Neuberger Berman Canada’s Caterpillar CAT Stock Holding History

Neuberger Berman Canada’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	-12,572	Closed	-$1.12M	–	266
2016 Q3	$1.12M	Buy	12,572 +672	+6%	+$55K	0.34%	67
2016 Q2	$902K	Buy	11,900 +4,241	+55%	+$318K	0.29%	95
2016 Q1	$586K	Buy	+7,659	New	+$514K	0.22%	134
2015 Q2	–	Sell	-18,818	Closed	-$1.51M	–	178
2015 Q1	$1.51M	Sell	18,818 -4,697	-20%	-$390K	0.4%	85
2014 Q4	$2.15M	Sell	23,515 -1,825	-7%	-$178K	0.34%	80
2014 Q3	$2.51M	Buy	25,340 +8,740	+53%	+$927K	0.39%	94
2014 Q2	$1.8M	Sell	16,600 -600	-3%	-$63K	0.47%	28
2014 Q1	$1.71M	Sell	17,200 -14,500	-46%	-$1.37M	0.39%	16
2013 Q4	$2.88M	Buy	31,700 +9,150	+41%	+$781K	0.68%	17
2013 Q3	$1.88M	Buy	+22,550	New	+$1.91M	0.56%	32

Other funds holding CAT

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

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

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

Capital World Investors Los Angeles, California $846B AUM 46.74% 1-Year Est. Return

Capital Research Global Investors Los Angeles, California $717B AUM 35.42% 1-Year Est. Return

Fidelity Investments Boston, Massachusetts $2.3T AUM 54.33% 1-Year Est. Return

BIT

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

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

BFA

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

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

Neuberger Berman Canada's CAT Position: Q4 2016 in Review

Neuberger Berman Canada sold out of Caterpillar (CAT) in Q4 2016, closing a stake of 12,572 shares — an estimated $1.12M sold.

Neuberger Berman Canada first reported a position in CAT in Q3 2013 and held it in 10 quarters. The position peaked at $2.88M in Q4 2013. 1,162 funds tracked by Wall St. Rank hold CAT as of Q4 2016.

Neuberger Berman Canada reported no remaining Caterpillar position as of Q4 2016 after selling out during the quarter.
Neuberger Berman Canada sold 12,572 Caterpillar shares in Q4 2016, an estimated $1.12M.
Neuberger Berman Canada first reported a position in Caterpillar in Q3 2013 and held it in 10 quarters.
Neuberger Berman Canada's Caterpillar position peaked at $2.88M in Q4 2013.
1,162 funds tracked by Wall St. Rank held Caterpillar as of Q4 2016.

Based on Neuberger Berman Canada's 13F filing for Q4 2016, filed 20 Jan 2017.