Purchases and Sales Made in Q3 2021 in Caterpillar Inc (CAT)
This table provides information about the institutional ownership of Caterpillar Inc (CAT) during Q3 2021. The information is specifically focused on institutions that hold shares of CATERPILLAR INC.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Nov 12, 2021
Q3 2021
|
Capitolis Advisors LLC
New York, NY |
SELL
|
- |
-43.9K- 22.21% |
$8.33M - $9.73M
|
154K
$59.3M
|
|
|
Oct 13, 2021
Q3 2021
|
Adams Asset Advisors, LLC
|
SELL
|
- |
-44.4KClosed |
$8.43M - $9.85M
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Exodus Point Capital Management, LP
New York, NY |
SELL
|
- |
-46.5K- 87.09% |
$8.83M - $10.3M
|
6.89K
$2.66M
|
|
|
Nov 12, 2021
Q3 2021
|
Sei Investments CO
Oaks, PA |
SELL
|
- |
-49.2K- 43.21% |
$9.34M - $10.9M
|
64.7K
$25M
|
|
|
Nov 09, 2021
Q3 2021
|
Jennison Associates LLC
|
SELL
|
- |
-50.8K- 25.0% |
$9.65M - $11.3M
|
152K
$58.8M
|
|
|
Nov 15, 2021
Q3 2021
|
Clark Capital Management Group, Inc.
Philadelphia, PA |
SELL
|
- |
-52.3K- 26.81% |
$9.93M - $11.6M
|
143K
$55.1M
|
|
|
Oct 22, 2021
Q3 2021
|
Spire Wealth Management
|
SELL
|
- |
-54.2K- 73.03% |
$10.3M - $12M
|
20K
$7.72M
|
|
|
Oct 26, 2021
Q3 2021
|
Alpha Cubed Investments, LLC
|
SELL
|
- |
-54.8K- 82.45% |
$10.4M - $12.2M
|
11.7K
$4.5M
|
|
|
Nov 15, 2021
Q3 2021
|
Harris Associates L P
Chicago, IL |
SELL
|
- |
-55.4K- 65.06% |
$10.5M - $12.3M
|
29.7K
$11.5M
|
|
|
Nov 15, 2021
Q3 2021
|
Great West Life Assurance CO
Winnipeg, A2 |
SELL
|
- |
-56.3K- 15.63% |
$10.7M - $12.5M
|
304K
$117M
|
|
|
Nov 10, 2021
Q3 2021
|
O'Shaughnessy Asset Management, LLC
Stamford, CT |
SELL
|
- |
-56.9K- 61.46% |
$10.8M - $12.6M
|
35.7K
$13.8M
|
|
|
Nov 08, 2021
Q3 2021
|
Swiss National Bank
Zurich, V8 |
SELL
|
- |
-57.7K- 2.59% |
$11M - $12.8M
|
2.17M
$836M
|
|
|
Nov 12, 2021
Q3 2021
|
State Of Tennessee, Treasury Department
Nashville, TN |
SELL
|
- |
-61.2K- 21.88% |
$11.6M - $13.6M
|
219K
$84.4M
|
|
|
Nov 15, 2021
Q3 2021
|
Wellington Management Group LLP
Boston, MA |
SELL
|
- |
-62.2K- 1.66% |
$11.8M - $13.8M
|
3.68M
$1.42B
|
|
|
Nov 12, 2021
Q3 2021
|
Wolverine Trading, LLC
Chicago, IL |
SELL
|
- |
-63.3K- 62.9% |
$12M - $14M
|
37.3K
$14.4M
|
|
|
Oct 18, 2021
Q3 2021
|
Polaris Wealth Advisory Group, LLC
|
SELL
|
- |
-65.3K- 97.66% |
$12.4M - $14.5M
|
1.56K
$603K
|
|
|
Nov 12, 2021
Q3 2021
|
Factory Mutual Insurance CO
Waltham, MA |
SELL
|
- |
-68.8K- 19.74% |
$13.1M - $15.3M
|
280K
$108M
|
|
|
Nov 12, 2021
Q3 2021
|
Connor, Clark & Lunn Investment Management Ltd.
|
SELL
|
- |
-70.9K- 53.42% |
$13.5M - $15.7M
|
61.8K
$23.9M
|
|
|
Nov 15, 2021
Q3 2021
|
Nan Shan Life Insurance Co., Ltd.
Taipei City, F5 |
SELL
|
- |
-71.5K- 25.44% |
$13.6M - $15.8M
|
210K
$80.9M
|
|
|
Nov 10, 2021
Q3 2021
|
Alliancebernstein L.P.
New York, NY |
SELL
|
- |
-72.8K- 8.92% |
$13.8M - $16.1M
|
743K
$287M
|
|
|
Nov 15, 2021
Q3 2021
|
Marshall Wace, LLP
London, X0 |
SELL
|
- |
-74.7K- 82.69% |
$14.2M - $16.6M
|
15.6K
$6.03M
|
|
|
Oct 25, 2021
Q3 2021
|
Zweig Di Menna Associates LLC
|
SELL
|
- |
-76.2KClosed |
$14.5M - $16.9M
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Squarepoint Ops LLC
New York, NY |
SELL
|
- |
-77.2K- 32.19% |
$14.7M - $17.1M
|
163K
$62.8M
|
|
|
Nov 12, 2021
Q3 2021
|
Madison Asset Management, LLC
Madison, WI |
SELL
|
- |
-81.1K- 88.3% |
$15.4M - $18M
|
10.7K
$4.15M
|
|
|
Nov 10, 2021
Q3 2021
|
Allianz Asset Management Gmb H
Munich, 2M |
SELL
|
- |
-85.4K- 11.52% |
$16.2M - $18.9M
|
656K
$253M
|
|
|
Nov 03, 2021
Q3 2021
|
Amf Tjanstepension Ab
|
SELL
|
- |
-85.5K- 16.13% |
$16.2M - $19M
|
445K
$172M
|
|
|
Nov 12, 2021
Q3 2021
|
Ray Dalio
Bridgewater Associates, LP | Westport, Ct
|
SELL
|
- |
-86.4KClosed |
$16.4M - $19.2M
|
0
$0
|
|
|
Nov 10, 2021
Q3 2021
|
Jupiter Asset Management LTD
|
SELL
|
- |
-88.8K- 37.72% |
$16.9M - $19.7M
|
147K
$56.6M
|
|
|
Nov 15, 2021
Q3 2021
|
Paloma Partners Management CO
Greenwich, CT |
SELL
|
- |
-91.2KClosed |
$17.3M - $20.2M
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Ubs Asset Management Americas Inc
Chicago, IL |
SELL
|
- |
-91.6K- 2.95% |
$17.4M - $20.3M
|
3.01M
$1.16B
|
|
|
Nov 12, 2021
Q3 2021
|
Peak6 Investments LLC
Chicago, IL |
SELL
|
- |
-93.7K- 60.99% |
$17.8M - $20.8M
|
59.9K
$23.1M
|
|
|
Nov 12, 2021
Q3 2021
|
Credit Suisse Ag
Zurich, V8 |
SELL
|
- |
-94.1K- 8.68% |
$17.9M - $20.9M
|
990K
$382M
|
|
|
Nov 15, 2021
Q3 2021
|
Royal Bank Of Canada
Toronto, A6 |
SELL
|
- |
-94.5K- 3.34% |
$17.9M - $20.9M
|
2.74M
$1.06B
|
|
|
Nov 15, 2021
Q3 2021
|
Steven Cohen
Point72 Asset Management, L.P. | Stamford, Ct
|
SELL
|
- |
-94.6KClosed |
$18M - $21M
|
0
$0
|
|
|
Dec 08, 2021
Q3 2021
|
Moors & Cabot, Inc.
Boston, MA |
SELL
|
- |
-95.5K- 82.6% |
$18.1M - $21.2M
|
20.1K
$7.76M
|
|
|
Nov 15, 2021
Q3 2021
|
Sandbar Asset Management LLP
London, X0 |
SELL
|
- |
-96.3KClosed |
$18.3M - $21.3M
|
0
$0
|
|
|
Dec 01, 2021
Q3 2021
|
Braun Stacey Associates Inc
|
SELL
|
- |
-98.5K- 94.56% |
$18.7M - $21.8M
|
5.66K
$2.18M
|
|
|
Nov 10, 2021
Q3 2021
|
Healthcare Of Ontario Pension Plan Trust Fund
Toronto, A6 |
SELL
|
- |
-101KClosed |
$19.2M - $22.5M
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Eaton Vance Management
Boston, MA |
SELL
|
- |
-109K- 10.48% |
$20.8M - $24.2M
|
934K
$361M
|
|
|
Nov 15, 2021
Q3 2021
|
Walleye Trading LLC
Plymouth, MN |
SELL
|
- |
-112K- 86.75% |
$21.3M - $24.9M
|
17.2K
$6.62M
|
|
|
Nov 12, 2021
Q3 2021
|
Qube Research & Technologies LTD
London, X0 |
SELL
|
- |
-113K- 80.74% |
$21.5M - $25.1M
|
27K
$10.4M
|
|
|
Nov 15, 2021
Q3 2021
|
Interval Partners, LP
New York, NY |
SELL
|
- |
-116K- 74.66% |
$22M - $25.7M
|
39.4K
$15.2M
|
|
|
Nov 10, 2021
Q3 2021
|
Prudential PLC
London, England, X0 |
SELL
|
- |
-117KClosed |
$22.2M - $25.9M
|
0
$0
|
|
|
Nov 12, 2021
Q3 2021
|
Ossiam
Paris, I0 |
SELL
|
- |
-123K- 96.89% |
$23.3M - $27.2M
|
3.94K
$1.52M
|
|
|
Nov 01, 2021
Q3 2021
|
Sg Americas Securities, LLC
|
SELL
|
- |
-126K- 81.31% |
$24M - $28M
|
29K
$11.2M
|
|
|
Nov 15, 2021
Q3 2021
|
Israel Englander
Millennium Management LLC | New York, Ny
|
SELL
|
- |
-127K- 25.26% |
$24.2M - $28.2M
|
377K
$145M
|
|
|
Nov 12, 2021
Q3 2021
|
Main Street Research LLC
Sausalito, CA |
SELL
|
- |
-128K- 94.66% |
$24.2M - $28.3M
|
7.19K
$2.78M
|
|
|
Nov 09, 2021
Q3 2021
|
Nikko Asset Management Americas, Inc.
|
SELL
|
- |
-149K- 72.94% |
$28.3M - $33.1M
|
55.3K
$21.4M
|
|
|
Nov 12, 2021
Q3 2021
|
Telemark Asset Management, LLC
Boston, MA |
SELL
|
- |
-150KClosed |
$28.5M - $33.2M
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Southpoint Capital Advisors LP
New York, NY |
SELL
|
- |
-150KClosed |
$28.5M - $33.2M
|
0
$0
|