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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 %
STC
476
SEI Trust Company
Pennsylvania
$2.34M +$1.56M +18,764 +202%
AQR Capital Management
477
AQR Capital Management
Connecticut
$2.33M +$2.33M +27,948 New
CFM
478
Country Fund Management
Illinois
$2.29M – – –
PIP
479
Perennial Investment Partners
Australia
$2.27M -$1.1M -13,247 -33%
AF
480
Arrow Financial
New York
$2.26M +$7.09K +85 +0.3%
BC
481
BMI Capital
New York
$2.25M – – –
GCA
482
Guardian Capital Advisors
Ontario, Canada
$2.24M +$45.1K +535 +2%
PIM
483
Penobscot Investment Management
Massachusetts
$2.22M -$31.7K -380 -1%
CD
484
Carl Domino
Florida
$2.21M -$50.7K -608 -2%
TWI
485
Thomas White International
Illinois
$2.2M -$158K -1,890 -7%
FBNAT
486
FirstMerit Bank N.A. Trustee
Ohio
$2.17M -$41.7K -500 -2%
ICOA
487
Investment Centers of America
North Dakota
$2.17M +$502K +6,008 +30%
JC
488
Jacobs & Co
California
$2.15M +$4.17K +50 +0.2%
LIM
489
Leavell Investment Management
Alabama
$2.15M -$863K -10,350 -29%
CICI
490
Capital Investment Counsel Inc
North Carolina
$2.14M +$360K +4,315 +20%
Daiwa Securities Group
491
Daiwa Securities Group
Japan
$2.12M – – –
PA
492
Profund Advisors
Maryland
$2.11M -$146K -1,750 -6%
IMOV
493
Investment Management of Virginia
Virginia
$2.11M +$12.5K +150 +0.6%
PI
494
Putnam Investments
Massachusetts
$2.08M -$4.92K -59 -0.2%
VAS
495
Valicenti Advisory Services
New York
$2.08M -$232K -2,781 -10%
HFM
496
Hartford Financial Management
Connecticut
$2.07M -$16.2K -194 -0.8%
FMWA
497
Forvis Mazars Wealth Advisors
Missouri
$2.07M +$108K +1,305 +6%
TSWM
498
Triangle Securities Wealth Management
North Carolina
$2.07M +$9.18K +110 +0.4%
MCM
499
McMillion Capital Management
North Carolina
$2.06M -$4.59K -55 -0.2%
WCA
500
Westover Capital Advisors
Delaware
$2.05M -$336K -4,031 -14%
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