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Caterpillar

1,058 hedge funds and large institutions have $25.9B invested in Caterpillar in 2015 Q3 according to their latest regulatory filings, with 68 funds opening new positions, 400 increasing their positions, 440 reducing their positions, and 126 closing their positions.

New
Increased
Maintained
Reduced
Closed

0.64% more ownership

Funds ownership: 65.79%66.43% (+0.64%)

9% less repeat investments, than reductions

Existing positions increased: 400 | Existing positions reduced: 440

6% less funds holding

Funds holding: 1,1281,058 (-70)

22% less capital invested

Capital invested by funds: $33.5B → $25.9B (-$7.51B)

46% less first-time investments, than exits

New positions opened: 68 | Existing positions closed: 126

46% less call options, than puts

Call options by funds: $931M | Put options by funds: $1.73B

67% less funds holding in top 10

Funds holding in top 10: 124 (-8)

Holders
1,058
Holders Change
-70
Holders Change %
-6.21%
% of All Funds
29.54%
Holding in Top 10
4
Holding in Top 10 Change
-8
Holding in Top 10 Change %
-66.67%
% of All Funds
0.11%
New
68
Increased
400
Reduced
440
Closed
126
Calls
$931M
Puts
$1.73B
Net Calls
-$803M
Net Calls Change
-$202M
Name Holding Trade Value Shares
Change
Change in
Stake
Goldman Sachs
26
Goldman Sachs
New York
$152M +$68.4M +894,507 +63%
UBS AM
27
UBS AM
Illinois
$149M -$15.5M -202,557 -8%
Dimensional Fund Advisors
28
Dimensional Fund Advisors
Texas
$144M +$73.6M +962,236 +78%
Charles Schwab
29
Charles Schwab
California
$136M +$1.62M +21,155 +1%
PP
30
Prudential plc
United Kingdom
$133M +$25.4M +331,700 +19%
New York State Common Retirement Fund
31
New York State Common Retirement Fund
New York
$118M +$5.84M +76,381 +4%
Barclays
32
Barclays
United Kingdom
$116M +$59.8M +781,513 +78%
Massachusetts Financial Services
33
Massachusetts Financial Services
Massachusetts
$115M +$124M +1,617,257 +1,174%
California Public Employees Retirement System
34
California Public Employees Retirement System
California
$114M -$3.33M -43,600 -2%
Fidelity Investments
35
Fidelity Investments
Massachusetts
$112M -$60M -784,045 -31%
CS
36
Credit Suisse
Switzerland
$111M -$102M -1,333,149 -44%
Sumitomo Mitsui Trust Group
37
Sumitomo Mitsui Trust Group
Japan
$109M +$7.19M +94,037 +6%
APG Asset Management
38
APG Asset Management
Netherlands
$101M +$2.73M +35,714 +2%
T. Rowe Price Associates
39
T. Rowe Price Associates
Maryland
$91.5M +$1.56M +20,410 +1%
BlackRock
40
BlackRock
New York
$91M +$5.99M +78,258 +6%
BGIM
41
Brandywine Global Investment Management
Pennsylvania
$79.2M +$30.6M +400,034 +49%
TCIM
42
TIAA CREF Investment Management
New York
$77.8M -$46.2M -603,752 -34%
BIM
43
BlackRock Investment Management
Delaware
$76.8M +$3.06M +39,980 +4%
Credit Agricole
44
Credit Agricole
France
$74.9M -$8.6M -112,475 -9%
Mitsubishi UFJ Trust & Banking
45
Mitsubishi UFJ Trust & Banking
Japan
$74.5M +$1.42M +18,565 +2%
California State Teachers Retirement System (CalSTRS)
46
California State Teachers Retirement System (CalSTRS)
California
$73.8M +$2.09M +27,360 +2%
AllianceBernstein
47
AllianceBernstein
Tennessee
$72.8M -$19.7M -256,986 -19%
PPA
48
Parametric Portfolio Associates
Washington
$72.4M +$7.99M +104,482 +10%
New York State Teachers Retirement System (NYSTRS)
49
New York State Teachers Retirement System (NYSTRS)
New York
$70.6M -$558K -7,296 -0.7%
Prudential Financial
50
Prudential Financial
New Jersey
$68.8M -$12.9M -168,600 -14%

CAT Hedge Fund Activity: Q3 2015 in Review

1,058 of the 3,582 institutional investors tracked by Wall St. Rank reported a position in Caterpillar (CAT) for Q3 2015, worth a combined $25.9B — down 22% from $33.5B a quarter earlier.

Sellers outnumbered buyers: 126 funds closed out of CAT and 68 opened new positions — a net loss of 58 holders — while 440 trimmed existing stakes and 400 added.

The largest buyer was Capital Research Global Investors, adding an estimated $541M. The largest seller was Waddell & Reed Financial, cutting an estimated $499M.

  • 1,058 institutional investors held Caterpillar (CAT) as of Q3 2015, down from 1,128 in Q2 2015.
  • Funds reported $25.9B of Caterpillar stock for Q3 2015, down 22% quarter-over-quarter.
  • 68 funds opened new Caterpillar positions in Q3 2015 and 126 closed out, a net change of -58 holders.
  • The largest Caterpillar buyer in Q3 2015 was Capital Research Global Investors, an estimated $541M added.
  • The largest Caterpillar seller in Q3 2015 was Waddell & Reed Financial, an estimated $499M sold.

Based on aggregated 13F filings for Q3 2015.