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Caterpillar
CAT

Overview Fund Activity

1,139 hedge funds and large institutions have $36.6B invested in Caterpillar in 2013 Q4 according to their latest regulatory filings, with 156 funds opening new positions, 367 increasing their positions, 484 reducing their positions, and 75 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,139
Holders Change
+68
Holders Change %
+6.35%
% of All Funds
33.08%
Holding in Top 10
27
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+22.73%
% of All Funds
0.78%
New
156
Increased
367
Reduced
484
Closed
75
Calls
$1.22B
Puts
$1.77B
Net Calls
-$543M
Net Calls Change
+$42.5M

Top Buyers

1
Capital World Investors
Capital World Investors
California
+$312M
2
Capital Research Global Investors
Capital Research Global Investors
California
+$305M
3
Wellington Management Group
Wellington Management Group
Massachusetts
+$298M
4
Goldman Sachs
Goldman Sachs
New York
+$238M
5
Westfield Capital Management
Westfield Capital Management
Massachusetts
+$133M

Top Sellers

1
Deutsche Bank
Deutsche Bank
Germany
-$167M
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
-$122M
3
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
-$115M
4
State Street
State Street
Massachusetts
-$106M
5
Morgan Stanley
Morgan Stanley
New York
-$87.2M
Name Holding Trade Value Shares
Change 		Shares
Change %
K
451
Kemper
Illinois
$2.82M -$454K -5,000 -14%
DWA
452
Douglass Winthrop Advisors
New York
$2.8M -$137K -1,504 -5%
UF
453
Univest Financial
Pennsylvania
$2.8M +$216K +2,379 +8%
HT
454
HAP Trading
New York
$2.79M -$460K -5,062 -14%
VAM
455
Visium Asset Management
New York
$2.79M +$2.4M +26,445 +617%
LFR
456
Lehman Financial Resources
Pennsylvania
$2.78M -$27.2K -300 -1%
AAM
457
AR Asset Management
California
$2.77M – – –
HCM
458
Hillman Capital Management
Maryland
$2.76M +$2.76M +30,441 New
ACM
459
Alpha Capital Management
Texas
$2.76M +$97.1K +1,069 +4%
MWNA
460
Marshall Wace North America
New York
$2.7M +$1.89M +20,799 +232%
SWM
461
Segment Wealth Management
Texas
$2.7M +$89.2K +982 +3%
KFS
462
KMS Financial Services
Washington
$2.69M +$1.81M +19,970 +208%
Bessemer Group
463
Bessemer Group
New Jersey
$2.68M +$1.47M +16,214 +122%
GHA
464
GW Henssler & Associates
Georgia
$2.67M +$39.2K +431 +1%
OPCM
465
Osborne Partners Capital Management
California
$2.65M – – –
CCMINC
466
Cardinal Capital Management Inc (North Carolina)
North Carolina
$2.65M +$37.9K +417 +1%
OIA
467
Optimum Investment Advisors
Illinois
$2.63M +$34.1K +376 +1%
OWD
468
Osborn Williams & Donohoe
Ohio
$2.63M -$254K -2,795 -9%
AIP
469
Ameritas Investment Partners
Nebraska
$2.61M -$410K -4,518 -14%
LI
470
Longer Investments
Arkansas
$2.61M +$2.61M +28,715 New
SIC
471
Sigma Investment Counselors
Michigan
$2.61M +$52.7K +580 +2%
PA
472
Profund Advisors
Maryland
$2.6M +$298K +3,278 +13%
LC
473
Lakeshore Capital
Alabama
$2.58M -$88.2K -971 -3%
NRS
474
Neville Rodie & Shaw
New York
$2.57M -$4.54K -50 -0.2%
Renaissance Technologies
475
Renaissance Technologies
New York
$2.55M +$2.55M +28,100 New
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