As of the most recent reporting period, the following institutional investors, funds, and major shareholders have reported short positions of Caterpillar: SG Americas Securities LLC, Credit Industriel ET Commercial, Savant Capital LLC, Wolverine Asset Management LLC, Arkadios Wealth Advisors, Portman Square Capital LLP, Allianz Asset Management GmbH, Twin Tree Management LP, Credit Industriel ET Commercial, CenterStar Asset Management LLC, Baader Bank Aktiengesellschaft, Quaker Wealth Management LLC, Yaupon Capital Management LP, CTC LLC, Goldman Sachs Group Inc., Parallax Volatility Advisers L.P., Millennium Management LLC, CMT Capital Markets Trading GmbH, Capital Markets Trading UK LLP, Cubist Systematic Strategies LLC, Royal Bank of Canada, Caption Management LLC, Twin Tree Management LP, Susquehanna International Group LLP, BNP Paribas Financial Markets, Eisler Capital Management Ltd., PEAK6 LLC, Jane Street Group LLC, Walleye Trading LLC, Walleye Capital LLC, Groupe la Francaise, Capital Fund Management S.A., Hsbc Holdings PLC, and Maven Securities LTD. These positions are disclosed in Form 13F filings with the Securities and Exchange Commission.