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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 %
Neuberger Berman Group
351
Neuberger Berman Group
New York
$4.34M -$1.53M -18,388 -26%
PSUF
352
People's United Financial
Connecticut
$4.33M -$311K -3,732 -7%
BIM
353
Bridges Investment Management
Nebraska
$4.31M +$129K +1,547 +3%
KIA
354
KCM Investment Advisors
California
$4.3M -$580K -6,957 -12%
PP
355
Palladium Partners
Virginia
$4.28M +$52.7K +632 +1%
CFB
356
Cullen/Frost Bankers
Texas
$4.27M -$112K -1,341 -3%
V
357
Veritable
Delaware
$4.23M +$272K +3,265 +7%
LTFS
358
Ladenburg Thalmann Financial Services
Florida
$4.22M -$271K -3,249 -6%
AIC
359
Argus Investors Counsel
New York
$4.21M -$123K -1,470 -3%
MFS
360
MSI Financial Services
Massachusetts
$4.2M +$1.81M +21,657 +75%
GF
361
Goodman Financial
Texas
$4.18M +$30.4K +365 +0.7%
LCS
362
Levin Capital Strategies
New York
$4.14M +$294K +3,520 +8%
PI
363
Placemark Investments
Illinois
$4.14M +$387K +4,643 +10%
TMAM
364
Tokio Marine Asset Management
Japan
$4.12M -$204K -2,449 -5%
SLI
365
Sumitomo Life Insurance
Japan
$4.08M -$149K -1,789 -4%
Mariner
366
Mariner
Kansas
$4.08M -$176K -2,106 -4%
1IA
367
1834 Investment Advisors
Wisconsin
$4.07M +$126K +1,513 +3%
SAM
368
Silvercrest Asset Management
New York
$4.01M +$1.07M +12,878 +37%
FBB
369
Fulton Breakefield Broenniman
Maryland
$4M +$43.6K +523 +1%
CA
370
Callahan Advisors
Texas
$3.98M +$151K +1,805 +4%
DAM
371
Delta Asset Management
Tennessee
$3.98M +$94.7K +1,135 +2%
SCM
372
Stonebridge Capital Management
California
$3.97M +$323K +3,875 +9%
BBHC
373
Brown Brothers Harriman & Co
New York
$3.96M -$2.7M -32,322 -41%
ANI
374
American National Insurance
Texas
$3.92M – – –
DCM
375
Dupont Capital Management
Delaware
$3.9M +$3.9M +46,822 New
13 14
15
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