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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 %
DD
501
Dominick & Dominick
New York
$2.05M -$52.1K -625 -2%
MIM
502
Midwest Investment Management
Ohio
$2.05M -$7.92K -95 -0.4%
VRS
503
Virginia Retirement Systems
Virginia
$2.05M -$3.59M -43,029 -64%
MC
504
Mathes Company
New York
$2.03M – – –
VKH
505
Virtu KCG Holdings
New York
$2.03M +$2.03M +24,322 New
MYLI
506
Meiji Yasuda Life Insurance
Japan
$2.02M -$243K -2,916 -11%
BB
507
Bell Bank
North Dakota
$2.02M -$106K -1,272 -5%
ICOM
508
Investment Counselors of Maryland
Maryland
$2.01M -$849K -10,175 -30%
CIS
509
Connors Investor Services
Pennsylvania
$2.01M +$539K +6,460 +37%
TCT
510
TIAA CREF Trust
Missouri
$1.99M +$46K +552 +2%
PWAP
511
Private Wealth Advisors (Pennsylvania)
Pennsylvania
$1.98M +$51K +612 +3%
BCM
512
BBT Capital Management
Texas
$1.97M +$1.97M +23,602 New
Truist Financial
513
Truist Financial
North Carolina
$1.96M -$1.03M -12,351 -34%
BC
514
Burney Company
Virginia
$1.96M -$275K -3,297 -12%
P
515
Pitcairn
Pennsylvania
$1.94M -$110K -1,323 -5%
GAM
516
Gotham Asset Management
New York
$1.93M +$146K +1,749 +8%
SSWM
517
Smith Salley Wealth Management
North Carolina
$1.92M -$15.5K -186 -0.8%
FIG
518
Fortress Investment Group
New York
$1.92M +$1.92M +23,000 New
KRSITF
519
Kentucky Retirement Systems Insurance Trust Fund
Kentucky
$1.89M +$1.89M +22,667 New
NBC
520
Neuberger Berman Canada
Ontario, Canada
$1.88M +$1.88M +22,550 New
CNB
521
City National Bank
California
$1.86M -$1.09M -13,096 -37%
AT
522
Arden Trust
Delaware
$1.86M -$298K -3,575 -14%
FA
523
FMA Advisory
Pennsylvania
$1.85M -$101K -1,216 -5%
KCMRT
524
Kemper Corp Master Retirement Trust
Illinois
$1.85M – – –
IFB
525
iAB Financial Bank
Indiana
$1.84M -$111K -1,325 -6%
19 20
21
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