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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 %
TSWM
501
Triangle Securities Wealth Management
North Carolina
$2.26M +$5.45K +60 +0.2%
MC
502
Mathes Company
New York
$2.26M +$40K +440 +2%
TRCT
503
Tower Research Capital (TRC)
New York
$2.25M +$2.13M +23,426 +1,735%
KFC
504
Klingenstein Fields & Co
New York
$2.23M +$1.36M +14,993 +156%
UAS
505
United Asset Strategies
New York
$2.23M +$391K +4,305 +21%
LAM
506
Lingohr Asset Management
Germany
$2.22M +$1.15M +12,700 +109%
CNB
507
City National Bank
California
$2.2M +$176K +1,935 +9%
FMWA
508
Forvis Mazars Wealth Advisors
Missouri
$2.19M -$57.2K -633 -3%
ICOM
509
Investment Counselors of Maryland
Maryland
$2.19M – – –
PWAP
510
Private Wealth Advisors (Pennsylvania)
Pennsylvania
$2.19M +$28.8K +317 +1%
MYLI
511
Meiji Yasuda Life Insurance
Japan
$2.18M -$27.2K -300 -1%
DD
512
Dominick & Dominick
New York
$2.16M -$75.4K -830 -3%
TCT
513
TIAA CREF Trust
Missouri
$2.15M -$8.35K -92 -0.4%
MFS
514
MSI Financial Services
Massachusetts
$2.14M -$2.44M -26,870 -53%
RS
515
Robeco Schweiz
Switzerland
$2.12M -$4.74M -52,106 -69%
CAN
516
Cetera Advisor Networks
California
$2.12M +$124K +1,363 +6%
SSWM
517
Smith Salley Wealth Management
North Carolina
$2.11M +$20.3K +224 +1%
CI
518
Conning Inc
Connecticut
$2.11M +$298K +3,280 +16%
SCA
519
SAC Capital Advisors
Connecticut
$2.1M -$3.02M -33,258 -59%
WCA
520
Westover Capital Advisors
Delaware
$2.09M -$143K -1,572 -6%
Toronto Dominion Bank
521
Toronto Dominion Bank
Ontario, Canada
$2.08M +$593K +6,531 +40%
BC
522
Burney Company
Virginia
$2.07M -$64.2K -707 -3%
KRSITF
523
Kentucky Retirement Systems Insurance Trust Fund
Kentucky
$2.05M -$12K -132 -0.6%
VAS
524
Valicenti Advisory Services
New York
$1.99M -$270K -2,975 -12%
TCM
525
Telos Capital Management
California
$1.98M +$19.7K +217 +1%
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