First Quadrant’s Caterpillar CAT Stock Holding History

First Quadrant’s Portfolio CAT Stock Details CAT Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2020 Q4	–	Sell	-2,814	Closed	-$420K	–	588
2020 Q3	$420K	Sell	2,814 -1,924	-41%	-$270K	0.05%	242
2020 Q2	$599K	Hold	4,738	–	–	0.08%	235
2020 Q1	$550K	Hold	4,738	–	–	0.08%	253
2019 Q4	$700K	Hold	4,738	–	–	0.06%	275
2019 Q3	$598K	Hold	4,738	–	–	0.06%	288
2019 Q2	$646K	Hold	4,738	–	–	0.04%	367
2019 Q1	$642K	Hold	4,738	–	–	0.05%	323
2018 Q4	$602K	Hold	4,738	–	–	0.05%	328
2018 Q3	$722K	Hold	4,738	–	–	0.02%	441
2018 Q2	$643K	Hold	4,738	–	–	0.01%	457
2018 Q1	$698K	Hold	4,738	–	–	0.01%	441
2017 Q4	$747K	Hold	4,738	–	–	0.01%	485
2017 Q3	$591K	Buy	+4,738	New	+$546K	0.01%	527
2014 Q3	–	Sell	-48,900	Closed	-$5.31M	–	811
2014 Q2	$5.31M	Buy	+48,900	New	+$5.13M	0.12%	185

Other funds holding CAT

Vanguard Group Malvern, Pennsylvania $6.9T AUM 27.45% 1-Year Est. Return

State Street Boston, Massachusetts $3.37T AUM 44.26% 1-Year Est. Return

BlackRock New York $6.73T AUM 46.02% 1-Year Est. Return

State Farm Mutual Automobile Insurance Bloomington, Illinois $146B AUM 55.73% 1-Year Est. Return

T. Rowe Price Associates Baltimore, Maryland $999B AUM 46.22% 1-Year Est. Return

Gates Foundation Trust Kirkland, Washington $34.4B AUM 26.34% 1-Year Est. Return

Capital International Investors Los Angeles, California $484B AUM 34.9% 1-Year Est. Return

Geode Capital Management Boston, Massachusetts $1.88T AUM 44.46% 1-Year Est. Return

Wellington Management Group Boston, Massachusetts $580B AUM 38.23% 1-Year Est. Return

Northern Trust Chicago, Illinois $860B AUM 41.15% 1-Year Est. Return

First Quadrant's CAT Position: Q4 2020 in Review

First Quadrant sold out of Caterpillar (CAT) in Q4 2020, closing a stake of 2,814 shares — an estimated $420K sold.

First Quadrant first reported a position in CAT in Q2 2014 and held it in 14 quarters. The position peaked at $5.31M in Q2 2014. 1,892 funds tracked by Wall St. Rank hold CAT as of Q4 2020.

First Quadrant reported no remaining Caterpillar position as of Q4 2020 after selling out during the quarter.
First Quadrant sold 2,814 Caterpillar shares in Q4 2020, an estimated $420K.
First Quadrant first reported a position in Caterpillar in Q2 2014 and held it in 14 quarters.
First Quadrant's Caterpillar position peaked at $5.31M in Q2 2014.
1,892 funds tracked by Wall St. Rank held Caterpillar as of Q4 2020.

Based on First Quadrant's 13F filing for Q4 2020, filed 27 Jan 2021.