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Caterpillar
CAT

Overview Fund Activity

1,139 hedge funds and large institutions have $36.6B invested in Caterpillar in 2013 Q4 according to their latest regulatory filings, with 156 funds opening new positions, 367 increasing their positions, 484 reducing their positions, and 75 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,139
Holders Change
+68
Holders Change %
+6.35%
% of All Funds
33.08%
Holding in Top 10
27
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+22.73%
% of All Funds
0.78%
New
156
Increased
367
Reduced
484
Closed
75
Calls
$1.22B
Puts
$1.77B
Net Calls
-$543M
Net Calls Change
+$42.5M

Top Buyers

1
Capital World Investors
Capital World Investors
California
+$312M
2
Capital Research Global Investors
Capital Research Global Investors
California
+$305M
3
Wellington Management Group
Wellington Management Group
Massachusetts
+$298M
4
Goldman Sachs
Goldman Sachs
New York
+$238M
5
Westfield Capital Management
Westfield Capital Management
Massachusetts
+$133M

Top Sellers

1
Deutsche Bank
Deutsche Bank
Germany
-$167M
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
-$122M
3
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
-$115M
4
State Street
State Street
Massachusetts
-$106M
5
Morgan Stanley
Morgan Stanley
New York
-$87.2M
Name Holding Trade Value Shares
Change 		Shares
Change %
MSU
226
Mizuho Securities USA
New York
$10.2M -$3.55M -39,133 -26%
First Trust Advisors
227
First Trust Advisors
Illinois
$10.2M +$3.01M +33,163 +42%
NB
228
Norinchukin Bank
Japan
$10.2M -$21.8K -240 -0.2%
OC
229
Oppenheimer & Co
New York
$10.2M +$1.02M +11,230 +11%
SAM
230
Shell Asset Management
Netherlands
$10.2M -$4.55M -50,064 -31%
Nordea Investment Management
231
Nordea Investment Management
Sweden
$10.1M -$333K -3,665 -3%
State of Tennessee, Department of Treasury
232
State of Tennessee, Department of Treasury
Tennessee
$10M -$445K -4,900 -4%
QIM
233
Quantitative Investment Management
Virginia
$9.94M +$9.94M +109,500 New
SM
234
Stratton Management
Pennsylvania
$9.9M +$57.8K +636 +0.6%
WF
235
Welch & Forbes
Massachusetts
$9.87M -$131K -1,438 -1%
OPERF
236
Oregon Public Employees Retirement Fund
Oregon
$9.87M +$2M +22,000 +25%
CIA
237
CCM Investment Advisers
South Carolina
$9.68M +$930K +10,245 +11%
Janney Montgomery Scott
238
Janney Montgomery Scott
Pennsylvania
$9.66M +$546K +6,016 +6%
KBC Group
239
KBC Group
Belgium
$9.64M +$4.57M +50,287 +90%
Asset Management One
240
Asset Management One
Japan
$9.63M -$1.22M -13,483 -11%
WM
241
WCG Management
New York
$9.44M +$9.44M +104,000 New
TRSOTSOK
242
Teachers Retirement System of the State of Kentucky
Kentucky
$9.42M -$390K -4,300 -4%
PGFC
243
Peapack-Gladstone Financial Corp
New Jersey
$9.39M +$387K +4,266 +4%
ADEF
244
Adams Diversified Equity Fund
Maryland
$9.26M -$1.63M -18,000 -15%
HighTower Advisors
245
HighTower Advisors
Illinois
$9.11M +$5.96M +65,583 +189%
Macquarie Group
246
Macquarie Group
Australia
$9.06M -$15.6M -171,998 -63%
WAM
247
World Asset Management
Michigan
$9.05M -$1.44M -15,818 -14%
GH
248
GAM Holding
Switzerland
$9.04M -$132K -1,450 -1%
PA
249
Pinnacle Associates
New York
$9.02M -$3.27K -36 -0%
Millennium Management
250
Millennium Management
New York
$9.02M +$9.02M +99,277 New
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