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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 %
FAAM
451
First Allied Asset Management
California
$2.65M +$2.65M +32,442 New
SF
452
Synovus Financial
Georgia
$2.62M -$1.37M -16,375 -34%
WSA
453
Willow Street Advisors
Florida
$2.62M +$523K +6,275 +25%
TCOV
454
Trust Company of Vermont
Vermont
$2.62M +$486K +5,829 +23%
FTIOP
455
Fiduciary Trust International of Pennsylvania
Pennsylvania
$2.6M -$68.4K -820 -3%
LFR
456
Lehman Financial Resources
Pennsylvania
$2.58M +$83.4K +1,000 +3%
EWM
457
Endurance Wealth Management
Rhode Island
$2.58M +$225K +2,698 +10%
AAM
458
AR Asset Management
California
$2.54M – – –
EWM
459
Evercore Wealth Management
New York
$2.47M -$396K -4,740 -14%
RCM
460
Riverhead Capital Management
Delaware
$2.46M – – –
AP
461
Appleton Partners
Massachusetts
$2.45M -$4.92M -59,037 -67%
LC
462
Lakeshore Capital
Alabama
$2.45M +$28.9K +346 +1%
ACM
463
Alpha Capital Management
Texas
$2.44M +$39.7K +476 +2%
OPCM
464
Osborne Partners Capital Management
California
$2.44M -$117K -1,400 -5%
BG
465
Bahl & Gaynor
Ohio
$2.43M -$3.5K -42 -0.1%
GHA
466
GW Henssler & Associates
Georgia
$2.41M +$157K +1,886 +7%
SWM
467
Segment Wealth Management
Texas
$2.4M +$1.28M +15,311 +114%
CCMINC
468
Cardinal Capital Management Inc (North Carolina)
North Carolina
$2.39M +$39.1K +469 +2%
SGDR
469
SPX Gestao de Recursos
Brazil
$2.39M +$2.39M +28,700 New
OIA
470
Optimum Investment Advisors
Illinois
$2.39M +$2.39M +28,602 New
NA
471
Navellier & Associates
Nevada
$2.37M +$83.4K +1,000 +4%
UF
472
Univest Financial
Pennsylvania
$2.37M +$11.9K +143 +0.5%
NRS
473
Neville Rodie & Shaw
New York
$2.37M -$28.8K -345 -1%
SIC
474
Sigma Investment Counselors
Michigan
$2.35M +$126K +1,511 +6%
DVM
475
Dreman Value Management
Florida
$2.34M +$2.34M +28,103 New
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