UBS O'Connor’s Caterpillar CAT Stock Holding History

UBS O'Connor’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
2025 Q3	–	Sell	-4,200	Closed	-$1.63M	–	322
2025 Q2	$1.63M	Buy	+4,200	New	+$1.4M	0.05%	171
2017 Q4	–	Hold	0	–	–	–	303
2017 Q3	–	Hold	0	–	–	–	358
2017 Q2	–	Sell	-174,000	Closed	-$16.1M	–	398
2017 Q1	$16.1M	Buy	174,000 +18,541	+12%	+$1.76M	0.27%	95
2016 Q4	$14.4M	Buy	+155,459	New	+$14.1M	0.28%	103
2016 Q3	–	Hold	0	–	–	–	426
2016 Q2	–	Hold	0	–	–	–	414
2016 Q1	–	Hold	0	–	–	–	447
2015 Q3	–	Sell	-33,757	Closed	-$2.86M	–	532
2015 Q2	$2.86M	Buy	+33,757	New	+$2.9M	0.05%	303
2015 Q1	–	Sell	-4,000	Closed	-$366K	–	736
2014 Q4	$366K	Buy	+4,000	New	+$389K	0.01%	498
2014 Q2	–	Sell	-8,797	Closed	-$874K	–	449
2014 Q1	$874K	Sell	8,797 -222,170	-96%	-$21M	0.02%	334
2013 Q4	$21M	Sell	230,967 -76,870	-25%	-$6.56M	0.39%	94
2013 Q3	$25.7M	Buy	307,837 +194,269	+171%	+$16.4M	0.54%	60
2013 Q2	$9.37M	Buy	+113,568	New	+$9.66M	0.18%	166

Other funds holding CAT

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

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

BlackRock New York $5.7T AUM 30.48% 1-Year Est. Return

State Farm Mutual Automobile Insurance

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

Geode Capital Management

Geode Capital Management Boston, Massachusetts $1.61T AUM 30.72% 1-Year Est. Return

Fisher Asset Management

Fisher Asset Management Camas, Washington $295B AUM 31.6% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

T. Rowe Price Associates

T. Rowe Price Associates Baltimore, Maryland $865B AUM 30.76% 1-Year Est. Return

Gates Foundation Trust

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

Northern Trust Chicago, Illinois $757B AUM 28.64% 1-Year Est. Return