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Caterpillar

1,937 hedge funds and large institutions have $71B invested in Caterpillar in 2021 Q3 according to their latest regulatory filings, with 97 funds opening new positions, 820 increasing their positions, 694 reducing their positions, and 151 closing their positions.

New
Increased
Maintained
Reduced
Closed

18% more repeat investments, than reductions

Existing positions increased: 820 | Existing positions reduced: 694

1.25% less ownership

Funds ownership: 68.88%67.63% (-1.2%)

4% less funds holding

Funds holding: 2,0221,937 (-85)

13% less capital invested

Capital invested by funds: $82B → $71B (-$10.9B)

30% less funds holding in top 10

Funds holding in top 10: 3021 (-9)

36% less first-time investments, than exits

New positions opened: 97 | Existing positions closed: 151

38% less call options, than puts

Call options by funds: $1.87B | Put options by funds: $2.99B

Holders
1,937
Holders Change
-85
Holders Change %
-4.2%
% of All Funds
33.91%
Holding in Top 10
21
Holding in Top 10 Change
-9
Holding in Top 10 Change %
-30%
% of All Funds
0.37%
New
97
Increased
820
Reduced
694
Closed
151
Calls
$1.87B
Puts
$2.99B
Net Calls
-$1.13B
Net Calls Change
-$695M
Name Holding Trade Value Shares
Change
Change in
Stake
TRCT
351
Tower Research Capital (TRC)
New York
$8.89M -$5.4M -25,929 -36%
DC
352
Davenport & Co
Virginia
$8.84M +$689K +3,309 +8%
EAM
353
Erste Asset Management
Austria
$8.83M -$37.9K -182 -0.4%
FFM
354
Fullerton Fund Management
Singapore
$8.82M +$8.77M +42,101 +1,098%
JC
355
Jacobs & Co
California
$8.71M +$1.03M +4,944 +12%
CIBC World Market
356
CIBC World Market
Ontario, Canada
$8.68M +$832K +3,994 +10%
AAIM
357
American Assets Investment Management
California
$8.64M
SSG
358
Summit Securities Group
New York
$8.54M +$7.59M +36,468 +453%
MNBTD
359
Moody National Bank Trust Division
Texas
$8.4M -$14.8K -71 -0.2%
Mariner
360
Mariner
Kansas
$8.33M +$1.26M +6,068 +16%
BHWM
361
Bar Harbor Wealth Management
New Hampshire
$8.27M -$264K -1,266 -3%
GG
362
Greenwood Gearhart
Arkansas
$8.23M +$383K +1,838 +4%
MSRPS
363
Maryland State Retirement & Pension System
Maryland
$8.23M +$61.6K +296 +0.7%
SPC
364
Sigma Planning Corp
Michigan
$8.17M +$316K +1,516 +4%
CANC
365
Culbertson A N & Co
Virginia
$8.16M +$490K +2,355 +6%
FAT
366
First American Trust
California
$8.11M +$360K +1,727 +4%
ANI
367
American National Insurance
Texas
$8.05M -$9.37K -45 -0.1%
AI
368
Atria Investments
North Carolina
$8.03M -$212K -1,017 -2%
SPIA
369
Steward Partners Investment Advisory
New York
$8.02M +$367K +1,764 +4%
NCM
370
Noesis Capital Mangement
Florida
$8M +$205K +986 +2%
TRSOTSOK
371
Teachers Retirement System of the State of Kentucky
Kentucky
$8M
SG
372
Swarthmore Group
Pennsylvania
$7.98M
EDRH
373
Edmond de Rothschild Holding
Switzerland
$7.98M +$131K +627 +2%
AFP
374
Ausdal Financial Partners
Iowa
$7.91M -$17.5K -84 -0.2%
PWLP
375
Prio Wealth Limited Partnership
Massachusetts
$7.91M -$93.1K -447 -1%

CAT Hedge Fund Activity: Q3 2021 in Review

1,937 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in Caterpillar (CAT) for Q3 2021, worth a combined $71B — down 13% from $82B a quarter earlier.

Sellers outnumbered buyers: 151 funds closed out of CAT and 97 opened new positions — a net loss of 54 holders — while 694 trimmed existing stakes and 820 added.

The largest buyer was Two Sigma Advisers, adding an estimated $374M. The largest seller was T. Rowe Price Associates, cutting an estimated $898M.

  • 1,937 institutional investors held Caterpillar (CAT) as of Q3 2021, down from 2,022 in Q2 2021.
  • Funds reported $71B of Caterpillar stock for Q3 2021, down 13% quarter-over-quarter.
  • 97 funds opened new Caterpillar positions in Q3 2021 and 151 closed out, a net change of -54 holders.
  • The largest Caterpillar buyer in Q3 2021 was Two Sigma Advisers, an estimated $374M added.
  • The largest Caterpillar seller in Q3 2021 was T. Rowe Price Associates, an estimated $898M sold.

Based on aggregated 13F filings for Q3 2021.