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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 %
RG
551
Rathbones Group
United Kingdom
$1.66M -$74.6K -895 -4%
CANC
552
Culbertson A N & Co
Virginia
$1.66M -$11.3K -135 -0.7%
CI
553
Conning Inc
Connecticut
$1.66M +$31.7K +380 +2%
FAM
554
Fiduciary Asset Management
Missouri
$1.65M – – –
Bank of Nova Scotia
555
Bank of Nova Scotia
Ontario, Canada
$1.64M -$131K -1,569 -7%
AHC
556
Adell Harriman & Carpenter
Texas
$1.63M -$144K -1,730 -8%
EGA
557
Eagle Global Advisors
Texas
$1.61M -$2.67M -32,035 -62%
NCM
558
Narwhal Capital Management
Georgia
$1.6M +$64.6K +775 +4%
NPC
559
National Planning Corporation
California
$1.59M +$277K +3,316 +21%
AAM
560
Advisors Asset Management
Colorado
$1.56M -$182K -2,186 -10%
CIA
561
Choate Investment Advisors
Massachusetts
$1.56M -$8.34K -100 -0.5%
GIM
562
Guardian Investment Management
California
$1.56M – – –
Two Sigma Investments
563
Two Sigma Investments
New York
$1.54M +$38.8K +465 +3%
WC
564
Whitnell & Co
Illinois
$1.54M +$104K +1,252 +7%
HAI
565
Hennessy Advisors Inc
California
$1.53M -$50K -600 -3%
JAFL
566
Jay A. Fishman Ltd
Michigan
$1.53M – – –
DCLA
567
Douglas C. Lane & Associates
New York
$1.52M -$271K -3,250 -15%
WAM
568
Weatherly Asset Management
California
$1.52M +$108K +1,293 +8%
PJSIMP
569
P.J. Schmidt Investment Management (PJS)
Wisconsin
$1.5M -$576K -6,910 -28%
SAM
570
Shikiar Asset Management
New York
$1.5M -$2.7M -32,400 -64%
ISL
571
Ingalls & Snyder LLC
New York
$1.48M -$614K -7,365 -29%
TRIM
572
Thompson Rubinstein Investment Management
Oregon
$1.47M +$40.7K +488 +3%
DL
573
Delta Lloyd
Netherlands
$1.47M +$131K +1,576 +10%
PMAM
574
Picton Mahoney Asset Management
Ontario, Canada
$1.45M +$951K +11,400 +190%
FCB
575
First Citizens Bancorporation
South Carolina
$1.44M +$1.44M +17,221 New
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