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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 %
SI
576
Stephens Inc
Arkansas
$1.43M -$240K -2,883 -14%
PCM
577
Princeton Capital Management
New Jersey
$1.42M -$33.9K -407 -2%
RJFSA
578
Raymond James Financial Services Advisors
Florida
$1.42M -$9.76M -117,006 -87%
WI
579
WHV Investments
California
$1.41M -$45.9K -550 -3%
FNBT
580
FineMark National Bank & Trust
Florida
$1.4M +$417K +4,997 +43%
EOJOAM
581
E. Ohman J:or Asset Management
Sweden
$1.39M – – –
CONA
582
Capital One National Association
New York
$1.39M -$12.1K -145 -0.9%
BOH
583
Bank of Hawaii
Hawaii
$1.39M -$38.8K -465 -3%
BAM
584
Barrett Asset Management
New York
$1.39M +$209K +2,500 +18%
YIA
585
YHB Investment Advisors
Connecticut
$1.38M +$834 +10 +0.1%
AB
586
Amalgamated Bank
New York
$1.38M -$35.9K -430 -3%
PCMI
587
Princeton Capital Management Inc
New Jersey
$1.38M -$31.7K -380 -2%
RC
588
RegentAtlantic Capital
New Jersey
$1.38M +$8.25K +99 +0.6%
ICAS
589
Investors Capital Advisory Services
Massachusetts
$1.38M -$84.9K -1,018 -6%
TCOTO
590
Trust Company of the Ozarks
Missouri
$1.37M -$27.1K -325 -2%
Toronto Dominion Bank
591
Toronto Dominion Bank
Ontario, Canada
$1.36M +$298K +3,582 +28%
JG
592
Jefferies Group
New York
$1.36M +$924K +11,077 +214%
B
593
Barings
North Carolina
$1.35M +$684K +8,200 +102%
PAM
594
PartnerRe Asset Management
Connecticut
$1.35M -$230K -2,756 -15%
IHL
595
Investment House LLC
California
$1.35M +$29.2K +350 +2%
FHA
596
First Horizon Advisors
Tennessee
$1.35M +$1.33M +15,957 +7,672%
WJA
597
Williams Jones & Associates
New York
$1.34M -$32.1K -385 -2%
RJT
598
Raymond James Trust
Florida
$1.33M +$60.3K +723 +5%
TCM
599
Texan Capital Management
Texas
$1.33M -$1.42K -17 -0.1%
AL
600
Agran Libbie
California
$1.32M +$259K +3,105 +24%
22 23
24
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