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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
+$225M
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
+$166M
3
Franklin Resources
Franklin Resources
California
+$111M
4
SG Americas Securities
SG Americas Securities
New York
+$107M
5
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
+$95.3M

Top Sellers

1
State Street
State Street
Massachusetts
-$221M
2
Fidelity Investments
Fidelity Investments
Massachusetts
-$145M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$82.6M
4
HSBC Holdings
HSBC Holdings
United Kingdom
-$73.2M
5
Schroder Investment Management Group
Schroder Investment Management Group
United Kingdom
-$64.4M
Name Holding Trade Value Shares
Change 		Shares
Change %
AF
326
Ally Financial
Michigan
$5M – – –
SONJCPFE
327
State of New Jersey Common Pension Fund E
New Jersey
$5M – – –
JIM
328
Jupiter Investment Management
United Kingdom
$4.97M +$4.97M +59,600 New
GPSPJS
329
General Pension Society PZU Joint Stock
Poland
$4.95M +$4.95M +59,400 New
IA
330
Icon Advisers
Colorado
$4.83M – – –
DC
331
Davenport & Co
Virginia
$4.83M +$141K +1,689 +3%
WTC
332
WhitTier Trust Company
Nevada
$4.82M +$650K +7,789 +16%
EWM
333
Edge Wealth Management
New York
$4.8M +$367K +4,398 +8%
SAM
334
Securian Asset Management
Minnesota
$4.8M -$131K -1,565 -3%
AL
335
Airain Ltd
Guernsey
$4.79M +$4.79M +57,480 New
CIP
336
Chartwell Investment Partners
Pennsylvania
$4.79M +$1.71M +20,450 +55%
SCA
337
SAC Capital Advisors
Connecticut
$4.7M +$3.12M +37,399 +197%
KBC Group
338
KBC Group
Belgium
$4.66M -$1.09M -13,091 -19%
DPIM
339
Duff & Phelps Investment Management
Illinois
$4.66M +$15.8K +190 +0.3%
SNC
340
Stifel Nicolaus & Co
Missouri
$4.6M -$848K -10,163 -16%
VFM
341
Viking Fund Management
North Dakota
$4.59M -$917K -11,000 -17%
IC
342
InterOcean Capital
Illinois
$4.56M +$58.4K +700 +1%
GIM
343
Grassi Investment Management
California
$4.49M +$679K +8,140 +18%
HRIA
344
Haberer Registered Investment Advisor
Ohio
$4.42M -$1.13M -13,526 -20%
PRA
345
Parametric Risk Advisors
Connecticut
$4.42M -$100K -1,203 -2%
HFS
346
HL Financial Services
Kentucky
$4.42M +$737K +8,838 +20%
CA
347
Cullinan Associates
Kentucky
$4.41M +$484K +5,800 +12%
KRS
348
Kentucky Retirement Systems
Kentucky
$4.41M +$4.41M +52,846 New
BSPF
349
British Steel Pension Fund
United Kingdom
$4.39M +$609K +7,301 +16%
SAM
350
Selway Asset Management
$4.35M +$12.5K +150 +0.3%
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