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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 %
HighTower Advisors
426
HighTower Advisors
Illinois
$2.9M -$1.23M -14,759 -30%
DG
427
Davidson & Garrard
Virginia
$2.89M +$2.5K +30 +0.1%
Jacobs Levy Equity Management
428
Jacobs Levy Equity Management
New Jersey
$2.88M -$8.85M -106,160 -75%
VNA
429
VNBTrust National Association
Virginia
$2.87M -$48.3K -579 -2%
RA
430
Rational Advisors
New York
$2.87M +$284K +3,400 +11%
CWM
431
Calamos Wealth Management
Illinois
$2.84M +$128K +1,533 +5%
SCM
432
Siphron Capital Management
California
$2.82M -$16.7K -200 -0.6%
ECM
433
Estabrook Capital Management
New York
$2.81M -$470K -5,636 -14%
KCM
434
Kanawha Capital Management
Virginia
$2.81M +$152K +1,825 +6%
WAM
435
Wolverine Asset Management
Illinois
$2.78M -$4.41M -52,846 -61%
HCM
436
Howland Capital Management
Massachusetts
$2.78M +$1.63M +19,590 +143%
SIC
437
Salem Investment Counselors
North Carolina
$2.77M -$5.98M -71,664 -68%
AIP
438
Ameritas Investment Partners
Nebraska
$2.77M +$1.12M +13,416 +68%
GI
439
GLG Inc
New York
$2.77M – – –
PAI
440
Pittenger & Anderson Inc
Nebraska
$2.76M -$290K -3,472 -9%
WSTAM
441
Wilbanks Smith & Thomas Asset Management
Virginia
$2.76M +$117K +1,408 +4%
GIM
442
Gyrus Investment Management
Ontario, Canada
$2.74M -$2.23K -26 -0.1%
CAM
443
Cypress Asset Management
Texas
$2.73M -$1.68M -20,135 -38%
ST
444
Stifel Trust
Missouri
$2.71M – – –
DWA
445
Douglass Winthrop Advisors
New York
$2.69M -$14.6K -175 -0.5%
LRPA
446
L. Roy Papp & Associates
Arizona
$2.69M -$1.42K -17 -0.1%
MIM
447
Montgomery Investment Management
Maryland
$2.69M -$98.4K -1,180 -4%
BPBT
448
Boston Private Bank & Trust
Massachusetts
$2.66M -$2.51M -30,146 -49%
OWD
449
Osborn Williams & Donohoe
Ohio
$2.65M -$262K -3,139 -9%
RW
450
Rand Wealth
Maryland
$2.65M +$73.6K +883 +3%
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