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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 %
PAG
526
Private Advisor Group
New Jersey
$2.19M -$2.18M -22,051 -50%
HCM
527
Highbridge Capital Management
New York
$2.18M +$2.18M +22,034 New
Toronto Dominion Bank
528
Toronto Dominion Bank
Ontario, Canada
$2.17M -$110K -1,150 -5%
BAAM
529
Baker Avenue Asset Management
California
$2.15M +$338K +3,414 +19%
NCM
530
Narwhal Capital Management
Georgia
$2.14M – – –
MERSOM
531
Municipal Employees' Retirement System of Michigan
Michigan
$2.14M -$9.9K -100 -0.5%
SI
532
Stephens Inc
Arkansas
$2.14M +$24.4K +246 +1%
SSG
533
Summit Securities Group
New York
$2.12M +$852K +8,600 +67%
KIA
534
KCM Investment Advisors
California
$2.11M +$8.22K +83 +0.4%
PRC
535
Platte River Capital
Colorado
$2.09M -$3.52M -35,590 -63%
MFS
536
MSI Financial Services
Massachusetts
$2.07M +$263K +2,651 +15%
CAM
537
Cubic Asset Management
Massachusetts
$2.06M -$17.8K -180 -0.9%
MM
538
Meridian Management
Arkansas
$2.06M +$43.6K +440 +2%
Mariner
539
Mariner
Kansas
$2.05M -$794K -8,020 -28%
FMWA
540
Forvis Mazars Wealth Advisors
Missouri
$2.05M -$32.5K -328 -2%
KRSITF
541
Kentucky Retirement Systems Insurance Trust Fund
Kentucky
$2.05M +$50.4K +555 +3%
TWA
542
TCI Wealth Advisors
Arizona
$2.03M -$48.9K -494 -2%
TU
543
TDAM USA
Ontario, Canada
$2.03M -$244K -2,465 -11%
Bessemer Group
544
Bessemer Group
New Jersey
$2.03M +$77.3K +780 +4%
ECM
545
Estabrook Capital Management
New York
$2.01M -$78.4K -792 -4%
SC
546
Saiers Capital
New York
$2.01M -$366K -3,700 -15%
FA
547
FMA Advisory
Pennsylvania
$2.01M -$71.4K -721 -3%
KCMRT
548
Kemper Corp Master Retirement Trust
Illinois
$2M – – –
RC
549
RBO & Co
California
$1.98M – – –
MMM
550
Mendel Money Management
Illinois
$1.98M +$1.98M +19,994 New
20 21
22
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