,705 | -0.28 % | $1,847 | | | | | | News Article | History of Old Second National Bank Of Aurora Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Oppenheimer And Co Inc | Institution | 56,631 | Sold Some | -52,406 | -48.06 % | $3,328,770 | $3,319,143 | $-9,627 | -0.28 % | $8,909 | | | | | | News Article | History of Oppenheimer And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ota Financial Group L P | Institution | 5,000 | New Holding | 5,000 | 100 % | $293,900 | $293,050 | $-850 | -0.28 % | $-850 | | | | | | News Article | History of Ota Financial Group L P Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Pacific Global Investment Management Co | Institution | 10,258 | Added More | 3 | 0.02 % | $602,965 | $601,221 | $-1,744 | -0.28 % | $-1 | | | | | | News Article | History of Pacific Global Investment Management Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Panagora Asset Management Inc | Institution | 58,029 | Sold Some | -975 | -1.65 % | $3,410,945 | $3,401,080 | $-9,865 | -0.28 % | $166 | | | | | | News Article | History of Panagora Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Paradigm Asset Management Co Llc | Institution | 47,050 | New Holding | 47,050 | 100 % | $2,765,599 | $2,757,601 | $-7,999 | -0.28 % | $-7,999 | | | | | | News Article | History of Paradigm Asset Management Co Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Peoples United Financial Inc | Institution | 138,751 | Sold Some | -33,933 | -19.65 % | $8,155,784 | $8,132,196 | $-23,588 | -0.28 % | $5,769 | | | | | | News Article | History of Peoples United Financial Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Perennial Investment Partners Ltd | Institution | 25,711 | No Change | 0 | 0 % | $1,511,293 | $1,506,922 | $-4,371 | -0.28 % | $0 | | | | | | News Article | History of Perennial Investment Partners Ltd Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Pinnacle Holdings Llc | Institution | 11,626 | No Change | 0 | 0 % | $683,376 | $681,400 | $-1,976 | -0.28 % | $0 | | | | | | News Article | History of Pinnacle Holdings Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Plante Moran Financial Advisors Ltd Partnership | Institution | | Sold All | -2,380 | -100 % | | | | -0.28 % | $405 | | | | | | News Article | History of Plante Moran Financial Advisors Ltd Partnership Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Price T Rowe Associates Inc | Institution | 891,936 | Added More | 1,770 | 0.19 % | $52,427,998 | $52,276,369 | $-151,629 | -0.28 % | $-301 | | | | | | News Article | History of Price T Rowe Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Public Sector Pension Investment Board | Institution | 45,883 | New Holding | 45,883 | 100 % | $2,697,003 | $2,689,203 | $-7,800 | -0.28 % | $-7,800 | | | | | | News Article | History of Public Sector Pension Investment Board Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Qci Asset Management Inc | Institution | 150,484 | New Holding | 150,484 | 100 % | $8,845,450 | $8,819,867 | $-25,582 | -0.28 % | $-25,582 | | | | | | News Article | History of Qci Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Raymond James And Associates | Institution | 68,948 | Sold Some | -285 | -0.41 % | $4,052,763 | $4,041,042 | $-11,721 | -0.28 % | $48 | | | | | | News Article | History of Raymond James And Associates Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Capital Markets Arbitrage S A | Institution | 186,333 | Sold Some | -619,131 | -76.86 % | $10,952,654 | $10,920,977 | $-31,677 | -0.28 % | $105,252 | | | | | | News Article | History of Rbc Capital Markets Arbitrage S A Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Dain Rauscher Inc | Institution | 229,048 | Sold Some | -6,756 | -2.86 % | $13,463,441 | $13,424,503 | $-38,938 | -0.28 % | $1,149 | | | | | | News Article | History of Rbc Dain Rauscher Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Private Counsel Inc | Institution | 87,610 | Sold Some | -3,561 | -3.90 % | $5,149,716 | $5,134,822 | $-14,894 | -0.28 % | $605 | | | | | | News Article | History of Rbc Private Counsel Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Private Counsel Usa Inc | Institution | 2,379 | Sold Some | -4,106 | -63.31 % | $139,838 | $139,433 | $-404 | -0.28 % | $698 | | | | | | News Article | History of Rbc Private Counsel Usa Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Renaissance Technologies Corp | Institution | 349,200 | New Holding | 349,200 | 100 % | $20,525,976 | $20,466,612 | $-59,364 | -0.28 % | $-59,364 | | | | | | News Article | History of Renaissance Technologies Corp Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Research Affiliates Llc | Institution | 83,000 | Sold Some | -61,446 | -42.53 % | $4,878,740 | $4,864,630 | $-14,110 | -0.28 % | $10,446 | | | | | | News Article | History of Research Affiliates Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rit Capital Partners Plc | Institution | | Sold All | -60,620 | -100 % | | | | -0.28 % | $10,305 | | | | | | News Article | History of Rit Capital Partners Plc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rosenblum Silverman Sutton S F Inc Ca | Institution | 26,050 | Added More | 24,966 | 2303.13 % | $1,531,219 | $1,526,791 | $-4,429 | -0.28 % | $-4,244 | | | | | | News Article | History of Rosenblum Silverman Sutton S F Inc Ca Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Sarofim Fayez | Institution | 2,416,118 | Sold Some | -46,836 | -1.90 % | $142,019,416 | $141,608,676 | $-410,740 | -0.28 % | $7,962 | | | | | | News Article | History of Sarofim Fayez Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Saturna Capital Corp | Institution | 660 | No Change | 0 | 0 % | $38,795 | $38,683 | $-112 | -0.28 % | $0 | | | | | | News Article | History of Saturna Capital Corp Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Scopia Management Inc | Institution | | Sold All | -105,243 | -100 % | | | | -0.28 % | $17,891 | | | | | | News Article | History of Scopia Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Segall Bryant And Hamill | Institution | 69,569 | Sold Some | -525 | -0.74 % | $4,089,266 | $4,077,439 | $-11,827 | -0.28 % | $89 | | | | | | News Article | History of Segall Bryant And Hamill Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Sei Trust Co | Institution | 2,000 | Sold Some | -33,700 | -94.39 % | $117,560 | $117,220 | $-340 | -0.28 % | $5,729 | | | | | | News Article | History of Sei Trust Co Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Sentinel Asset Management Inc | Institution | 22,000 | Sold Some | -3,000 | -12.00 % | $1,293,160 | $1,289,420 | $-3,740 | -0.28 % | $510 | | | | | | News Article | History of Sentinel Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Sg Americas Securities Llc | Institution | 920,515 | Added More | 432,729 | 88.71 % | $54,107,872 | $53,951,384 | $-156,488 | -0.28 % | $-73,564 | | | | | | News Article | History of Sg Americas Securities Llc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Swiss Re Asset Management Americas Inc | Institution | 5,982 | New Holding | 5,982 | 100 % | $351,622 | $350,605 | $-1,017 | -0.28 % | $-1,017 | | | | | | News Article | History of Swiss Re Asset Management Americas Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Symons Capital Management Inc | Institution | 117,478 | Added More | 2,335 | 2.02 % | $6,905,357 | $6,885,386 | $-19,971 | -0.28 % | $-397 | | | | | | News Article | History of Symons Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Thompson Siegel And Walmsley Inc | Institution | 12,539 | Sold Some | -575 | -4.38 % | $737,042 | $734,911 | $-2,132 | -0.28 % | $98 | | | | | | News Article | History of Thompson Siegel And Walmsley Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Toronto Dominion Bank | Institution | 25,150 | Sold Some | -2,890 | -10.30 % | $1,478,317 | $1,474,042 | $-4,276 | -0.28 % | $491 | | | | | | News Article | History of Toronto Dominion Bank Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Tudor Investment Corp Et Al | Institution | 22,200 | New Holding | 22,200 | 100 % | $1,304,916 | $1,301,142 | $-3,774 | -0.28 % | $-3,774 | | | | | | News Article | History of Tudor Investment Corp Et Al Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | United Capital Financial Advisersinc | No Data | 6,354 | New Holding | 6,354 | 100 % | $373,488 | $372,408 | $-1,080 | -0.28 % | $-1,080 | | | | | | News Article | History of United Capital Financial Advisersinc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | N-Q | Valley Forge Fund Inc - Valley Forge Fund Inc | Mixed-Asset Target Allocation Growth | 5,000 | No Change | 0 | 0 % | $293,900 | $293,050 | $-850 | -0.28 % | $0 | | | | | | News Article | History of Valley Forge Fund Inc - Valley Forge Fund Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Vanguard Group Inc | Institution | 21,309,461 | Added More | 910,463 | 4.46 % | $1,252,570,118 | $1,248,947,509 | $-3,622,608 | -0.28 % | $-154,779 | | | | | | News Article | History of Vanguard Group Inc Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Vaughan David Investments Inc Il | Institution | 231,843 | Added More | 7,724 | 3.44 % | $13,627,732 | $13,588,318 | $-39,413 | -0.28 % | $-1,313 | | | | | | News Article | History of Vaughan David Investments Inc Il Ownership Of Caterpillar Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Williams Jones And Associates Inc | Institution | 44,725 | Sold Some | -60,320 | -57.42 % | $2,628,936 | $2,621,332 | $-7,603 | -0.28 % | $10,254 | | | | | | News Article | History of Williams Jones And Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-10-30 | 13F-HR | Td Asset Management Inc | Institution | 326,606 | Sold Some | -88,982 | -21.41 % | $19,129,313 | $19,142,378 | $13,064 | 0.06 % | $-3,559 | | | | | | News Article | History of Td Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-10-30 | 13F-HR | Td Asset Management Usa Inc | Institution | 11,746 | Sold Some | -1,722 | -12.78 % | $687,963 | $688,433 | $470 | 0.06 % | $-69 | | | | | | News Article | History of Td Asset Management Usa Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Allianz Global Investors Of America L P | Institution | 1,017,676 | Added More | 601,610 | 144.59 % | $59,605,283 | $59,645,990 | $40,707 | 0.06 % | $24,064 | | | | | | News Article | History of Allianz Global Investors Of America L P Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | American Assets Investment Management Llc | Institution | | Sold All | -30,000 | -100 % | | | | 0.06 % | $-1,200 | | | | | | News Article | History of American Assets Investment Management Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Aviva Plc | Institution | 330,883 | Added More | 4,180 | 1.27 % | $19,379,817 | $19,393,053 | $13,235 | 0.06 % | $167 | | | | | | News Article | History of Aviva Plc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Baldwin Brothers Inc | Institution | 4,680 | New Holding | 4,680 | 100 % | $274,108 | $274,295 | $187 | 0.06 % | $187 | | | | | | News Article | History of Baldwin Brothers Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Bank Of America Corp | Institution | 3,152,545 | Added More | 314,580 | 11.08 % | $184,644,561 | $184,770,662 | $126,102 | 0.06 % | $12,583 | | | | | | News Article | History of Bank Of America Corp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Bank Of Nova Scotia | Institution | 7,500 | Sold Some | -8,000 | -51.61 % | $439,275 | $439,575 | $300 | 0.06 % | $-320 | | | | | | News Article | History of Bank Of Nova Scotia Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Barclays Global Investors Uk Holdings Ltd | Institution | 23,625,003 | Added More | 590,214 | 2.56 % | $1,383,716,426 | $1,384,661,426 | $945,000 | 0.06 % | $23,609 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Boston Trust And Investment Management Co | Institution | 5,357 | Added More | 162 | 3.11 % | $313,759 | $313,974 | $214 | 0.06 % | $6 | | | | | | News Article | History of Boston Trust And Investment Management Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Brandes Investment Partners Lp | Institution | | Sold All | -225,400 | -100 % | | | | 0.06 % | $-9,016 | | | | | | News Article | History of Brandes Investment Partners Lp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Calamos Advisors Llc | Institution | 35,000 | No Change | 0 | 0 % | $2,049,950 | $2,051,350 | $1,400 | 0.06 % | $0 | | | | | | News Article | History of Calamos Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Canada Pension Plan Investment Board | Institution | 69,663 | Added More | 41,680 | 148.94 % | $4,080,162 | $4,082,948 | $2,787 | 0.06 % | $1,667 | | | | | | News Article | History of Canada Pension Plan Investment Board Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Capital Investment Counsel Inc | No Data | 15,610 | Sold Some | -1,450 | -8.49 % | $914,278 | $914,902 | $624 | 0.06 % | $-58 | | | | | | News Article | History of Capital Investment Counsel Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Chesley Taft And Associates Llc | Institution | 9,456 | New Holding | 9,456 | 100 % | $553,838 | $554,216 | $378 | 0.06 % | $378 | | | | | | News Article | History of Chesley Taft And Associates Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Claymore Advisors Llc | Institution | 49,741 | Added More | 34,443 | 225.14 % | $2,913,330 | $2,915,320 | $1,990 | 0.06 % | $1,378 | | | | | | News Article | History of Claymore Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Comerica Securities Inc | Institution | 4,716 | New Holding | 4,716 | 100 % | $276,216 | $276,405 | $189 | 0.06 % | $189 | | | | | | News Article | History of Comerica Securities Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Community Bank System Inc | Institution | 2,250 | No Change | 0 | 0 % | $131,783 | $131,873 | $90 | 0.06 % | $0 | | | | | | News Article | History of Community Bank System Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Cooke And Bieler Lp | Institution | 24,800 | No Change | 0 | 0 % | $1,452,536 | $1,453,528 | $992 | 0.06 % | $0 | | | | | | News Article | History of Cooke And Bieler Lp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Corestates Capital Advisors Llc | No Data | 1,542 | Added More | 1,203 | 354.86 % | $90,315 | $90,377 | $62 | 0.06 % | $48 | | | | | | News Article | History of Corestates Capital Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Cornerstone Advisors Inc | Institution | 6,800 | Sold Some | -2,500 | -26.88 % | $398,276 | $398,548 | $272 | 0.06 % | $-100 | | | | | | News Article | History of Cornerstone Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Credit Suisse | Institution | 621,381 | New Holding | 621,381 | 100 % | $36,394,285 | $36,419,140 | $24,855 | 0.06 % | $24,855 | | | | | | News Article | History of Credit Suisse Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Dal Investment Co | Institution | 24,000 | No Change | 0 | 0 % | $1,405,680 | $1,406,640 | $960 | 0.06 % | $0 | | | | | | News Article | History of Dal Investment Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Davidson D A And Co | Institution | 74,087 | Sold Some | -107,067 | -59.10 % | $4,339,276 | $4,342,239 | $2,963 | 0.06 % | $-4,283 | | | | | | News Article | History of Davidson D A And Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Davidson Investment Advisors | Institution | 74,087 | Sold Some | -14,516 | -16.38 % | $4,339,276 | $4,342,239 | $2,963 | 0.06 % | $-581 | | | | | | News Article | History of Davidson Investment Advisors Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Dodge And Cox | Institution | 7,776,933 | Sold Some | -36,700 | -0.46 % | $455,494,966 | $455,806,043 | $311,077 | 0.06 % | $-1,468 | | | | | | News Article | History of Dodge And Cox Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Dorsey And Whitney Trust Co Llc | Institution | 4,200 | New Holding | 4,200 | 100 % | $245,994 | $246,162 | $168 | 0.06 % | $168 | | | | | | News Article | History of Dorsey And Whitney Trust Co Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Dreman Value Management L L C | Institution | | Sold All | -373,011 | -100 % | | | | 0.06 % | $-14,920 | | | | | | News Article | History of Dreman Value Management L L C Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Everett Harris And Co | Institution | 4,433 | No Change | 0 | 0 % | $259,641 | $259,818 | $177 | 0.06 % | $0 | | | | | | News Article | History of Everett Harris And Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Fairview Capital Investment Management | Institution | 10,833 | No Change | 0 | 0 % | $634,489 | $634,922 | $433 | 0.06 % | $0 | | | | | | News Article | History of Fairview Capital Investment Management Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Fiduciary Trust Co | Institution | 94,961 | Added More | 160 | 0.16 % | $5,561,866 | $5,565,664 | $3,798 | 0.06 % | $6 | | | | | | News Article | History of Fiduciary Trust Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | First Commonwealth Financial Corp | Institution | 13,058 | Sold Some | -30 | -0.22 % | $764,807 | $765,329 | $522 | 0.06 % | $-1 | | | | | | News Article | History of First Commonwealth Financial Corp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | First Dallas Securities Inc | Institution | 26,450 | Sold Some | -403 | -1.50 % | $1,549,177 | $1,550,235 | $1,058 | 0.06 % | $-16 | | | | | | News Article | History of First Dallas Securities Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | First Quadrant L P | Institution | 13,200 | Sold Some | -24,700 | -65.17 % | $773,124 | $773,652 | $528 | 0.06 % | $-988 | | | | | | News Article | History of First Quadrant L P Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | First Trust Advisors Lp | Institution | 63,290 | Sold Some | -267,941 | -80.89 % | $3,706,895 | $3,709,427 | $2,532 | 0.06 % | $-10,718 | | | | | | News Article | History of First Trust Advisors Lp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Folger Nolan Fleming Douglas Inc | Institution | 75,295 | Added More | 110 | 0.14 % | $4,410,028 | $4,413,040 | $3,012 | 0.06 % | $4 | | | | | | News Article | History of Folger Nolan Fleming Douglas Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Fortis Investments Management Usa Inc | Institution | 27,109 | Sold Some | -79,873 | -74.66 % | $1,587,774 | $1,588,858 | $1,084 | 0.06 % | $-3,195 | | | | | | News Article | History of Fortis Investments Management Usa Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Foyston Gordon And Payne Inc | Institution | | Sold All | -254,554 | -100 % | | | | 0.06 % | $-10,182 | | | | | | News Article | History of Foyston Gordon And Payne Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Franklin Resources Inc | Institution | 830,809 | Sold Some | -22,594 | -2.64 % | $48,660,483 | $48,693,715 | $33,232 | 0.06 % | $-904 | | | | | | News Article | History of Franklin Resources Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Freeman Investment Management Co Llc | No Data | 6,115 | Sold Some | -6,073 | -49.82 % | $358,156 | $358,400 | $245 | 0.06 % | $-243 | | | | | | News Article | History of Freeman Investment Management Co Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Gamco Investors Inc Et Al | Institution | 166,000 | No Change | 0 | 0 % | $9,722,620 | $9,729,260 | $6,640 | 0.06 % | $0 | | | | | | News Article | History of Gamco Investors Inc Et Al Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Great Oaks Capital Management Llc | Institution | | Sold All | -12,200 | -100 % | | | | 0.06 % | $-488 | | | | | | News Article | History of Great Oaks Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Great West Life Assurance Co | Institution | 36,800 | Added More | 13,300 | 56.59 % | $2,155,376 | $2,156,848 | $1,472 | 0.06 % | $532 | | | | | | News Article | History of Great West Life Assurance Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Gsa Capital Partners Llp | Institution | | Sold All | -9,722 | -100 % | | | | 0.06 % | $-389 | | | | | | News Article | History of Gsa Capital Partners Llp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Halsey Associates Inc | Institution | 4,700 | New Holding | 4,700 | 100 % | $275,279 | $275,467 | $188 | 0.06 % | $188 | | | | | | News Article | History of Halsey Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Hartline Investment Corp | Institution | 23,770 | Sold Some | -1,000 | -4.03 % | $1,392,209 | $1,393,160 | $951 | 0.06 % | $-40 | | | | | | News Article | History of Hartline Investment Corp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Hbos Plc | No Data | 527,294 | Sold Some | -27,228 | -4.91 % | $30,883,610 | $30,904,701 | $21,092 | 0.06 % | $-1,089 | | | | | | News Article | History of Hbos Plc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Hgk Asset Management Inc | Institution | 538,494 | Sold Some | -5,280 | -0.97 % | $31,539,594 | $31,561,133 | $21,540 | 0.06 % | $-211 | | | | | | News Article | History of Hgk Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Hodges Capital Management Inc | Institution | 82,666 | Added More | 1,937 | 2.39 % | $4,841,748 | $4,845,054 | $3,307 | 0.06 % | $77 | | | | | | News Article | History of Hodges Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Icon Advisers Inc | Institution | 36,400 | Added More | 11,400 | 45.60 % | $2,131,948 | $2,133,404 | $1,456 | 0.06 % | $456 | | | | | | News Article | History of Icon Advisers Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Ing Investment Management Co | Institution | 524,559 | Added More | 217,513 | 70.84 % | $30,723,421 | $30,744,403 | $20,982 | 0.06 % | $8,701 | | | | | | News Article | History of Ing Investment Management Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Ing Investment Management Co | Institution | 529,586 | Added More | 222,540 | 72.47 % | $31,017,852 | $31,039,035 | $21,183 | 0.06 % | $8,902 | | | | | | News Article | History of Ing Investment Management Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Intel Corp | Institution | | Sold All | -22,480 | -100 % | | | | 0.06 % | $-899 | | | | | | News Article | History of Intel Corp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Irish Life Investment Managers | Institution | 178,611 | Added More | 3,470 | 1.98 % | $10,461,246 | $10,468,391 | $7,144 | 0.06 % | $139 | | | | | | News Article | History of Irish Life Investment Managers Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Johnson Asset Management Inc | Institution | 1,050 | New Holding | 1,050 | 100 % | $61,499 | $61,541 | $42 | 0.06 % | $42 | | | | | | News Article | History of Johnson Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Kbc Group Nv | Institution | 253,584 | Added More | 22,427 | 9.70 % | $14,852,415 | $14,862,558 | $10,143 | 0.06 % | $897 | | | | | | News Article | History of Kbc Group Nv Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Kcm Investment Advisors | Institution | 33,992 | Added More | 437 | 1.30 % | $1,990,911 | $1,992,271 | $1,360 | 0.06 % | $17 | | | | | | News Article | History of Kcm Investment Advisors Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Korea Investment Corp | No Data | 187,600 | Added More | 23,750 | 14.49 % | $10,987,732 | $10,995,236 | $7,504 | 0.06 % | $950 | | | | | | News Article | History of Korea Investment Corp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Kovitz Investment Group Llc | Institution | 12,957 | Added More | 50 | 0.38 % | $758,891 | $759,410 | $518 | 0.06 % | $2 | | | | | | News Article | History of Kovitz Investment Group Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Legal And General Group Plc | Institution | 2,755,736 | Added More | 351,100 | 14.60 % | $161,403,458 | $161,513,687 | $110,229 | 0.06 % | $14,044 | | | | | | News Article | History of Legal And General Group Plc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Levin Capital Strategies L P | Institution | 17,040 | Sold Some | -1,495 | -8.06 % | $998,033 | $998,714 | $682 | 0.06 % | $-60 | | | | | | News Article | History of Levin Capital Strategies L P Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Liberty Mutual Insurance Co | Institution | 9,738 | Sold Some | -1,205 | -11.01 % | $570,355 | $570,744 | $390 | 0.06 % | $-48 | | | | | | News Article | History of Liberty Mutual Insurance Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Lloyds Tsb Bank Plc | Institution | 79,881 | Added More | 2,537 | 3.28 % | $4,678,630 | $4,681,825 | $3,195 | 0.06 % | $101 | | | | | | News Article | History of Lloyds Tsb Bank Plc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Lsv Asset Management | Institution | 1,724,400 | Sold Some | -2,116,132 | -55.09 % | $100,998,108 | $101,067,084 | $68,976 | 0.06 % | $-84,645 | | | | | | News Article | History of Lsv Asset Management Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | N-Q | M Fund Inc - Turner Core Growth Fund | Multi-Cap Core | 17,580 | New Holding | 17,580 | 100 % | $1,029,661 | $1,030,364 | $703 | 0.06 % | $703 | | | | | | News Article | History of M Fund Inc - Turner Core Growth Fund Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Ma Greenwood And Associates Inc | Institution | 46,497 | Added More | 1,630 | 3.63 % | $2,723,329 | $2,725,189 | $1,860 | 0.06 % | $65 | | | | | | News Article | History of Ma Greenwood And Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Manufactureres Life Insurance Co | Institution | 124,294 | Added More | 12,667 | 11.34 % | $7,279,900 | $7,284,871 | $4,972 | 0.06 % | $507 | | | | | | News Article | History of Manufactureres Life Insurance Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Marco Investment Management Llc | Institution | 4,814 | Added More | 1,404 | 41.17 % | $281,956 | $282,149 | $193 | 0.06 % | $56 | | | | | | News Article | History of Marco Investment Management Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Marvin And Palmer Associates Inc | Institution | 273,000 | New Holding | 273,000 | 100 % | $15,989,610 | $16,000,530 | $10,920 | 0.06 % | $10,920 | | | | | | News Article | History of Marvin And Palmer Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mastrapasqua Asset Management Inc | Institution | 4,285 | New Holding | 4,285 | 100 % | $250,972 | $251,144 | $171 | 0.06 % | $171 | | | | | | News Article | History of Mastrapasqua Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Merrill Lynch And Co Inc | Institution | 4,023,364 | Added More | 689,537 | 20.68 % | $235,648,429 | $235,809,364 | $160,935 | 0.06 % | $27,581 | | | | | | News Article | History of Merrill Lynch And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mfc Global Investment Management Usa Ltd | Institution | 538,242 | Added More | 11,315 | 2.14 % | $31,524,834 | $31,546,364 | $21,530 | 0.06 % | $453 | | | | | | News Article | History of Mfc Global Investment Management Usa Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mycio Wealth Partners Llc | Institution | 205 | Added More | 73 | 55.30 % | $12,007 | $12,015 | $8 | 0.06 % | $3 | | | | | | News Article | History of Mycio Wealth Partners Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Nichols And Pratt Advisers Llp | Institution | 214,900 | Added More | 1,800 | 0.84 % | $12,586,693 | $12,595,289 | $8,596 | 0.06 % | $72 | | | | | | News Article | History of Nichols And Pratt Advisers Llp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Nomura Asset Management Co Ltd | Institution | 156,274 | Sold Some | -20,049 | -11.37 % | $9,152,968 | $9,159,219 | $6,251 | 0.06 % | $-802 | | | | | | News Article | History of Nomura Asset Management Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Nomura Asset Management Singapore Ltd | No Data | | Sold All | -6,400 | -100 % | | | | 0.06 % | $-256 | | | | | | News Article | History of Nomura Asset Management Singapore Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Norris Perne And French Llp | Institution | 39,919 | Sold Some | -725 | -1.78 % | $2,338,056 | $2,339,653 | $1,597 | 0.06 % | $-29 | | | | | | News Article | History of Norris Perne And French Llp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | North Star Investment Management Corp | Institution | 1,900 | Added More | 75 | 4.10 % | $111,283 | $111,359 | $76 | 0.06 % | $3 | | | | | | News Article | History of North Star Investment Management Corp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Northern Oak Capital Management Inc | Institution | 15,725 | Sold Some | -3,060 | -16.28 % | $921,013 | $921,642 | $629 | 0.06 % | $-122 | | | | | | News Article | History of Northern Oak Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Oshaughnessy Asset Management Llc | Institution | 392,929 | New Holding | 392,929 | 100 % | $23,013,852 | $23,029,569 | $15,717 | 0.06 % | $15,717 | | | | | | News Article | History of Oshaughnessy Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Ii Inc | Institution | 90,855 | Sold Some | -9,676 | -9.62 % | $5,321,377 | $5,325,012 | $3,634 | 0.06 % | $-387 | | | | | | News Article | History of Padco Advisors Ii Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Inc | Institution | 38,806 | Added More | 22,631 | 139.91 % | $2,272,867 | $2,274,420 | $1,552 | 0.06 % | $905 | | | | | | News Article | History of Padco Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Paydenfunds | Institution | 70,200 | Added More | 63,200 | 902.85 % | $4,111,614 | $4,114,422 | $2,808 | 0.06 % | $2,528 | | | | | | News Article | History of Paydenfunds Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Phoenix Investment Counsel Inc | Institution | 228,100 | Sold Some | -264,580 | -53.70 % | $13,359,817 | $13,368,941 | $9,124 | 0.06 % | $-10,583 | | | | | | News Article | History of Phoenix Investment Counsel Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Placemark Investments Inc | Institution | 63,417 | Added More | 20,075 | 46.31 % | $3,714,334 | $3,716,870 | $2,537 | 0.06 % | $803 | | | | | | News Article | History of Placemark Investments Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Poplar Forest Capital Llc | No Data | 550 | No Change | 0 | 0 % | $32,214 | $32,236 | $22 | 0.06 % | $0 | | | | | | News Article | History of Poplar Forest Capital Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Primecap Management Co | Institution | 11,357,906 | Added More | 3,500 | 0.03 % | $665,232,554 | $665,686,871 | $454,316 | 0.06 % | $140 | | | | | | News Article | History of Primecap Management Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Principal Financial Group Inc | Institution | 847,866 | Added More | 465,085 | 121.50 % | $49,659,512 | $49,693,426 | $33,915 | 0.06 % | $18,603 | | | | | | News Article | History of Principal Financial Group Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Qa3 Financial Llc | No Data | 8,776 | Sold Some | -2,340 | -21.05 % | $514,010 | $514,361 | $351 | 0.06 % | $-94 | | | | | | News Article | History of Qa3 Financial Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Raymond James Trust Co | Institution | 18,819 | Added More | 982 | 5.50 % | $1,102,229 | $1,102,982 | $753 | 0.06 % | $39 | | | | | | News Article | History of Raymond James Trust Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Rbc Cees Trustee Ltd | Institution | 943 | No Change | 0 | 0 % | $55,232 | $55,269 | $38 | 0.06 % | $0 | | | | | | News Article | History of Rbc Cees Trustee Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Rbc Trust Co International Ltd | No Data | 6,400 | Added More | 4,450 | 228.20 % | $374,848 | $375,104 | $256 | 0.06 % | $178 | | | | | | News Article | History of Rbc Trust Co International Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Rbc Trustee Ltd | Institution | 4,095 | New Holding | 4,095 | 100 % | $239,844 | $240,008 | $164 | 0.06 % | $164 | | | | | | News Article | History of Rbc Trustee Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Renaissance Group Llc | Institution | 36,499 | Sold Some | -2,061 | -5.34 % | $2,137,746 | $2,139,206 | $1,460 | 0.06 % | $-82 | | | | | | News Article | History of Renaissance Group Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Richard C Young Co Ltd | Institution | 36,147 | Added More | 2,633 | 7.85 % | $2,117,130 | $2,118,576 | $1,446 | 0.06 % | $105 | | | | | | News Article | History of Richard C Young Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Royal Bank Of Scotland Group Plc | Institution | 691,332 | Added More | 573,247 | 485.45 % | $40,491,315 | $40,518,969 | $27,653 | 0.06 % | $22,930 | | | | | | News Article | History of Royal Bank Of Scotland Group Plc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Russell Frank Co | Institution | 3,447,054 | Added More | 1,278,534 | 58.95 % | $201,893,953 | $202,031,835 | $137,882 | 0.06 % | $51,141 | | | | | | News Article | History of Russell Frank Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | San Francisco Sentry Investment Group | Institution | 46,899 | Sold Some | -5,500 | -10.49 % | $2,746,874 | $2,748,750 | $1,876 | 0.06 % | $-220 | | | | | | News Article | History of San Francisco Sentry Investment Group Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Savannah Bancorp Inc | Institution | 49,599 | Added More | 585 | 1.19 % | $2,905,013 | $2,906,997 | $1,984 | 0.06 % | $23 | | | | | | News Article | History of Savannah Bancorp Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Schmeidler A R And Co Inc | Institution | 16,827 | Sold Some | -620 | -3.55 % | $985,557 | $986,230 | $673 | 0.06 % | $-25 | | | | | | News Article | History of Schmeidler A R And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Schwartz Investment Counsel Inc | Institution | 90,300 | Added More | 1,000 | 1.11 % | $5,288,871 | $5,292,483 | $3,612 | 0.06 % | $40 | | | | | | News Article | History of Schwartz Investment Counsel Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Scotia Capital Inc | Institution | 78,435 | Sold Some | -423 | -0.53 % | $4,593,938 | $4,597,075 | $3,137 | 0.06 % | $-17 | | | | | | News Article | History of Scotia Capital Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Signaturefd Llc | No Data | 4,800 | Sold Some | -510 | -9.60 % | $281,136 | $281,328 | $192 | 0.06 % | $-20 | | | | | | News Article | History of Signaturefd Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Skba Capital Management Llc | Institution | 158,450 | Added More | 14,500 | 10.07 % | $9,280,417 | $9,286,755 | $6,338 | 0.06 % | $580 | | | | | | News Article | History of Skba Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Sm And R Investments Inc | Institution | 9,450 | No Change | 0 | 0 % | $553,487 | $553,865 | $378 | 0.06 % | $0 | | | | | | News Article | History of Sm And R Investments Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Sovereign Asset Management Corp | Institution | 130,275 | No Change | 0 | 0 % | $7,630,207 | $7,635,418 | $5,211 | 0.06 % | $0 | | | | | | News Article | History of Sovereign Asset Management Corp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | State Farm Mutual Automobile Insurance Co | Institution | 19,707,800 | No Change | 0 | 0 % | $1,154,285,846 | $1,155,074,158 | $788,312 | 0.06 % | $0 | | | | | | News Article | History of State Farm Mutual Automobile Insurance Co Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Suffolk Capital Management Llc | Institution | 249,900 | New Holding | 249,900 | 100 % | $14,636,643 | $14,646,639 | $9,996 | 0.06 % | $9,996 | | | | | | News Article | History of Suffolk Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Suntrust Banks Inc | Institution | 705,623 | Sold Some | -202,349 | -22.28 % | $41,328,339 | $41,356,564 | $28,225 | 0.06 % | $-8,094 | | | | | | News Article | History of Suntrust Banks Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Susquehanna International Group Llp | Institution | 447,465 | Sold Some | -525,007 | -53.98 % | $26,208,025 | $26,225,924 | $17,899 | 0.06 % | $-21,000 | | | | | | News Article | History of Susquehanna International Group Llp Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Tewksbury Capital Management Ltd | Institution | | Sold All | -395,022 | -100 % | | | | 0.06 % | $-15,801 | | | | | | News Article | History of Tewksbury Capital Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Train Babcock Advisors Llc | Institution | 6,300 | Sold Some | -150 | -2.32 % | $368,991 | $369,243 | $252 | 0.06 % | $-6 | | | | | | News Article | History of Train Babcock Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Ubs Oconnor Llc | Institution | 10,600 | New Holding | 10,600 | 100 % | $620,842 | $621,266 | $424 | 0.06 % | $424 | | | | | | News Article | History of Ubs Oconnor Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | United Services Automobile Association | Institution | 298,670 | Added More | 41,615 | 16.18 % | $17,493,102 | $17,505,049 | $11,947 | 0.06 % | $1,665 | | | | | | News Article | History of United Services Automobile Association Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Veritable L P | Institution | 28,986 | Added More | 1,092 | 3.91 % | $1,697,710 | $1,698,869 | $1,159 | 0.06 % | $44 | | | | | | News Article | History of Veritable L P Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Virginia Retirement Systems Et Al | Institution | 140,294 | Added More | 100 | 0.07 % | $8,217,020 | $8,222,631 | $5,612 | 0.06 % | $4 | | | | | | News Article | History of Virginia Retirement Systems Et Al Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Wealth Advisors Of Cincinnati Llc | Institution | | Sold All | -2,184 | -100 % | | | | 0.06 % | $-87 | | | | | | News Article | History of Wealth Advisors Of Cincinnati Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | West Chester Capital Advisors Inc | Institution | 24,325 | Sold Some | -600 | -2.40 % | $1,424,715 | $1,425,688 | $973 | 0.06 % | $-24 | | | | | | News Article | History of West Chester Capital Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Westfield Capital Management Co Llc | Institution | 9,765 | New Holding | 9,765 | 100 % | $571,936 | $572,327 | $391 | 0.06 % | $391 | | | | | | News Article | History of Westfield Capital Management Co Llc Ownership Of Caterpillar Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | World Asset Management Inc | Institution | 146,415 | Added More | 9,525 | 6.95 % | $8,575,527 | $8,581,383 | $5,857 | 0.06 % | $381 | | | | | | News Article | History of World Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Alphabet Management Llc | No Data | | Sold All | -91,650 | -100 % | | | | -2.25 % | $123,728 | | | | | | News Article | History of Alphabet Management Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Aperio Group Llc | Institution | 57,894 | Added More | 2,180 | 3.91 % | $3,471,324 | $3,393,167 | $-78,157 | -2.25 % | $-2,943 | | | | | | News Article | History of Aperio Group Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Bahl And Gaynor Inc | Institution | 45,511 | Sold Some | -11,570 | -20.26 % | $2,728,840 | $2,667,400 | $-61,440 | -2.25 % | $15,620 | | | | | | News Article | History of Bahl And Gaynor Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Birinyi Associates Inc | Institution | 14,750 | Added More | 2,000 | 15.68 % | $884,410 | $864,498 | $-19,913 | -2.25 % | $-2,700 | | | | | | News Article | History of Birinyi Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Bp Plc | Institution | 96,000 | No Change | 0 | 0 % | $5,756,160 | $5,626,560 | $-129,600 | -2.25 % | $0 | | | | | | News Article | History of Bp Plc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Brinton Eaton Associates Inc | Institution | 100 | Sold Some | -50 | -33.33 % | $5,996 | $5,861 | $-135 | -2.25 % | $68 | | | | | | News Article | History of Brinton Eaton Associates Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Citigroup Inc | Institution | 650,004 | Sold Some | -3,286,418 | -83.48 % | $38,974,240 | $38,096,734 | $-877,505 | -2.25 % | $4,436,664 | | | | | | News Article | History of Citigroup Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Comerica Bank | Institution | 474,165 | Added More | 33,295 | 7.55 % | $28,430,933 | $27,790,811 | $-640,123 | -2.25 % | $-44,948 | | | | | | News Article | History of Comerica Bank Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Cypress Asset Management Inc | Institution | 44,486 | Sold Some | -4,109 | -8.45 % | $2,667,381 | $2,607,324 | $-60,056 | -2.25 % | $5,547 | | | | | | News Article | History of Cypress Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Cypress Capital Group | Institution | 50,212 | Sold Some | -23,935 | -32.28 % | $3,010,712 | $2,942,925 | $-67,786 | -2.25 % | $32,312 | | | | | | News Article | History of Cypress Capital Group Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Dai Ichi Mutual Life Insurance Co | Institution | 92,660 | Added More | 46,485 | 100.67 % | $5,555,894 | $5,430,803 | $-125,091 | -2.25 % | $-62,755 | | | | | | News Article | History of Dai Ichi Mutual Life Insurance Co Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Dana Investment Advisors Inc | Institution | 877 | New Holding | 877 | 100 % | $52,585 | $51,401 | $-1,184 | -2.25 % | $-1,184 | | | | | | News Article | History of Dana Investment Advisors Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Dlibj Asset Management Co Ltd | Institution | 104,297 | Sold Some | -41,058 | -28.24 % | $6,253,648 | $6,112,847 | $-140,801 | -2.25 % | $55,428 | | | | | | News Article | History of Dlibj Asset Management Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Doheny Asset Management | Institution | 4,868 | New Holding | 4,868 | 100 % | $291,885 | $285,313 | $-6,572 | -2.25 % | $-6,572 | | | | | | News Article | History of Doheny Asset Management Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Duncker Streett And Co Inc | Institution | 15,880 | New Holding | 15,880 | 100 % | $952,165 | $930,727 | $-21,438 | -2.25 % | $-21,438 | | | | | | News Article | History of Duncker Streett And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Elca Board Of Pensions | Institution | 11,967 | Sold Some | -183 | -1.50 % | $717,541 | $701,386 | $-16,155 | -2.25 % | $247 | | | | | | News Article | History of Elca Board Of Pensions Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | First National Trust Co | Institution | 1,222 | Sold Some | -2,467 | -66.87 % | $73,271 | $71,621 | $-1,650 | -2.25 % | $3,330 | | | | | | News Article | History of First National Trust Co Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Glenmede Trust Co Na | Institution | 255,581 | Added More | 58,670 | 29.79 % | $15,324,637 | $14,979,602 | $-345,034 | -2.25 % | $-79,205 | | | | | | News Article | History of Glenmede Trust Co Na Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Harris Associates L P | Institution | 6,218,200 | Added More | 527,300 | 9.26 % | $372,843,272 | $364,448,702 | $-8,394,570 | -2.25 % | $-711,855 | | | | | | News Article | History of Harris Associates L P Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Haverford Financial Services Inc | Institution | 46,963 | New Holding | 46,963 | 100 % | $2,815,901 | $2,752,501 | $-63,400 | -2.25 % | $-63,400 | | | | | | News Article | History of Haverford Financial Services Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Highbridge Capital Management Llc | Institution | 83,207 | Added More | 52,135 | 167.78 % | $4,989,092 | $4,876,762 | $-112,329 | -2.25 % | $-70,382 | | | | | | News Article | History of Highbridge Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Hyman Charles D | Institution | 101,725 | New Holding | 101,725 | 100 % | $6,099,431 | $5,962,102 | $-137,329 | -2.25 % | $-137,329 | | | | | | News Article | History of Hyman Charles D Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ig Investment Management Ltd | Institution | 13,822 | Added More | 1,824 | 15.20 % | $828,767 | $810,107 | $-18,660 | -2.25 % | $-2,462 | | | | | | News Article | History of Ig Investment Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Investment Management Of Virginia Llc | Institution | 40,924 | New Holding | 40,924 | 100 % | $2,453,803 | $2,398,556 | $-55,247 | -2.25 % | $-55,247 | | | | | | News Article | History of Investment Management Of Virginia Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ipswich Investment Management Co Inc | No Data | 26,670 | Added More | 2,045 | 8.30 % | $1,599,133 | $1,563,129 | $-36,005 | -2.25 % | $-2,761 | | | | | | News Article | History of Ipswich Investment Management Co Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | J P Morgan Chase And Co | Institution | 5,447,159 | Sold Some | -1,971,231 | -26.57 % | $326,611,654 | $319,257,989 | $-7,353,665 | -2.25 % | $2,661,162 | | | | | | News Article | History of J P Morgan Chase And Co Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Kimelman And Baird Llc | Institution | 3,517 | Added More | 700 | 24.84 % | $210,879 | $206,131 | $-4,748 | -2.25 % | $-945 | | | | | | News Article | History of Kimelman And Baird Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Macquarie Group Ltd | Institution | 4,800 | New Holding | 4,800 | 100 % | $287,808 | $281,328 | $-6,480 | -2.25 % | $-6,480 | | | | | | News Article | History of Macquarie Group Ltd Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Nomura Holdings Inc | Institution | 22,827 | New Holding | 22,827 | 100 % | $1,368,707 | $1,337,890 | $-30,816 | -2.25 % | $-30,816 | | | | | | News Article | History of Nomura Holdings Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Osborne Partners Capital Management | Institution | 5,800 | No Change | 0 | 0 % | $347,768 | $339,938 | $-7,830 | -2.25 % | $0 | | | | | | News Article | History of Osborne Partners Capital Management Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Pekin Singer Strauss Asset Management | Institution | 5,284 | Sold Some | -1,004 | -15.96 % | $316,829 | $309,695 | $-7,133 | -2.25 % | $1,355 | | | | | | News Article | History of Pekin Singer Strauss Asset Management Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Pinnacle Global Group Inc | Institution | 100,315 | Sold Some | -15,346 | -13.26 % | $6,014,887 | $5,879,462 | $-135,425 | -2.25 % | $20,717 | | | | | | News Article | History of Pinnacle Global Group Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Red Granite Advisors Llc | Institution | 8,482 | Sold Some | -68,933 | -89.04 % | $508,581 | $497,130 | $-11,451 | -2.25 % | $93,060 | | | | | | News Article | History of Red Granite Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Seabridge Investment Advisors Llc | Institution | 1,164 | No Change | 0 | 0 % | $69,793 | $68,222 | $-1,571 | -2.25 % | $0 | | | | | | News Article | History of Seabridge Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Stephens Inc Ar | Institution | 10,332 | Sold Some | -20,075 | -66.02 % | $619,507 | $605,559 | $-13,948 | -2.25 % | $27,101 | | | | | | News Article | History of Stephens Inc Ar Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Sterne Agee And Leach Group Inc | Institution | 11,600 | Sold Some | -120 | -1.02 % | $695,536 | $679,876 | $-15,660 | -2.25 % | $162 | | | | | | News Article | History of Sterne Agee And Leach Group Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Tesseract Capital Llc | No Data | | Sold All | -2,452 | -100 % | | | | -2.25 % | $3,310 | | | | | | News Article | History of Tesseract Capital Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Trevor Stewart Burton And Jacobsen Inc | Institution | 171,465 | Sold Some | -12,525 | -6.80 % | $10,281,041 | $10,049,564 | $-231,478 | -2.25 % | $16,909 | | | | | | News Article | History of Trevor Stewart Burton And Jacobsen Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ubs Ag | Institution | 2,665,199 | Added More | 515,739 | 23.99 % | $159,805,332 | $156,207,313 | $-3,598,019 | -2.25 % | $-696,248 | | | | | | News Article | History of Ubs Ag Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Verition Fund Managegment Llc | No Data | | Sold All | -20,827 | -100 % | | | | -2.25 % | $28,116 | | | | | | News Article | History of Verition Fund Managegment Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Verizon Communications Inc | Institution | 121,004 | No Change | 0 | 0 % | $7,255,400 | $7,092,044 | $-163,355 | -2.25 % | $0 | | | | | | News Article | History of Verizon Communications Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Wealthtrust-Arizona Llc | Institution | 33,134 | Added More | 16,970 | 104.98 % | $1,986,715 | $1,941,984 | $-44,731 | -2.25 % | $-22,910 | | | | | | News Article | History of Wealthtrust-Arizona Llc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Wetherby Asset Management Inc | Institution | 4,449 | New Holding | 4,449 | 100 % | $266,762 | $260,756 | $-6,006 | -2.25 % | $-6,006 | | | | | | News Article | History of Wetherby Asset Management Inc Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-09-03 | 13F-HR | Webster Bank N A | Institution | 4,300 | New Holding | 4,300 | 100 % | $257,828 | $252,023 | $-5,805 | -2.25 % | $-5,805 | | | | | | News Article | History of Webster Bank N A Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-08-31 | N-Q | Delaware Group Global And International Funds Inc - Delaware Global Value Fund | Global Multi-Cap Value | 15,900 | Sold Some | -2,000 | -11.17 % | $953,364 | $931,899 | $-21,465 | -2.25 % | $2,700 | | | | | | News Article | History of Delaware Group Global And International Funds Inc - Delaware Global Value Fund Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-08-31 | N-CSR | Morgan Stanley S And P 500 Index Fund - None | Specialty & Misc | 35,780 | Sold Some | -2,573 | -6.70 % | $2,145,369 | $2,097,066 | $-48,303 | -2.25 % | $3,474 | | | | | | News Article | History of Morgan Stanley S And P 500 Index Fund - None Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-06-30 | 13F-HR/A | Dlibj Asset Management Co Ltd | Institution | 145,355 | Sold Some | -38,325 | -20.86 % | $8,715,486 | $8,519,257 | $-196,229 | -2.25 % | $51,739 | | | | | | News Article | History of Dlibj Asset Management Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-10 | 2009-03-31 | 13F-HR/A | Dlibj Asset Management Co Ltd | Institution | 183,680 | Sold Some | -52,154 | -22.11 % | $11,013,453 | $10,765,485 | $-247,968 | -2.25 % | $70,408 | | | | | | News Article | History of Dlibj Asset Management Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-10 | 2008-12-31 | 13F-HR/A | Dlibj Asset Management Co Ltd | Institution | 235,834 | Added More | 142,567 | 152.85 % | $14,140,607 | $13,822,231 | $-318,376 | -2.25 % | $-192,465 | | | | | | News Article | History of Dlibj Asset Management Co Ltd Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Aberdeen Asset Management Plc | Institution | 1,231,204 | Added More | 1,094,900 | 803.27 % | $73,872,240 | $72,160,866 | $-1,711,374 | -2.31 % | $-1,521,911 | | | | | | News Article | History of Aberdeen Asset Management Plc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Beacon Trust Co | Institution | 64,825 | Added More | 34,963 | 117.08 % | $3,889,500 | $3,799,393 | $-90,107 | -2.31 % | $-48,599 | | | | | | News Article | History of Beacon Trust Co Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Bradley Foster And Sargent Inc | Institution | 46,563 | Sold Some | -1,450 | -3.02 % | $2,793,780 | $2,729,057 | $-64,723 | -2.31 % | $2,016 | | | | | | News Article | History of Bradley Foster And Sargent Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Burney Co | Institution | 56,149 | Sold Some | -5,993 | -9.64 % | $3,368,940 | $3,290,893 | $-78,047 | -2.31 % | $8,330 | | | | | | News Article | History of Burney Co Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Ccm Partners | Institution | 22,280 | Sold Some | -400 | -1.76 % | $1,336,800 | $1,305,831 | $-30,969 | -2.31 % | $556 | | | | | | News Article | History of Ccm Partners Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Chartwell Investment Partners | Institution | 92,500 | Sold Some | -101,000 | -52.19 % | $5,550,000 | $5,421,425 | $-128,575 | -2.31 % | $140,390 | | | | | | News Article | History of Chartwell Investment Partners Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Cibc World Markets Corp | Institution | 206,622 | Added More | 173,246 | 519.07 % | $12,397,320 | $12,110,115 | $-287,205 | -2.31 % | $-240,812 | | | | | | News Article | History of Cibc World Markets Corp Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Clifford Associates Llc | Institution | 46,373 | Sold Some | -2,450 | -5.01 % | $2,782,380 | $2,717,922 | $-64,458 | -2.31 % | $3,406 | | | | | | News Article | History of Clifford Associates Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Country Club Trust Company N A | Institution | | Sold All | -25,623 | -100 % | | | | -2.31 % | $35,616 | | | | | | News Article | History of Country Club Trust Company N A Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Dumont And Blake Investment Advisors Llc | Institution | 22,116 | Added More | 675 | 3.14 % | $1,326,960 | $1,296,219 | $-30,741 | -2.31 % | $-938 | | | | | | News Article | History of Dumont And Blake Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Fan Asset Management Llc | Institution | 4,100 | Added More | 600 | 17.14 % | $246,000 | $240,301 | $-5,699 | -2.31 % | $-834 | | | | | | News Article | History of Fan Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Federated Investors Inc | Institution | 4,080 | Added More | 4,010 | 5728.57 % | $244,800 | $239,129 | $-5,671 | -2.31 % | $-5,574 | | | | | | News Article | History of Federated Investors Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | General Motors Investment Management Corp | Institution | 16,100 | Sold Some | -33,915 | -67.80 % | $966,000 | $943,621 | $-22,379 | -2.31 % | $47,142 | | | | | | News Article | History of General Motors Investment Management Corp Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Hansberger Global Investors Inc | Institution | 213 | New Holding | 213 | 100 % | $12,780 | $12,484 | $-296 | -2.31 % | $-296 | | | | | | News Article | History of Hansberger Global Investors Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Howe Barnes Capital Management Inc | Institution | 52,462 | Sold Some | -1,023 | -1.91 % | $3,147,720 | $3,074,798 | $-72,922 | -2.31 % | $1,422 | | | | | | News Article | History of Howe Barnes Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Icc Capital Management Inc | Institution | 209,701 | Sold Some | -2,550 | -1.20 % | $12,582,060 | $12,290,576 | $-291,484 | -2.31 % | $3,545 | | | | | | News Article | History of Icc Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Institutional Capital Corp | Institution | 6,652,541 | Added More | 2,769,838 | 71.33 % | $399,152,460 | $389,905,428 | $-9,247,032 | -2.31 % | $-3,850,075 | | | | | | News Article | History of Institutional Capital Corp Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Johnson Investment Counsel Inc | Institution | 51,905 | Sold Some | -76,057 | -59.43 % | $3,114,300 | $3,042,152 | $-72,148 | -2.31 % | $105,719 | | | | | | News Article | History of Johnson Investment Counsel Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Jp Marvel Investment Advisors Llc | Institution | 17,045 | Sold Some | -4,990 | -22.64 % | $1,022,700 | $999,007 | $-23,693 | -2.31 % | $6,936 | | | | | | News Article | History of Jp Marvel Investment Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Klingenstein Fields And Co Llc | Institution | 154,342 | Sold Some | -2,650 | -1.68 % | $9,260,520 | $9,045,985 | $-214,535 | -2.31 % | $3,684 | | | | | | News Article | History of Klingenstein Fields And Co Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Lazard Asset Management Llc | Institution | 3,500 | No Change | 0 | 0 % | $210,000 | $205,135 | $-4,865 | -2.31 % | $0 | | | | | | News Article | History of Lazard Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Lee Munder Capital Group Llc | No Data | 11,275 | No Compare | | | $676,500 | $660,828 | $-15,672 | -2.31 % | | | | | | | News Article | History of Lee Munder Capital Group Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Maryland Capital Management Llc | Institution | 5,615 | New Holding | 5,615 | 100 % | $336,900 | $329,095 | $-7,805 | -2.31 % | $-7,805 | | | | | | News Article | History of Maryland Capital Management Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Mckinley Capital Management Inc | Institution | | Sold All | -6,275 | -100 % | | | | -2.31 % | $8,722 | | | | | | News Article | History of Mckinley Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Missouri Valley Partners Inc | Institution | 38,525 | Added More | 485 | 1.27 % | $2,311,500 | $2,257,950 | $-53,550 | -2.31 % | $-674 | | | | | | News Article | History of Missouri Valley Partners Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Monetary Management Group Inc | Institution | 41,175 | Added More | 750 | 1.85 % | $2,470,500 | $2,413,267 | $-57,233 | -2.31 % | $-1,043 | | | | | | News Article | History of Monetary Management Group Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | National Independent Trust Co | Institution | 17,900 | No Change | 0 | 0 % | $1,074,000 | $1,049,119 | $-24,881 | -2.31 % | $0 | | | | | | News Article | History of National Independent Trust Co Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Numeric Investors Llc | Institution | 23,100 | Sold Some | -2,200 | -8.69 % | $1,386,000 | $1,353,891 | $-32,109 | -2.31 % | $3,058 | | | | | | News Article | History of Numeric Investors Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Pitcairn Group L P | Institution | 9,960 | Sold Some | -1,530 | -13.31 % | $597,600 | $583,756 | $-13,844 | -2.31 % | $2,127 | | | | | | News Article | History of Pitcairn Group L P Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Reilly Financial Advisors Llc | Institution | 815 | No Change | 0 | 0 % | $48,900 | $47,767 | $-1,133 | -2.31 % | $0 | | | | | | News Article | History of Reilly Financial Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Rochdale Investment Management Llc | Institution | 20,673 | Added More | 2,391 | 13.07 % | $1,240,380 | $1,211,645 | $-28,735 | -2.31 % | $-3,323 | | | | | | News Article | History of Rochdale Investment Management Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Royal Trust Corp Of Canada | Institution | | Sold All | -233 | -100 % | | | | -2.31 % | $324 | | | | | | News Article | History of Royal Trust Corp Of Canada Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Simmons First Trust Co Na | Institution | 4,508 | New Holding | 4,508 | 100 % | $270,480 | $264,214 | $-6,266 | -2.31 % | $-6,266 | | | | | | News Article | History of Simmons First Trust Co Na Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | State Of Wisconsin Investment Board | Institution | 999,065 | Sold Some | -249,360 | -19.97 % | $59,943,900 | $58,555,200 | $-1,388,700 | -2.31 % | $346,610 | | | | | | News Article | History of State Of Wisconsin Investment Board Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Stewart Charles Mott Foundation | Institution | 21,100 | Sold Some | -1,700 | -7.45 % | $1,266,000 | $1,236,671 | $-29,329 | -2.31 % | $2,363 | | | | | | News Article | History of Stewart Charles Mott Foundation Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Twin Capital Management Inc | Institution | 37,800 | Added More | 660 | 1.77 % | $2,268,000 | $2,215,458 | $-52,542 | -2.31 % | $-917 | | | | | | News Article | History of Twin Capital Management Inc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Univest Corp Of Pennsylvania | Institution | 56,062 | Added More | 1,082 | 1.96 % | $3,363,720 | $3,285,794 | $-77,926 | -2.31 % | $-1,504 | | | | | | News Article | History of Univest Corp Of Pennsylvania Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Vtl Associates Llc | Institution | | Sold All | -1,064 | -100 % | | | | -2.31 % | $1,479 | | | | | | News Article | History of Vtl Associates Llc Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-08-31 | N-CSR | Consulting Group Capital Markets Funds - Large Capitalization Growth Investments | Large-Cap Growth | | Sold All | -152,400 | -100 % | | | | -2.31 % | $211,836 | | | | | | News Article | History of Consulting Group Capital Markets Funds - Large Capitalization Growth Investments Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-08-31 | N-CSRS | Jpmorgan Institutional Trust - Jpmorgan Equity Index Trust | Specialty & Misc | | Sold All | -21 | -100 % | | | | -2.31 % | $29 | | | | | | News Article | History of Jpmorgan Institutional Trust - Jpmorgan Equity Index Trust Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-08-31 | N-CSRS | Morgan Stanley Dividend Growth Securities Inc - None | Small-Cap Growth | | Sold All | -457,670 | -100 % | | | | -2.31 % | $636,161 | | | | | | News Article | History of Morgan Stanley Dividend Growth Securities Inc - None Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-08-31 | N-CSR | Purisima Funds - The Purisima Total Return Fund | Specialty & Misc | | Sold All | -120,500 | -100 % | | | | -2.31 % | $167,495 | | | | | | News Article | History of Purisima Funds - The Purisima Total Return Fund Ownership Of Caterpillar Inc |
| 2009-11-09 | 2009-08-31 | N-CSRS | Trust For Professional Managers - Alternative Strategies Mutual Fund | No Data | | Sold All | -700 | -100 % | | | | -2.31 % | $973 | | | | | | News Article | History of Trust For Professional Managers - Alternative Strategies Mutual Fund 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 | $1,307,003 | $22,523 | 1.75 % | $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 | $246,689 | $4,251 | 1.75 % | $4,251 | | | | | | 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 | $3,719,742 | $64,101 | 1.75 % | $-20,808 | | | | | | 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 | $234,440 | $4,040 | 1.75 % | $4,040 | | | | | | 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 | $2,734,332 | $47,120 | 1.75 % | $-141,056 | | | | | | 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 | $1,134,983 | $19,559 | 1.75 % | $-1,793 | | | | | | News Article | History of Chelsea Counsel Co 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 | $312,098 | $5,378 | 1.75 % | $5,378 | | | | | | News Article | History of Cobblestone Capital Advisors Llc 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 | $1,073,149 | $18,493 | 1.75 % | $-17,716 | | | | | | 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 | $458,623 | $7,903 | 1.75 % | $11 | | | | | | 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 | $1,882,202 | $32,435 | 1.75 % | $-956 | | | | | | 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 | No Change | 0 | 0 % | $92,160 | $93,776 | $1,616 | 1.75 % | $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 | $4,042,332 | $69,660 | 1.75 % | $-20 | | | | | | 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 % | | | | 1.75 % | $-23 | | | | | | 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 | $10,408,315 | $179,362 | 1.75 % | $-1,151 | | | | | | 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 | $293,050 | $5,050 | 1.75 % | $-3,030 | | | | | | 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 | $3,627,842 | $62,517 | 1.75 % | $-9,165 | | | | | | 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 | $13,849,543 | $238,663 | 1.75 % | $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 | $6,332,869 | $109,132 | 1.75 % | $-1,515 | | | | | | 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 | $3,350,030 | $57,730 | 1.75 % | $-422 | | | | | | 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 | 1,244 | 14.13 % | $578,477 | $588,620 | $10,143 | 1.75 % | $1,256 | | | | | | 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 | $29,140,482 | $502,165 | 1.75 % | $-2,997 | | | | | | 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 | $6,304,854 | $108,649 | 1.75 % | $406 | | | | | | News Article | History of Nbt Bank N A 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 | $123,081 | $2,121 | 1.75 % | $2,121 | | | | | | 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 | $115,576,400 | $1,991,677 | 1.75 % | $-60,111 | | | | | | 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 | $9,738,755 | $167,824 | 1.75 % | $-278,853 | | | | | | News Article | History of Pnc Financial Services Group Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Sam Sustainable Asset Management Ltd | Institution | 7,880 | Sold Some | -1,300 | -14.16 % | $453,888 | $461,847 | $7,959 | 1.75 % | $-1,313 | | | | | | News Article | History of Sam Sustainable Asset Management Ltd Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Schwab Charles Investment Management Inc | Institution | 1,147,856 | Added More | 229,176 | 24.94 % | $66,116,506 | $67,275,840 | $1,159,335 | 1.75 % | $231,468 | | | | | | News Article | History of Schwab Charles Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Somerville Kurt F | Institution | 5,040 | New Holding | 5,040 | 100 % | $290,304 | $295,394 | $5,090 | 1.75 % | $5,090 | | | | | | News Article | History of Somerville Kurt F Ownership Of Caterpillar Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Synovus Financial Corp | Institution | 55,801 | Sold Some | -77,177 | -58.03 % | $3,214,138 | $3,270,497 | $56,359 | 1.75 % | $-77,949 | | | | | | News Article | History of Synovus Financial Corp 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 | $958,449 | $16,517 | 1.75 % | $16,517 | | | | | | 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 | $18,603,048 | $320,578 | 1.75 % | $10,932 | | | | | | 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 | $203,944,455 | $3,514,484 | 1.75 % | $71,490 | | | | | | 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 | $10,661,218 | $183,720 | 1.75 % | $-3,529 | | | | | | 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 | $1,172,200 | $20,200 | 1.75 % | $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 | $430,373 | $7,416 | 1.75 % | $-814 | | | | | | News Article | History of Westport Resources Management 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 | $468,880 | $4,960 | 1.06 % | $-1,302 | | | | | | 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 | $480,602 | $5,084 | 1.06 % | $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 | $332,084 | $3,513 | 1.06 % | $-1,240 | | | | | | 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 | $2,675,722 | $28,305 | 1.06 % | $791 | | | | | | 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 | $437,231 | $4,625 | 1.06 % | $4,625 | | | | | | 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 | $424,043 | $4,486 | 1.06 % | $-195 | | | | | | 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 | $241,766 | $2,558 | 1.06 % | $2,558 | | | | | | 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 | $2,413,325 | $25,529 | 1.06 % | $-1,984 | | | | | | 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 | $1,366,082 | $14,451 | 1.06 % | $-999 | | | | | | 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 | Added More | 1,824 | 2.29 % | $4,715,515 | $4,765,931 | $50,416 | 1.06 % | $1,131 | | | | | | 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 | $1,003,989 | $10,621 | 1.06 % | $138 | | | | | | 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 | $131,873 | $1,395 | 1.06 % | $-285 | | | | | | 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 | $8,128,504 | $85,987 | 1.06 % | $4,228 | | | | | | 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 | $1,148,815 | $12,153 | 1.06 % | $-1,063 | | | | | | 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 | $1,443,564 | $15,271 | 1.06 % | $-124 | | | | | | 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 | $2,941,050 | $31,112 | 1.06 % | $-93 | | | | | | 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 | $10,332,943 | $109,306 | 1.06 % | $-3,658 | | | | | | 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 | $12,207,467 | $129,135 | 1.06 % | $-18,561 | | | | | | News Article | History of Nisa Investment Advisors L L C Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Parametric Portfolio Associates | Institution | 589,175 | Sold Some | -139,547 | -19.14 % | $34,166,258 | $34,531,547 | $365,289 | 1.06 % | $-86,519 | | | | | | News Article | History of Parametric Portfolio Associates 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 | $2,022,104 | $21,391 | 1.06 % | $3,025 | | | | | | 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 | $21,898,747 | $231,654 | 1.06 % | $-148,501 | | | | | | News Article | History of Proshare Advisors Llc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | S And Co Inc | Institution | 168,982 | Added More | 7,998 | 4.96 % | $9,799,266 | $9,904,035 | $104,769 | 1.06 % | $4,959 | | | | | | News Article | History of S And Co Inc Ownership Of Caterpillar Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Stratton Management Co | Institution | 90,921 | Sold Some | -713 | -0.77 % | $5,272,509 | $5,328,880 | $56,371 | 1.06 % | $-442 | | | | | | News Article | History of Stratton Management Co 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 | $4,745,300 | $50,198 | 1.06 % | $-7,230 | | | | | | 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 Texas | Institution | 624,591 | Sold Some | -339,131 | -35.18 % | $36,220,032 | $36,607,279 | $387,246 | 1.06 % | $-210,261 | | | | | | News Article | History of Teacher Retirement System Of Texas 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 | $2,121,682 | $22,444 | 1.06 % | $-119 | | | | | | News Article | History of Tirschwell And Loewy Inc 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 | $879,150 | $9,300 | 1.06 % | $-17,732 | | | | | | 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 % | | | | 1.06 % | $-3,472 | | | | | | 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 | $33,495,615 | $354,330 | 1.06 % | $354,330 | | | | | | 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 | $452,000 | $18,432 | 4.25 % | $2,354 | | | | | | 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 | $400,658 | $16,338 | 4.25 % | $16,338 | | | | | | News Article | History of Atlas Browninc 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 | $2,834,380 | $115,580 | 4.25 % | $115,580 | | | | | | 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 | $720,024 | $29,361 | 4.25 % | $-478 | | | | | | 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 | $104,180,799 | $4,248,287 | 4.25 % | $-85,928 | | | | | | 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 | $2,854,834 | $116,415 | 4.25 % | $6,286 | | | | | | 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 | -5,142 | -30.19 % | $668,400 | $696,814 | $28,415 | 4.25 % | $-12,289 | | | | | | 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 | $2,561,257 | $104,443 | 4.25 % | $-12,093 | | | | | | 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 | $191,537 | $7,811 | 4.25 % | $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 | $414,959 | $16,921 | 4.25 % | $0 | | | | | | News Article | History of Fort Washington Investment Advisors Inc 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 | $767,791 | $31,309 | 4.25 % | $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 | $3,855,776 | $157,231 | 4.25 % | $3,616 | | | | | | 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 | $49,966,197 | $2,037,523 | 4.25 % | $2,037,523 | | | | | | 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 | $1,321,656 | $53,895 | 4.25 % | $1,793 | | | | | | 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 | No Change | 0 | 0 % | $5,783,127 | $6,028,976 | $245,850 | 4.25 % | $0 | | | | | | 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 | $33,617,641 | $1,370,861 | 4.25 % | $20,339 | | | | | | News Article | History of Mitsubishi Ufj Trust Banking Corp Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Optimum Investment Advisors | Institution | 67,712 | Sold Some | -7,635 | -10.13 % | $3,806,769 | $3,968,600 | $161,832 | 4.25 % | $-18,248 | | | | | | News Article | History of Optimum Investment Advisors Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Sawgrass Asset Management Llc | Institution | 17,585 | No Change | 0 | 0 % | $988,629 | $1,030,657 | $42,028 | 4.25 % | $0 | | | | | | News Article | History of Sawgrass Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | South Texas Money Management Ltd | Institution | | Sold All | -6,069 | -100 % | | | | 4.25 % | $-14,505 | | | | | | News Article | History of South 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 | $322,355 | $13,145 | 4.25 % | $13,145 | | | | | | 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 | $3,006,693 | $122,607 | 4.25 % | $122,607 | | | | | | News Article | History of Alliancebernstein Portfolios - Alliancebernstein Wealth Preservation Strategy 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 % | | | | 4.25 % | $-10,755 | | | | | | News Article | History of Gmo Trust - Gmo Value Fund Ownership Of Caterpillar Inc |
| 2009-11-04 | 2009-08-31 | N-CSR | Ssga Funds - Ssga Iam Shares Fund | Specialty & Misc | 9,821 | No Change | 0 | 0 % | $552,137 | $575,609 | $23,472 | 4.25 % | $0 | | | | | | News Article | History of Ssga Funds - Ssga Iam Shares 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 | $8,368,981 | $341,270 | 4.25 % | $110,048 | | | | | | 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 | $5,670,283 | $231,223 | 4.25 % | $50,929 | | | | | | News Article | History of Paragon Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-04 | 2008-06-30 | 13F-HR/A | State Farm Mutual Automobile Insurance Co | Institution | 19,591,200 | No Change | 0 | 0 % | $1,101,417,264 | $1,148,240,232 | $46,822,968 | 4.25 % | $0 | | | | | | News Article | History of State 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 | $59,916,007 | $2,197,908 | 3.80 % | $-1,290,789 | | | | | | 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 | $1,242,532 | $45,580 | 3.80 % | $1,290 | | | | | | 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 | $1,758,300 | $64,500 | 3.80 % | $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 | $2,178,358 | $79,909 | 3.80 % | $-34,938 | | | | | | 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 | $1,584,287 | $58,117 | 3.80 % | $-2,905 | | | | | | 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 | $5,905,016 | $216,615 | 3.80 % | $-7,101 | | | | | | 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 | $339,938 | $12,470 | 3.80 % | $12,470 | | | | | | 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 | $3,069,406 | $112,596 | 3.80 % | $1,075 | | | | | | 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 | $393,566 | $14,437 | 3.80 % | $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 | $53,985,261 | $1,980,350 | 3.80 % | $116,930 | | | | | | 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 | $428,322 | $15,712 | 3.80 % | $-1,505 | | | | | | 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 | $703,320 | $25,800 | 3.80 % | $-4,515 | | | | | | 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 | $2,802,027 | $102,787 | 3.80 % | $-4,300 | | | | | | 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 | $2,785,616 | $102,185 | 3.80 % | $-2,670 | | | | | | 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 | $6,127,031 | $224,759 | 3.80 % | $25,499 | | | | | | News Article | History of M And T Bank Corp Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Papp L Roy And Associates | Institution | 13,350 | Sold Some | -1,350 | -9.18 % | $753,741 | $782,444 | $28,703 | 3.80 % | $-2,903 | | | | | | News Article | History of Papp L Roy And Associates Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Private Trust Co Na | Institution | | Sold All | -25,596 | -100 % | | | | 3.80 % | $-55,031 | | | | | | 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 | $80,583,827 | $2,956,069 | 3.80 % | $172,346 | | | | | | News Article | History of Prudential Financial Inc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Somerset Asset Management Llc | Institution | 6,058 | Sold Some | -7,124 | -54.04 % | $342,035 | $355,059 | $13,025 | 3.80 % | $-15,317 | | | | | | News Article | History of Somerset Asset Management Llc Ownership Of Caterpillar Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Stewart And Patten Co Llc | Institution | 9,400 | Sold Some | -700 | -6.93 % | $530,724 | $550,934 | $20,210 | 3.80 % | $-1,505 | | | | | | News Article | History of Stewart 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 | $69,735,526 | $2,558,119 | 3.80 % | $2,558,119 | | | | | | 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 | $1,013,484 | $37,178 | 3.80 % | $4,300 | | | | | | 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 | $292,347 | $10,724 | 3.80 % | $-860 | | | | | | 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 | Added More | 346 | 1.45 % | $1,342,414 | $1,417,893 | $75,479 | 5.62 % | $1,080 | | | | | | 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 | $2,920,302 | $155,457 | 5.62 % | $-1,585 | | | | | | 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 | $968,472 | $51,555 | 5.62 % | $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 | $376,393 | $20,037 | 5.62 % | $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 | $1,104,681 | $58,806 | 5.62 % | $-5,878 | | | | | | 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 | $2,657,670 | $141,476 | 5.62 % | $1,560 | | | | | | 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 | $243,466 | $12,960 | 5.62 % | $-43,905 | | | | | | 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 | $29,305,000 | $1,560,000 | 5.62 % | $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 | Sold Some | -4,000 | -8.40 % | $2,419,919 | $2,555,982 | $136,063 | 5.62 % | $-12,480 | | | | | | 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 | $5,182,062 | $275,858 | 5.62 % | $275,858 | | | | | | 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 % | | | | 5.62 % | $-26,380 | | | | | | 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 | $1,438,289 | $76,565 | 5.62 % | $76,565 | | | | | | 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 | $5,624,157 | $299,392 | 5.62 % | $-38,585 | | | | | | 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 | $408,394 | $21,740 | 5.62 % | $-564,548 | | | | | | News Article | History of Quest Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-11-02 | 2009-09-30 | 13F-HR | Thrivent Financial For Lutherans | Institution | 356,800 | Sold Some | -455,086 | -56.05 % | $19,798,832 | $20,912,048 | $1,113,216 | 5.62 % | $-1,419,868 | | | | | | News Article | History of Thrivent Financial For Lutherans 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 | $1,371,474 | $73,008 | 5.62 % | $-17,316 | | | | | | 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 | $1,799,327 | $95,784 | 5.62 % | $95,784 | | | | | | 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 | $832,262 | $44,304 | 5.62 % | $44,304 | | | | | | 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 | $1,600,053 | $96,915 | 6.44 % | $96,915 | | | | | | 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 | $2,727,944 | $165,231 | 6.44 % | $165,231 | | | | | | 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 % | | | | 6.44 % | $-142,000 | | | | | | News Article | History of Greenbrier Partners Ltd 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 | $1,529,721 | $92,655 | 6.44 % | $92,655 | | | | | | 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 | $1,176,303 | $71,249 | 6.44 % | $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 | $382,841 | $23,189 | 6.44 % | $-2,432 | | | | | | 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 | $1,468,942 | $88,974 | 6.44 % | $45,880 | | | | | | News Article | History of Oxford Asset Management Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Sit Investment Associates Inc | Institution | 7,450 | No Change | 0 | 0 % | $410,197 | $436,645 | $26,448 | 6.44 % | $0 | | | | | | News Article | History of Sit Investment Associates Inc Ownership Of Caterpillar Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Stonebridge Capital Management Inc | Institution | 81,379 | Sold Some | -22,325 | -21.52 % | $4,480,728 | $4,769,623 | $288,895 | 6.44 % | $-79,254 | | | | | | News Article | History of Stonebridge Capital Management Inc 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 | $31,306,766 | $1,896,247 | 6.44 % | $52,540 | | | | | | 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 | $5,019,302 | $304,018 | 6.44 % | $-25,848 | | | | | | News Article | History of Tocqueville Asset Management Lp 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 | $1,367,840 | $82,850 | 6.44 % | $-593 | | | | | | 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 | Sold Some | -12,562,328 | -99.91 % | $582,865 | $620,445 | $37,580 | 6.44 % | $-44,596,264 | | | | | | 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 % | | | | 6.44 % | $-19,525 | | | | | | 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 % | | | | 6.44 % | $-462 | | | | | | 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 | $1,582,470 | $95,850 | 6.44 % | $24,850 | | | | | | News Article | History of Dreyfuslaurel Funds Inc - 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 | $4,893,935 | $296,425 | 6.44 % | $246,725 | | | | | | 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 | 51,600 | Added More | 37,600 | 268.57 % | $2,841,096 | $3,024,276 | $183,180 | 6.44 % | $133,480 | | | | | | 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 | $11,206,232 | $678,760 | 6.44 % | $59,285 | | | | | | News Article | History of Fidelity Advisor Series I - Growth Opportunities 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 | $32,868,488 | $1,990,840 | 6.44 % | $-187,657 | | | | | | News Article | History of Fidelity Commonwealth Trust - Fidelity 100 Index 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 % | | | | 6.44 % | $-9,081 | | | | | | 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 | $234,440 | $14,200 | 6.44 % | $14,200 | | | | | | 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 Financial Trust - Fidelity Independence Fund | Specialty & Misc | 95,700 | Added More | 5,700 | 6.33 % | $5,269,242 | $5,608,977 | $339,735 | 6.44 % | $20,235 | | | | | | 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 % | | | | 6.44 % | $-8,094,000 | | | | | | 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 | $249,678,600 | $15,123,000 | 6.44 % | $13,880,500 | | | | | | 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 % | | | | 6.44 % | $-887,500 | | | | | | 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 | $234,440,000 | $14,200,000 | 6.44 % | $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 | Sei Institutional Investments Trust - Siit Large Cap Fund | Large-Cap Core | | Sold All | -42,375 | -100 % | | | | 6.44 % | $-150,431 | | | | | | News Article | History of Sei Institutional Investments Trust - Siit Large Cap Fund 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 | $227,137,194 | $13,757,670 | 6.44 % | $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 | $3,215,989 | $194,792 | 6.44 % | $120,015 | | | | | | 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 | $2,896,096 | $67,202 | 2.37 % | $-3,264 | | | | | | 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 | $384,482 | $8,922 | 2.37 % | $-1,897 | | | | | | 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 | $31,332,144 | $727,038 | 2.37 % | $18,810 | | | | | | 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 | $1,610,134 | $37,362 | 2.37 % | $37,362 | | | | | | 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 % | | | | 2.37 % | $-41,616 | | | | | | 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 | $629,706 | $14,612 | 2.37 % | $379 | | | | | | 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 % | | | | 2.37 % | $-194,196 | | | | | | 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 % | | | | 2.37 % | $-2,546,903 | | | | | | 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 % | | | | 2.37 % | $-49,694 | | | | | | 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 | $1,026,320 | $23,815 | 2.37 % | $-26 | | | | | | 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 | $1,580,536 | $36,675 | 2.37 % | $-46,036 | | | | | | 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 | $1,600,463 | $37,138 | 2.37 % | $37,138 | | | | | | 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 | $980,545 | $22,753 | 2.37 % | $22,753 | | | | | | 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 | $240,301 | $5,576 | 2.37 % | $5,576 | | | | | | 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 | $1,452,297 | $33,699 | 2.37 % | $33,699 | | | | | | 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 | $7,728,842 | $179,342 | 2.37 % | $-12,823 | | | | | | 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 | $64,471 | $4,598 | 7.67 % | $-3,971 | | | | | | 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 | $1,892,224 | $134,951 | 7.67 % | $1,359 | | | | | | 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 | $34,714,644 | $2,475,810 | 7.67 % | $4,962 | | | | | | 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 | Sold Some | -456 | -4.40 % | $538,422 | $579,770 | $41,349 | 7.67 % | $-1,906 | | | | | | 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 | $1,058,130,874 | $75,464,717 | 7.67 % | $75,464,717 | | | | | | News Article | History of Davenport And Co Llc 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 | $562,832 | $40,141 | 7.67 % | $3,645 | | | | | | 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 | $251,671 | $17,949 | 7.67 % | $17,949 | | | | | | 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 | $3,404,655 | $242,816 | 7.67 % | $-15,153 | | | | | | 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 % | | | | 7.67 % | $-61,642 | | | | | | 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 | $156,489 | $11,161 | 7.67 % | | | | | | | 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 | $1,037,397 | $73,986 | 7.67 % | $73,986 | | | | | | 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 | $380,027 | $27,103 | 7.67 % | $-1,672 | | | | | | 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 | $1,447,667 | $103,246 | 7.67 % | $-7,942 | | | | | | News Article | History of Paul A Violich Inc 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 | $21,100 | $1,505 | 7.67 % | $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 | $275,584 | $19,654 | 7.67 % | $-159 | | | | | | News Article | History of Sandy Spring Bank Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Sentry Investment Management Inc | Institution | 61,700 | No Change | 0 | 0 % | $3,358,331 | $3,616,237 | $257,906 | 7.67 % | $0 | | | | | | News Article | History of Sentry Investment Management Inc Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Spf Beheer Bv | Institution | 147,100 | Added More | 117,244 | 392.69 % | $8,006,653 | $8,621,531 | $614,878 | 7.67 % | $490,080 | | | | | | News Article | History of Spf Beheer Bv Ownership Of Caterpillar Inc |
| 2009-10-28 | 2009-09-30 | 13F-HR | Spirit Of America Management Corpny | Institution | 14,200 | Added More | 2,200 | 18.33 % | $772,906 | $832,262 | $59,356 | 7.67 % | $9,196 | | | | | | News Article | History of Spirit Of America Management Corpny 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 | $84,398 | $6,019 | 7.67 % | $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 | $928,382 | $66,211 | 7.67 % | $-12,624 | | | | | | 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 | $8,756,334 | $624,492 | 7.67 % | $624,492 | | | | | | 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 % | | | | 7.67 % | $-200,222 | | | | | | 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 % | | | | 7.67 % | $-5,775,824 | | | | | | News Article | History of Fidelity Concord Street Trust - Spartan International Index Fund 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 | $2,983,894 | $97,749 | 3.38 % | $-2,552 | | | | | | 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 | $106,084 | $3,475 | 3.38 % | $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 | $234,440 | $7,680 | 3.38 % | $-11,520 | | | | | | News Article | History of Deroy And Devereaux Private Investment Counsel Inc 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 | $642,366 | $21,043 | 3.38 % | $115 | | | | | | 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 | $1,475,741 | $48,344 | 3.38 % | $-622 | | | | | | 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 | $2,880,447 | $94,360 | 3.38 % | $-1,862 | | | | | | News Article | History of Hl Financial Services Llc Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Investors Capital Advisory Services | Institution | 39,916 | Added More | 47 | 0.11 % | $2,262,838 | $2,339,477 | $76,639 | 3.38 % | $90 | | | | | | News Article | History of Investors Capital Advisory Services 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 | $3,501,068 | $114,691 | 3.38 % | $-126,595 | | | | | | News Article | History of North American Management Corp Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Sabal Trust Co | Institution | 119,483 | Sold Some | -9,495 | -7.36 % | $6,773,491 | $7,002,899 | $229,407 | 3.38 % | $-18,230 | | | | | | News Article | History of Sabal Trust Co Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Seaward Management Corp | Institution | 55,026 | Added More | 32,287 | 141.98 % | $3,119,424 | $3,225,074 | $105,650 | 3.38 % | $61,991 | | | | | | News Article | History of Seaward Management Corp Ownership Of Caterpillar Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Sigma Investment Counselors Inc | Institution | 40,801 | Sold Some | -280 | -0.68 % | $2,313,009 | $2,391,347 |
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