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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 %
FFC
601
First Financial Corp
Indiana
$1.32M +$217K +2,600 +20%
FTC
602
Farmers Trust Company
Ohio
$1.32M -$8.34K -100 -0.6%
Mirae Asset Global Investments
603
Mirae Asset Global Investments
South Korea
$1.32M -$5.83K -70 -0.4%
CIBC World Market
604
CIBC World Market
Ontario, Canada
$1.31M -$158K -1,898 -11%
RNS
605
Robert N. Shapiro
$1.3M -$150K -1,800 -10%
1SB
606
1ST Source Bank
Indiana
$1.29M -$10.7K -128 -0.8%
ATC
607
Adirondack Trust Company
New York
$1.29M +$3.75K +45 +0.3%
BRWA
608
B. Riley Wealth Advisors
Florida
$1.28M +$419K +5,028 +49%
WOC
609
West Oak Capital
California
$1.26M +$70.9K +850 +6%
WS
610
Wedbush Securities
California
$1.26M +$96.7K +1,160 +8%
BA
611
Birinyi Associates
Connecticut
$1.25M -$863K -10,350 -41%
UR
612
USCA RIA
Texas
$1.24M -$17.4K -208 -1%
SSG
613
Summit Securities Group
New York
$1.24M +$1.08M +13,000 +684%
BAAM
614
Baker Avenue Asset Management
California
$1.24M +$236K +2,834 +24%
CA
615
Cetera Advisors
Colorado
$1.24M -$166K -2,003 -12%
Thrivent Financial for Lutherans
616
Thrivent Financial for Lutherans
Minnesota
$1.23M -$650K -7,800 -35%
JIC
617
Johnson Investment Counsel
Ohio
$1.22M -$160K -1,920 -12%
ACM
618
Azimuth Capital Management
Michigan
$1.2M +$128K +1,536 +12%
JWBC
619
J.W. Burns & Co
New York
$1.2M +$469K +5,624 +64%
WIM
620
Waverton Investment Management
United Kingdom
$1.2M +$1.2M +14,350 New
JPMIA
621
J.P. Marvel Investment Advisors
Massachusetts
$1.19M -$22.1K -265 -2%
ARTA
622
A.R.T. Advisors
New York
$1.19M +$1.19M +14,278 New
CCT
623
Chemung Canal Trust
New York
$1.19M -$2.15M -25,798 -64%
PNC
624
Park National Corp
Ohio
$1.18M +$48.5K +582 +4%
BAS
625
Brown Advisory Securities
Maryland
$1.16M +$369K +4,410 +47%
23 24
25
26 27