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Caterpillar
CAT

Name Holding Trade Value Shares
Change 		Change in
Stake
EMG
1226
Ellington Management Group
Connecticut
– -$473K -5,100 Closed
TCM
1227
TVR Capital Management
Connecticut
– -$490K -4,820 Closed
CANY
1228
Caxton Associates (New York)
New York
– -$417K -4,500 Closed
QC
1229
QCM Cayman
Texas
– -$392K -4,227 Closed
FPF
1230
FNY Partners Fund
New York
– -$296K -3,200 Closed
B
1231
Bellecapital
Switzerland
– -$287K -3,093 Closed
FAT
1232
First American Trust
California
– -$274K -2,949 Closed
RCG
1233
Ruane, Cunniff & Goldfarb
New York
– -$271K -2,918 Closed
SCA
1234
Secor Capital Advisors
New York
– -$218K -2,145 Closed
ACS
1235
Archford Capital Strategies
Illinois
– -$157K -1,692 Closed
HCA
1236
Harbour Capital Advisors
Virginia
– -$107K -1,150 Closed
AWM
1237
AllSquare Wealth Management
New York
– -$73K -785 Closed
SMFG
1238
Sumitomo Mitsui Financial Group
Japan
– -$68K -730 Closed
AA
1239
Apriem Advisors
California
– -$50K -537 Closed
FPS
1240
Fieldpoint Private Securities
Connecticut
– -$46K -500 Closed
OP
1241
Oldfield Partners
United Kingdom
– -$38K -500 Closed
CYG
1242
Clean Yield Group
Vermont
– -$44K -470 Closed
BIG
1243
Bellwether Investment Group
Tennessee
– -$20K -211 Closed
MUS
1244
Mitsubishi UFJ Securities
Japan
– -$14K -150 Closed
WP
1245
WealthPLAN Partners
Nebraska
– -$13.6K -144 Closed
GWS
1246
Glassman Wealth Services
Virginia
– -$12K -125 Closed
BKA
1247
Brick & Kyle Associates
Pennsylvania
– -$9K -100 Closed
FMA
1248
FNY Managed Accounts
New York
– -$9K -100 Closed
WAM
1249
Watermark Asset Management
California
– -$6K -70 Closed
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