As of the most recent reporting period, the following institutional investors, funds, and major shareholders have reported short positions of Caterpillar: Hudson Bay Capital Management LP, Man Group plc, LMR Partners LLP, Hudson Bay Capital Management LP, Group One Trading LLC, Cubist Systematic Strategies LLC, BNP Paribas Financial Markets, Balyasny Asset Management L.P., Bank of America Corp DE, Jane Street Group LLC, Volterra Technologies LP, Rokos Capital Management LLP, Squarepoint Ops LLC, Alphadyne Asset Management LP, Dymon Asia Capital Singapore PTE. LTD., Qube Research & Technologies Ltd, Maven Securities LTD, Bank of Nova Scotia, Capital Markets Trading UK LLP, CMT Capital Markets Trading GmbH, Capula Management Ltd, Walleye Capital LLC, Walleye Trading LLC, Lido Advisors LLC, Hsbc Holdings PLC, Capital Fund Management S.A., Pinpoint Asset Management Singapore Pte. Ltd., Eisler Capital Management Ltd., JPMorgan Chase & Co., Citigroup Inc., 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, and Baader Bank Aktiengesellschaft. These positions are disclosed in Form 13F filings with the Securities and Exchange Commission.