卡特彼勒公司
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionAperio Group, LLC
Latest Disclosed Ownership339,922 shares
Latest Disclosed Value $ 61,873,000
Aperio Group, LLC reports 0.73% decrease in ownership of CAT / Caterpillar Inc.

On February 5, 2021 - Aperio Group, LLC filed a 13F-HR form disclosing ownership of 339,922 shares of Caterpillar Inc. (US:CAT) valued at $61,872,602 USD as of December 31, 2020. The entity filed a previous 13F-HR on November 6, 2020 disclosing 342,420 shares of Caterpillar Inc.. This represents a change in shares of -0.73% during the quarter. The current value of the position is $307,384,666 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2021-02-05 2020-12-31 13F CATERPILLAR INC DEL COM 149123101 339,922 -2,498 -0.73 61,873 21.15 0.1831
2020-11-06 2020-09-30 13F CATERPILLAR INC DEL COM 149123101 342,420 -1,464 -0.43 51,072 17.40 0.1725
2020-08-13 2020-06-30 13F CATERPILLAR INC DEL COM 149123101 343,884 -23,151 -6.31 43,501 2.14 0.1607
2020-05-05 2020-03-31 13F CATERPILLAR INC DEL COM 149123101 367,035 -9,550 -2.54 42,591 -23.42 0.1882
2020-02-13 2019-12-31 13F CATERPILLAR INC DEL COM 149123101 376,585 19,037 5.32 55,614 23.14 0.1998
2019-11-06 2019-09-30 13F CATERPILLAR INC DEL COM 149123101 357,548 -26,140 -6.81 45,162 -13.64 0.1785
2019-07-30 2019-06-30 13F CATERPILLAR INC DEL COM 149123101 383,688 -6,151 -1.58 52,293 -1.00 0.2136
2019-05-13 2019-03-31 13F CATERPILLAR INC DEL COM 149123101 389,839 28,161 7.79 52,820 14.93 0.2279
2019-05-06 2018-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 361,678 29,439 8.86 45,958 -9.29 0.2319
2019-02-14 2018-12-31 13F CATERPILLAR INC DEL COM 149123101 362,470 30,231 46,059
2019-05-06 2018-09-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 332,239 6,472 1.99 50,663 14.63 0.2236
2018-10-17 2018-09-30 13F CATERPILLAR INC COM COMMON 149123101 332,239 6,472 50,663
2019-05-06 2018-06-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 325,767 15,903 5.13 44,197 -3.22 0.2114
2018-07-30 2018-06-30 13F CATERPILLAR INC COM COMMON 149123101 325,767 15,903 44,197
2019-05-01 2018-03-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 309,864 9,958 3.32 45,667 -3.37 0.2272
2018-05-08 2018-03-31 13F CATERPILLAR INC COM COMMON 149123101 309,864 9,958 45,668
2019-05-01 2017-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 299,906 9,165 3.15 47,259 30.34 0.2440
2018-02-02 2017-12-31 13F CATERPILLAR INC COM COMMON 149123101 299,906 9,165 47,259
2019-05-01 2017-09-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 290,741 16,281 5.93 36,259 22.94 0.2048
2017-10-25 2017-09-30 13F CATERPILLAR INC COM COMMON 149123101 290,741 16,281 36,258
2019-04-22 2017-06-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 274,460 25,541 10.26 29,494 27.73 0.1807
2017-07-18 2017-06-30 13F CATERPILLAR INC COM COMMON 149123101 274,460 25,541 29,493
2019-04-22 2017-03-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 248,919 1,119 0.45 23,090 0.47 0.1579
2017-05-05 2017-03-31 13F CATERPILLAR INC COM COMMON 149123101 248,919 1,119 23,090
2019-04-22 2016-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 247,800 -23,384 -8.62 22,981 -4.53 0.1758
2017-02-14 2016-12-31 13F CATERPILLAR INC COM COMMON 149123101 247,800 -23,384 22,981
2019-04-12 2016-09-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 271,184 24,767 10.05 24,072 28.86 0.1743
2016-11-01 2016-09-30 13F CATERPILLAR INC COM COMMON 149123101 271,184 24,767 24,073
2019-04-12 2016-06-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 246,417 17,263 7.53 18,681 6.51 0.1460
2016-08-12 2016-06-30 13F CATERPILLAR INC COM COMMON 149123101 246,417 17,263 18,681
2019-04-12 2016-03-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 229,154 55,542 31.99 17,540 48.66 0.1500
2016-04-28 2016-03-31 13F CATERPILLAR INC COM COMMON 149123101 229,154 55,542 17,539
2016-01-21 2015-12-31 13F CATERPILLAR INC COM COMMON 149123101 173,612 9,469 5.77 11,799 9.98 0.1081
2015-10-19 2015-09-30 13F CATERPILLAR INC COM COMMON 149123101 164,143 -17,731 -9.75 10,728 -30.46 0.1092
2015-07-29 2015-06-30 13F CATERPILLAR INC COM COMMON 149123101 181,874 35,281 24.07 15,427 31.50 0.1593
2015-04-29 2015-03-31 13F CATERPILLAR INC COM COMMON 149123101 146,593 146,593 0.00 11,732 0.1314
2015-01-30 2014-12-31 13F CATERPILLAR INC COM COMMON 149123101 0 -172,675 -100.00 0 -100.00
2014-10-21 2014-09-30 13F CATERPILLAR INC COM COMMON 149123101 172,675 8,735 5.33 17,100 -4.01 0.2311
2014-07-23 2014-06-30 13F CATERPILLAR INC COM COMMON 149123101 163,940 6,609 4.20 17,815 13.95 0.2587
2014-04-25 2014-03-31 13F CATERPILLAR INC COM COMMON 149123101 157,331 15,634 20.07 0.2198
2014-01-30 2013-12-31 13F CATERPILLAR INC COM COMMON 149123101 13,021 19.67 0.2020
2013-10-24 2013-09-30 13F CATERPILLAR INC COM COMMON 149123101 130,462 28,808 28.34 10,881 29.77 0.2099
2013-07-19 2013-06-30 13F CATERPILLAR INC COM COMMON 149123101 101,654 101,654 8,385 0.1991
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.