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Caterpillar
CAT

Name Holding Trade Value Shares
Change 		Change in
Stake
PP
3026
Paloma Partners
Connecticut
– -$5.51M -14,083 Closed
WAM
3027
Weiss Asset Management
Massachusetts
– -$4.93M -12,601 Closed
SCM
3028
Stevens Capital Management
Pennsylvania
– -$4.46M -11,403 Closed
WAM
3029
Wakefield Asset Management
Colorado
– -$4.38M -11,206 Closed
SEC
3030
Seven Eight Capital
New York
– -$3.28M -8,393 Closed
SPS
3031
Susquehanna Portfolio Strategies
Pennsylvania
– -$3.25M -8,300 Closed
CK
3032
Cohen Klingenstein
New York
– -$3.13M -8,000 Closed
OTPPB
3033
Ontario Teachers' Pension Plan Board
Ontario, Canada
– -$2.6M -6,649 Closed
BCM
3034
Bayesian Capital Management
New York
– -$2.41M -6,159 Closed
SIP
3035
Stoneridge Investment Partners
Pennsylvania
– -$2.36M -6,043 Closed
GCM
3036
Graham Capital Management
Connecticut
– -$2.27M -5,800 Closed
LMIM
3037
Lockheed Martin Investment Management
Maryland
– -$2.03M -5,200 Closed
RIM
3038
Redwood Investment Management
Arizona
– -$1.81M -4,635 Closed
IIA
3039
IPG Investment Advisors
California
– -$1.8M -4,603 Closed
OWIM
3040
Old West Investment Management
California
– -$1.74M -4,458 Closed
AIM
3041
Aigen Investment Management
New York
– -$1.58M -4,037 Closed
NEI
3042
Northwest & Ethical Investments
Ontario, Canada
– -$1.44M -3,678 Closed
FIA
3043
FNY Investment Advisers
New York
– -$1.37M -3,500 Closed
DF
3044
Donoghue Forlines
Massachusetts
– -$1.36M -3,481 Closed
APM
3045
Advanced Portfolio Management
New York
– -$1.33M -3,411 Closed
FFO
3046
Fiduciary Family Office
Florida
– -$1.15M -2,952 Closed
QCM
3047
Qsemble Capital Management
New York
– -$1.12M -2,870 Closed
GCM
3048
Gladius Capital Management
Illinois
– -$1.09M -2,781 Closed
EIP
3049
Epoch Investment Partners
New York
– -$1.02M -2,597 Closed
VAM
3050
Verity Asset Management
North Carolina
– -$992K -2,560 Closed
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122
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