As of the most recent reporting period, the following institutional investors, funds, and major shareholders have reported short positions of Caterpillar: Cetera Advisor Networks LLC, Cetera Investment Advisers, Walleye Trading LLC, Vista Investment Partners LLC, CMT Capital Markets Trading GmbH, Interval Partners LP, BlueCrest Capital Management Ltd, Whitebox Advisors LLC, Capital Markets Trading UK LLP, Torno Capital LLC, PEAK6 Investments LLC, Sheaff Brock Investment Advisors LLC, HAP Trading LLC, Twin Tree Management LP, Picton Mahoney Asset Management, XR Securities LLC, SG Americas Securities LLC, BW Gestao de Investimentos Ltda., BNP Paribas Financial Markets, Concourse Financial Group Securities Inc., Sequoia Financial Advisors LLC, SpiderRock Advisors LLC, XY Capital Ltd, Caas Capital Management LP, Oak Hill Wealth Advisors LLC, Curated Wealth Partners LLC, and Nomura Holdings Inc.. These positions are disclosed in Form 13F filings with the Securities and Exchange Commission.