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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 %
ICOA
576
Investment Centers of America
North Dakota
$1.68M -$487K -5,822 -22%
BCM
577
Brookstone Capital Management
Illinois
$1.68M +$1.68M +18,548 New
NAM
578
North American Management
Massachusetts
$1.66M -$157K -1,728 -9%
DCLA
579
Douglas C. Lane & Associates
New York
$1.65M -$5.27K -58 -0.3%
CIA
580
Capital Investment Advisors
Georgia
$1.64M +$1.64M +18,088 New
HAI
581
Hennessy Advisors Inc
California
$1.63M -$45.4K -500 -3%
TRIM
582
Thompson Rubinstein Investment Management
Oregon
$1.62M +$11.8K +130 +0.7%
Daiwa Securities Group
583
Daiwa Securities Group
Japan
$1.62M -$690K -7,600 -30%
DCMA
584
Daiwa Capital Markets America
New York
$1.62M +$1.62M +17,800 New
BAM
585
Barrett Asset Management
New York
$1.61M +$99.8K +1,099 +7%
FIM
586
Fernwood Investment Management
Massachusetts
$1.61M +$1.61M +17,725 New
FMB
587
Field & Main Bank
Kentucky
$1.61M +$1.61M +17,710 New
WAM
588
Weatherly Asset Management
California
$1.61M -$52.1K -574 -3%
ICAS
589
Investors Capital Advisory Services
Massachusetts
$1.6M +$97.8K +1,077 +7%
PIM
590
Perkins Investment Management
Illinois
$1.59M +$1.59M +17,476 New
ATC
591
Adirondack Trust Company
New York
$1.58M +$178K +1,960 +13%
CAS
592
CTC Alternative Strategies
Illinois
$1.58M +$1.14M +12,563 +262%
ISL
593
Ingalls & Snyder LLC
New York
$1.57M -$37.5K -413 -2%
RJFSA
594
Raymond James Financial Services Advisors
Florida
$1.57M +$28.3K +312 +2%
BRWA
595
B. Riley Wealth Advisors
Florida
$1.57M +$178K +1,962 +13%
FNBT
596
FineMark National Bank & Trust
Florida
$1.56M +$40.2K +443 +3%
WS
597
Wedbush Securities
California
$1.56M +$189K +2,080 +14%
AL
598
Agran Libbie
California
$1.56M +$117K +1,285 +8%
AP
599
Appleton Partners
Massachusetts
$1.55M -$1.12M -12,284 -42%
JWBC
600
J.W. Burns & Co
New York
$1.53M +$230K +2,531 +18%
22 23
24
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