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Caterpillar
CAT

Overview Fund Activity

1,071 hedge funds and large institutions have $33.2B invested in Caterpillar in 2013 Q3 according to their latest regulatory filings, with 82 funds opening new positions, 365 increasing their positions, 484 reducing their positions, and 74 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,071
Holders Change
-2
Holders Change %
-0.19%
% of All Funds
34.74%
Holding in Top 10
22
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+29.41%
% of All Funds
0.71%
New
82
Increased
365
Reduced
484
Closed
74
Calls
$930M
Puts
$1.52B
Net Calls
-$586M
Net Calls Change
+$45M

Top Buyers

1
Capital World Investors
Capital World Investors
California
$1.98B
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$497M
3
Franklin Resources
Franklin Resources
California
$445M
4
SG Americas Securities
SG Americas Securities
New York
$150M
5
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
$195M

Top Sellers

1
State Street
State Street
Massachusetts
$5.68B
2
Fidelity Investments
Fidelity Investments
Massachusetts
$540M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$162M
4
HSBC Holdings
HSBC Holdings
United Kingdom
$135M
5
Schroder Investment Management Group
Schroder Investment Management Group
United Kingdom
$46.8M
Name Holding Trade Value Shares
Change 		Shares
Change %
NB
226
Norinchukin Bank
Japan
$9.38M +$2.6M +31,135 +38%
PWLP
227
Prio Wealth Limited Partnership
Massachusetts
$9.33M +$63.4K +760 +0.7%
CCC
228
Chelsea Counsel Company
California
$9.27M +$1.86M +22,338 +25%
WF
229
Welch & Forbes
Massachusetts
$9.19M -$56K -672 -0.6%
FBA
230
Front Barnett Associates
Illinois
$9.16M +$2.19M +26,250 +31%
SM
231
Stratton Management
Pennsylvania
$9.04M +$1.44M +17,235 +19%
TRSOTSOK
232
Teachers Retirement System of the State of Kentucky
Kentucky
$9.01M -$976K -11,700 -10%
EAM
233
Edge Asset Management
Washington
$8.96M +$4.41M +53,212 +97%
Parallax Volatility Advisers
234
Parallax Volatility Advisers
California
$8.92M -$271K -3,248 -3%
SMDAM
235
Sumitomo Mitsui DS Asset Management
Japan
$8.73M -$632K -7,581 -7%
Robeco Institutional Asset Management
236
Robeco Institutional Asset Management
Netherlands
$8.69M +$18.4K +221 +0.2%
B
237
Baird
Wisconsin
$8.61M +$603K +7,227 +8%
SC
238
Scotia Capital
Ontario, Canada
$8.6M +$1.23M +14,773 +17%
Nomura Asset Management
239
Nomura Asset Management
Japan
$8.52M -$3.17M -38,024 -27%
FCI
240
Financial Counselors Inc
Kansas
$8.48M +$984K +11,793 +13%
GH
241
GAM Holding
Switzerland
$8.42M -$1.84M -22,060 -18%
OC
242
Oppenheimer & Co
New York
$8.39M +$1.01M +12,140 +14%
Janney Montgomery Scott
243
Janney Montgomery Scott
Pennsylvania
$8.37M +$3.85M +46,150 +85%
PA
244
Pinnacle Associates
New York
$8.29M -$8.34K -100 -0.1%
PGFC
245
Peapack-Gladstone Financial Corp
New Jersey
$8.27M +$180K +2,164 +2%
JHIU
246
Janus Henderson Investors US
Colorado
$8.15M -$6.8M -81,600 -45%
BCM
247
Buckhead Capital Management
Georgia
$8.09M +$689K +8,262 +9%
William Blair & Company
248
William Blair & Company
Illinois
$8.04M -$14.5M -173,765 -64%
CIA
249
CCM Investment Advisers
South Carolina
$8.03M +$8.03M +96,321 New
BCM
250
Birmingham Capital Management
Alabama
$7.94M -$15.4K -185 -0.2%
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