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Caterpillar
CAT

Overview Fund Activity

1,144 hedge funds and large institutions have $40.4B invested in Caterpillar in 2014 Q3 according to their latest regulatory filings, with 50 funds opening new positions, 375 increasing their positions, 511 reducing their positions, and 61 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,144
Holders Change
-25
Holders Change %
-2.14%
% of All Funds
33.22%
Holding in Top 10
20
Holding in Top 10 Change
-12
Holding in Top 10 Change %
-37.5%
% of All Funds
0.58%
New
50
Increased
375
Reduced
511
Closed
61
Calls
$841M
Puts
$2.01B
Net Calls
-$1.16B
Net Calls Change
-$748M

Top Buyers

1
WRF
Waddell & Reed Financial
Kansas
+$226M
2
HCM
Herndon Capital Management
Georgia
+$127M
3
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$95M
4
Vanguard Group
Vanguard Group
Pennsylvania
+$86.8M
5
Wellington Management Group
Wellington Management Group
Massachusetts
+$76.6M

Top Sellers

1
Capital World Investors
Capital World Investors
California
-$734M
2
Fidelity Investments
Fidelity Investments
Massachusetts
-$407M
3
Norges Bank
Norges Bank
Norway
-$247M
4
Goldman Sachs
Goldman Sachs
New York
-$168M
5
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
-$152M
Name Holding Trade Value Shares
Change 		Shares
Change %
RW
451
Rand Wealth
Maryland
$3.05M – – –
AAM
452
AR Asset Management
California
$3.02M – – –
SSWM
453
Smith Salley Wealth Management
North Carolina
$3.01M +$86.5K +874 +3%
RS
454
Robeco Schweiz
Switzerland
$3M -$469K -4,700 -14%
OIA
455
Optimum Investment Advisors
Illinois
$2.99M -$207K -2,081 -6%
EWA
456
Exencial Wealth Advisors
Oklahoma
$2.98M -$38.8K -392 -1%
DG
457
Davidson & Garrard
Virginia
$2.96M -$149K -1,505 -5%
Walleye Trading
458
Walleye Trading
New York
$2.96M +$2.96M +29,874 New
FBNAT
459
FirstMerit Bank N.A. Trustee
Ohio
$2.94M -$24.9K -251 -0.8%
Northwestern Mutual Wealth Management
460
Northwestern Mutual Wealth Management
Wisconsin
$2.92M +$568K +5,729 +24%
GCP
461
GSA Capital Partners
United Kingdom
$2.88M +$2.88M +29,101 New
ONB
462
Old National Bancorp
Indiana
$2.88M +$1.23M +12,387 +74%
CCMINC
463
Cardinal Capital Management Inc (North Carolina)
North Carolina
$2.87M +$68.2K +689 +2%
CAM
464
Columbia Asset Management
Michigan
$2.86M -$38.6K -390 -1%
UAS
465
United Asset Strategies
New York
$2.86M +$1.51M +15,244 +112%
NRS
466
Neville Rodie & Shaw
New York
$2.82M +$113K +1,140 +4%
OPCM
467
Osborne Partners Capital Management
California
$2.79M -$69.3K -700 -2%
FTIOP
468
Fiduciary Trust International of Pennsylvania
Pennsylvania
$2.77M -$90.3K -912 -3%
ST
469
Stifel Trust
Missouri
$2.73M -$92.3K -932 -3%
SIM
470
Sentry Investment Management
Wisconsin
$2.72M -$689K -6,955 -20%
LC
471
Lakeshore Capital
Alabama
$2.72M -$78.1K -789 -3%
MC
472
Moors & Cabot
Massachusetts
$2.71M -$49.6K -500 -2%
SIC
473
Sigma Investment Counselors
Michigan
$2.67M -$15.8K -160 -0.6%
WPP
474
Whalerock Point Partners
Rhode Island
$2.66M -$79.2K -800 -3%
BG
475
Bahl & Gaynor
Ohio
$2.65M +$37.1K +375 +1%
17 18
19
20 21