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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 %
WTNA
401
Wilmington Trust National Association
Delaware
$3.32M +$76K +911 +2%
WTB
402
Washington Trust Bank
Washington
$3.29M +$183K +2,196 +6%
BOTW
403
Bank of the West
California
$3.27M -$254K -3,051 -7%
LMGAM
404
Liberty Mutual Group Asset Management
Massachusetts
$3.2M +$584K +7,004 +22%
APFBOT
405
Amica Pension Fund Board of Trustees
Rhode Island
$3.1M – – –
SC
406
Saybrook Capital
North Carolina
$3.08M +$244K +2,930 +9%
SAMNY
407
Samsung Asset Management (New York)
New York
$3.07M +$1.44M +17,300 +89%
VFS
408
VSR Financial Services
Kansas
$3.07M -$115K -1,380 -4%
NIA
409
Northstar Investment Advisors
Colorado
$3.05M +$99K +1,187 +3%
EWA
410
Exencial Wealth Advisors
Oklahoma
$3.03M -$165K -1,958 -5%
MCM
411
Murphy Capital Management
New Jersey
$3.02M -$917K -11,000 -23%
SCM
412
Shelton Capital Management
Colorado
$3.02M -$33.3K -400 -1%
IIM
413
Ipswich Investment Management
Massachusetts
$3.01M -$1.54M -18,451 -34%
K
414
Kemper
Illinois
$3M – – –
WHG
415
Westwood Holdings Group
Texas
$2.99M +$95K +1,139 +3%
GCP
416
GSA Capital Partners
United Kingdom
$2.99M +$582K +6,977 +24%
PCM
417
Palouse Capital Management
Washington
$2.99M -$54.6K -655 -2%
HT
418
HAP Trading
New York
$2.98M +$2.98M +35,785 New
CC
419
Cannell & Co
New York
$2.98M -$4.17K -50 -0.1%
DC
420
Deere & Company
Illinois
$2.96M -$303K -3,630 -9%
RC
421
RBO & Co
California
$2.95M – – –
CWM
422
Cabot Wealth Management
Massachusetts
$2.92M +$2.14M +25,720 +276%
ICM
423
Ionic Capital Management
New York
$2.91M -$3.13M -37,502 -52%
WC
424
Whitney & Co
New York
$2.91M – – –
SFS
425
Strategic Financial Services
New York
$2.9M -$39.2K -470 -1%
15 16
17
18 19