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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 %
FAAS
251
First Allied Advisory Services
California
$7.92M +$3.67M +44,305 +86%
SMI
252
Shelter Mutual Insurance
Missouri
$7.87M – – –
CTC
253
Central Trust Company
Missouri
$7.81M -$905K -10,856 -10%
MAM
254
Mastrapasqua Asset Management
Tennessee
$7.75M +$70.8K +849 +0.9%
MWAC
255
Mariner Wealth Advisors (Cincinnati)
Ohio
$7.64M +$445K +5,334 +6%
SBH
256
Segall Bryant & Hamill
Illinois
$7.51M -$616K -7,389 -8%
BB
257
Busey Bank
Illinois
$7.45M +$147K +1,768 +2%
MOACM
258
Mutual of America Capital Management
New York
$7.44M +$28.9K +347 +0.4%
SIRP
259
Shelter Insurance Retirement Plan
Missouri
$7.44M – – –
MA
260
MUFG Americas
New York
$7.26M +$781K +9,360 +12%
HAM
261
Highstreet Asset Management
Ontario, Canada
$7.23M +$5.57M +66,800 +336%
OPERF
262
Oregon Public Employees Retirement Fund
Oregon
$7.22M +$132K +1,580 +2%
DADC
263
D.A. Davidson & Co
Montana
$7.12M +$12K +144 +0.2%
SIPS
264
Shelter Insurance Profit Sharing
Missouri
$6.97M – – –
VCM
265
Vigilant Capital Management
Maine
$6.9M +$72.1K +865 +1%
M&T Bank
266
M&T Bank
New York
$6.88M -$389K -4,661 -5%
DILH
267
Dai-ichi Life Holdings
Japan
$6.87M -$276K -3,311 -4%
FWCM
268
Ferguson Wellman Capital Management
Oregon
$6.86M +$2.79M +33,463 +69%
CL
269
Croft-Leominster
Maryland
$6.78M -$1.73M -20,781 -20%
ERSOT
270
Employees Retirement System of Texas
Texas
$6.75M -$8.75M -105,000 -56%
LDB
271
Lee, Danner & Bass
Tennessee
$6.72M +$41.6K +499 +0.6%
WCMN
272
Westchester Capital Management (Nebraska)
Nebraska
$6.65M -$42.5K -510 -0.6%
First Trust Advisors
273
First Trust Advisors
Illinois
$6.61M -$1.57M -18,870 -19%
BCM
274
Brown Capital Management
Maryland
$6.6M -$237K -2,846 -3%
DP
275
Dearborn Partners
Illinois
$6.6M -$32.1K -385 -0.5%
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