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Caterpillar
CAT

Name Holding Trade Value Shares
Change 		Change in
Stake
SMH
1576
Sanders Morris Harris
Texas
– -$406K -3,000 Closed
KFC
1577
Klingenstein Fields & Co
New York
– -$426K -2,885 Closed
DT
1578
Diversified Trust
Tennessee
– -$425K -2,877 Closed
VCM
1579
Virtue Capital Management
Tennessee
– -$419K -2,840 Closed
Financial Engines Advisors
1580
Financial Engines Advisors
California
– -$411K -2,781 Closed
DWM
1581
Dorchester Wealth Management
Quebec, Canada
– -$391K -2,650 Closed
LA
1582
Legacy Advisors
Pennsylvania
– -$384K -2,597 Closed
CCM
1583
Crabel Capital Management
California
– -$380K -2,575 Closed
LBD
1584
Landsberg Bennett & Dubbaneh
Florida
– -$378K -2,560 Closed
MF
1585
Magnetar Financial
Illinois
– -$369K -2,498 Closed
BFPW
1586
BOK Financial Private Wealth
Colorado
– -$361K -2,443 Closed
HA
1587
Hamel Associates
New Jersey
– -$354K -2,400 Closed
Renaissance Technologies
1588
Renaissance Technologies
New York
– -$354K -2,400 Closed
AP
1589
Appleton Partners
Massachusetts
– -$345K -2,336 Closed
WR
1590
Watson Rebecca
– -$324K -2,192 Closed
HI
1591
HBK Investments
Texas
– -$321K -2,176 Closed
MWP
1592
MYCIO Wealth Partners
Pennsylvania
– -$321K -2,175 Closed
BP
1593
BBR Partners
New York
– -$309K -2,090 Closed
FFG
1594
Frisch Financial Group
New York
– -$307K -2,081 Closed
DE
1595
Day & Ennis
Georgia
– -$304K -2,058 Closed
MSR
1596
Main Street Research
Connecticut
– -$304K -2,058 Closed
DFA
1597
Delta Financial Advisors
Louisiana
– -$301K -2,035 Closed
ZCM
1598
Zebra Capital Management
Connecticut
– -$290K -1,960 Closed
CVM
1599
Cheviot Value Management
California
– -$289K -1,958 Closed
JA
1600
JOYN Advisors
Georgia
– -$283K -1,917 Closed
62 63
64
65 66