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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 %
CNBT
551
Canandaigua National Bank & Trust
New York
$1.82M -$126K -1,388 -6%
HA
552
Hamel Associates
New Jersey
$1.81M +$1.81M +19,900 New
FAM
553
Fiduciary Asset Management
Missouri
$1.8M – – –
BMC
554
Benin Management Corp
Connecticut
$1.8M -$35.8K -394 -2%
PI
555
PineBridge Investments
New York
$1.8M +$1.74M +19,162 +3,126%
AWA
556
AmeriServ Wealth Advisors
Pennsylvania
$1.79M -$40.9K -450 -2%
DCM
557
Delta Capital Management
New Jersey
$1.78M -$36.3K -400 -2%
SCA
558
Stonebridge Capital Advisors
Minnesota
$1.78M +$1.78M +19,546 New
WA
559
WBH Advisory
Maryland
$1.77M -$54.9K -605 -3%
PWM
560
Perigon Wealth Management
California
$1.77M +$1.77M +19,450 New
Voloridge Investment Management
561
Voloridge Investment Management
Florida
$1.75M +$1.75M +19,300 New
PCM
562
Princeton Capital Management
New Jersey
$1.74M +$198K +2,175 +13%
CWM
563
CIBC World Markets
New York
$1.74M +$1.74M +19,185 New
EFS
564
Essex Financial Services
Connecticut
$1.73M +$3.27K +36 +0.2%
BAM
565
Brave Asset Management
New Jersey
$1.73M +$1.73M +18,998 New
P
566
Pitcairn
Pennsylvania
$1.72M -$387K -4,259 -18%
SNT
567
Security National Trust
West Virginia
$1.72M -$163K -1,800 -9%
AAM
568
Advisors Asset Management
Colorado
$1.72M +$22.7K +250 +1%
Two Sigma Investments
569
Two Sigma Investments
New York
$1.72M +$45K +496 +3%
NCM
570
Narwhal Capital Management
Georgia
$1.71M -$31.8K -350 -2%
BAAM
571
Baker Avenue Asset Management
California
$1.71M +$363K +4,001 +27%
RMAM
572
Raab & Moskowitz Asset Management
New Jersey
$1.71M +$1.71M +22,463 New
GIM
573
Guardian Investment Management
California
$1.7M – – –
KIA
574
KCM Investment Advisors
California
$1.69M -$2.99M -32,956 -64%
CIA
575
Choate Investment Advisors
Massachusetts
$1.69M -$6.81K -75 -0.4%
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