Caterpillar Inc.
US ˙ NYSE ˙ US1491231015

SecurityCAT / Caterpillar Inc.
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership307,400 shares
Latest Disclosed Value $ 38,336,000
Commonwealth Equity Services, Inc reports 2.66% increase in ownership of CAT / Caterpillar Inc.

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 307,400 shares of Caterpillar Inc. (US:CAT) valued at $38,335,854 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 299,425 shares of Caterpillar Inc.. This represents a change in shares of 2.66% during the quarter. The current value of the position is $277,975,672 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)
2018-02-16 2017-09-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 307,400 7,975 2.66 38,336 19.14 0.2293
2017-11-07 2017-09-30 13F CATERPILLAR INC DEL COM 149123101 307,399 7,975 38,335
2018-02-16 2017-06-30 13F/A-1 CATERPILLAR INC DEL COM 149123101 299,425 9,018 3.11 32,176 19.44 0.2044
2017-08-11 2017-06-30 13F CATERPILLAR INC DEL COM 149123101 299,424 9,017 32,176
2018-02-16 2017-03-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 290,407 4,764 1.67 26,938 1.69 0.1804
2017-05-15 2017-03-31 13F CATERPILLAR INC DEL COM 149123101 290,407 4,764 26,938
2018-02-16 2016-12-31 13F/A-1 CATERPILLAR INC DEL COM 149123101 285,643 34,743 13.85 26,491 18.94 0.1957
2017-02-01 2016-12-31 13F CATERPILLAR INC DEL COM 149123101 285,643 34,743 26,491
2016-10-25 2016-09-30 13F CATERPILLAR INC DEL COM 149123101 250,900 -227 -0.09 22,272 16.99 0.1767
2016-08-04 2016-06-30 13F CATERPILLAR INC DEL COM 149123101 251,127 11,892 4.97 19,038 3.97 0.1605
2016-04-27 2016-03-31 13F CATERPILLAR INC DEL COM 149123101 239,235 7,884 3.41 18,311 16.46 0.1632
2016-01-19 2015-12-31 13F CATERPILLAR INC DEL COM 149123101 231,351 1,363 0.59 15,723 4.60 0.1489
2015-10-27 2015-09-30 13F CATERPILLAR INC DEL COM 149123101 229,988 9,848 4.47 15,032 -19.49 0.1582
2015-07-28 2015-06-30 13F CATERPILLAR INC DEL COM 149123101 220,140 11,976 5.75 18,672 12.08 0.1856
2015-04-28 2015-03-31 13F CATERPILLAR INC DEL COM 149123101 208,164 19,276 10.20 16,659 -3.64 0.1729
2015-01-13 2014-12-31 13F CATERPILLAR INC DEL COM 149123101 188,888 19,157 11.29 17,289 2.86 0.1938
2014-10-17 2014-09-30 13F CATERPILLAR INC DEL COM 149123101 169,731 -15,566 -8.40 16,808 -16.53 0.2043
2014-07-23 2014-06-30 13F CATERPILLAR INC DEL COM 149123101 185,297 -14,164 -7.10 20,136 1.59 0.2451
2014-05-07 2014-03-31 13F CATERPILLAR INC DEL COM 149123101 199,461 1,319 0.67 19,820 10.15 0.2738
2014-02-11 2013-12-31 13F CATERPILLAR INC DEL COM 149123101 198,142 12,964 7.00 17,993 16.50 0.2613
2013-11-04 2013-09-30 13F CATERPILLAR INC DEL COM 149123101 185,178 3,989 2.20 15,444 3.33 0.2508
2013-07-29 2013-06-30 13F CATERPILLAR INC DEL COM 149123101 181,189 181,189 14,946 0.2637
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.