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Caterpillar
CAT

Overview Fund Activity

1,144 hedge funds and large institutions have $40.4B invested in Caterpillar in 2014 Q3 according to their latest regulatory filings, with 50 funds opening new positions, 375 increasing their positions, 511 reducing their positions, and 61 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,144
Holders Change
-25
Holders Change %
-2.14%
% of All Funds
33.22%
Holding in Top 10
20
Holding in Top 10 Change
-12
Holding in Top 10 Change %
-37.5%
% of All Funds
0.58%
New
50
Increased
375
Reduced
511
Closed
61
Calls
$841M
Puts
$2.01B
Net Calls
-$1.16B
Net Calls Change
-$748M

Top Buyers

1
WRF
Waddell & Reed Financial
Kansas
+$226M
2
HCM
Herndon Capital Management
Georgia
+$127M
3
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$95M
4
Vanguard Group
Vanguard Group
Pennsylvania
+$86.8M
5
Wellington Management Group
Wellington Management Group
Massachusetts
+$76.6M

Top Sellers

1
Capital World Investors
Capital World Investors
California
-$734M
2
Fidelity Investments
Fidelity Investments
Massachusetts
-$407M
3
Norges Bank
Norges Bank
Norway
-$247M
4
Goldman Sachs
Goldman Sachs
New York
-$168M
5
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
-$152M
Name Holding Trade Value Shares
Change 		Shares
Change %
Brown Advisory
326
Brown Advisory
Maryland
$6.02M -$59.5K -601 -1%
BC
327
Blackhill Capital
New Jersey
$5.94M – – –
GL
328
GLG LLC
New York
$5.94M +$5.94M +60,000 New
FNFDCM
329
Folger Nolan Fleming Douglas Capital Management
District of Columbia
$5.9M -$361K -3,648 -6%
BUB
330
BBVA USA Bancshares
Texas
$5.77M +$7.92K +80 +0.1%
SM
331
Stratton Management
Pennsylvania
$5.77M -$4.86M -49,113 -46%
SBH
332
Segall Bryant & Hamill
Illinois
$5.74M -$43.6K -440 -0.8%
Natixis Advisors
333
Natixis Advisors
Massachusetts
$5.74M -$3.91M -39,489 -41%
CSIC
334
Clifford Swan Investment Counsel
California
$5.72M -$355K -3,588 -6%
NLGIA
335
Nippon Life Global Investors Americas
New York
$5.7M -$1.1M -11,120 -16%
CFG
336
Cambridge Financial Group
Ohio
$5.69M -$93.3K -942 -2%
CL
337
Croft-Leominster
Maryland
$5.64M -$153K -1,541 -3%
NCM
338
Noesis Capital Mangement
Florida
$5.59M -$327K -3,305 -6%
LPC
339
Loeb Partners Corp
New York
$5.57M +$4.87M +49,207 +703%
SIA
340
Sit Investment Associates
Minnesota
$5.56M -$17.9M -180,825 -76%
SAM
341
Securian Asset Management
Minnesota
$5.55M -$8.52K -86 -0.2%
WBC
342
Westpac Banking Corp
Australia
$5.55M +$1.25M +12,602 +29%
SIA
343
SeaBridge Investment Advisors
New Jersey
$5.42M +$296K +2,990 +6%
GLRA
344
Gerald L. Ray & Associates
Texas
$5.4M -$297K -2,997 -5%
GIM
345
Grassi Investment Management
California
$5.28M -$290K -2,925 -5%
DY
346
Dowling & Yahnke
California
$5.23M -$30.9K -312 -0.6%
Daiwa Securities Group
347
Daiwa Securities Group
Japan
$5.21M +$3.36M +30,800 +182%
LTFS
348
Ladenburg Thalmann Financial Services
Florida
$5.17M -$140K -1,411 -3%
PSUF
349
People's United Financial
Connecticut
$5.15M +$269K +2,711 +6%
DAM
350
Delta Asset Management
Tennessee
$5.1M +$31K +313 +0.6%
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