Herndon Capital Management’s Caterpillar CAT Stock Holding History

Herndon Capital Management’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
2016 Q4	–	Sell	-54	Closed	-$5K	–	267
2016 Q3	$5K	Hold	54	–	–	﹤0.01%	250
2016 Q2	$4K	Buy	+54	New	+$4.05K	﹤0.01%	284
2015 Q1	–	Sell	-1,476,989	Closed	-$135M	–	205
2014 Q4	$135M	Sell	1,476,989 -7,086	-0.5%	-$690K	1.84%	33
2014 Q3	$148M	Buy	1,484,075 +1,279,132	+624%	+$136M	1.94%	28
2014 Q2	$22.3M	Sell	204,943 -13,808	-6%	-$1.45M	0.28%	53
2014 Q1	$21.7M	Buy	218,751 +38,737	+22%	+$3.65M	0.28%	48
2013 Q4	$16.3M	Sell	180,014 -894,397	-83%	-$76.4M	0.21%	51
2013 Q3	$89.6M	Buy	1,074,411 +94,256	+10%	+$7.97M	1.18%	40
2013 Q2	$80.9M	Buy	+980,155	New	+$83.4M	1.21%	43

Other funds holding CAT

State Street Boston, Massachusetts $2.9T AUM 29.55% 1-Year Est. Return

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

State Farm Mutual Automobile Insurance Bloomington, Illinois $127B AUM 32.55% 1-Year Est. Return

Capital World Investors Los Angeles, California $733B AUM 35.63% 1-Year Est. Return

Capital Research Global Investors Los Angeles, California $645B AUM 30.41% 1-Year Est. Return

Fidelity Investments Boston, Massachusetts $1.9T AUM 41.92% 1-Year Est. Return

BIT

BlackRock Institutional Trust San Francisco, California $675B AUM 16.07% 1-Year Est. Return

Wellington Management Group Boston, Massachusetts $535B AUM 26.23% 1-Year Est. Return

BFA

BlackRock Fund Advisors San Francisco, California $542B AUM 18.13% 1-Year Est. Return

Gates Foundation Trust Kirkland, Washington $31.7B AUM 20.52% 1-Year Est. Return

Herndon Capital Management's CAT Position: Q4 2016 in Review

Herndon Capital Management sold out of Caterpillar (CAT) in Q4 2016, closing a stake of 54 shares — an estimated $5K sold.

Herndon Capital Management first reported a position in CAT in Q2 2013 and held it in 9 quarters. The position peaked at $148M in Q3 2014. 1,162 funds tracked by Wall St. Rank hold CAT as of Q4 2016.

Herndon Capital Management reported no remaining Caterpillar position as of Q4 2016 after selling out during the quarter.
Herndon Capital Management sold 54 Caterpillar shares in Q4 2016, an estimated $5K.
Herndon Capital Management first reported a position in Caterpillar in Q2 2013 and held it in 9 quarters.
Herndon Capital Management's Caterpillar position peaked at $148M in Q3 2014.
1,162 funds tracked by Wall St. Rank held Caterpillar as of Q4 2016.

Based on Herndon Capital Management's 13F filing for Q4 2016, filed 2 Feb 2017.