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Caterpillar
CAT

Overview Fund Activity

1,161 hedge funds and large institutions have $39B invested in Caterpillar in 2016 Q4 according to their latest regulatory filings, with 157 funds opening new positions, 350 increasing their positions, 468 reducing their positions, and 69 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,161
Holders Change
+69
Holders Change %
+6.32%
% of All Funds
29.07%
Holding in Top 10
20
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+5.26%
% of All Funds
0.5%
New
157
Increased
350
Reduced
468
Closed
69
Calls
$956M
Puts
$1.7B
Net Calls
-$742M
Net Calls Change
-$193M

Top Buyers

1
Fidelity Investments
Fidelity Investments
Massachusetts
+$299M
2
Capital World Investors
Capital World Investors
California
+$227M
3
Morgan Stanley
Morgan Stanley
New York
+$179M
4
CCI
Columbus Circle Investors
+$108M
5
Vanguard Group
Vanguard Group
Pennsylvania
+$96.5M

Top Sellers

1
Harris Associates
Harris Associates
Illinois
-$203M
2
Massachusetts Financial Services
Massachusetts Financial Services
Massachusetts
-$154M
3
Bank of New York Mellon
Bank of New York Mellon
New York
-$111M
4
Capital Research Global Investors
Capital Research Global Investors
California
-$102M
5
State Street
State Street
Massachusetts
-$101M
Name Holding Trade Value Shares
Change 		Shares
Change %
GHA
601
Garcia Hamilton & Associates
Texas
$1.01M -$69.4K -748 -6%
TU
602
TDAM USA
Ontario, Canada
$1.01M -$111K -1,195 -10%
FTC
603
Farmers Trust Company
Ohio
$1.01M -$92.7K -1,000 -8%
PIM
604
Penobscot Investment Management
Massachusetts
$1.01M – – –
LFAS
605
Level Four Advisory Services
Texas
$1M +$1M +10,823 New
CG
606
Clinton Group
New York
$989K -$1.31M -14,112 -57%
1IA
607
1834 Investment Advisors
Wisconsin
$989K -$56.8K -613 -5%
SC
608
Savant Capital
Illinois
$986K +$203K +2,192 +26%
FNBTCON
609
First National Bank & Trust Co of Newtown
Pennsylvania
$985K -$1.39K -15 -0.1%
CAM
610
CG Asset Management
New York
$981K -$32.5K -350 -3%
SC
611
SouthState Corp
Florida
$977K -$112K -1,210 -10%
GBBWRPM
612
Genovese Burford & Brothers Wealth & Retirement Plan Management
California
$970K +$485K +5,223 +100%
Jacobs Levy Equity Management
613
Jacobs Levy Equity Management
New Jersey
$964K +$964K +10,400 New
QI
614
QS Investors
New York
$959K -$25.8K -278 -3%
AP
615
Advisor Partners
California
$954K +$76.5K +825 +9%
EP
616
Elkfork Partners
Oregon
$943K +$943K +10,166 New
EB
617
Eastern Bank
Massachusetts
$942K -$30.2K -325 -3%
LBC
618
Lowe Brockenbrough & Co
Virginia
$939K – – –
CFD
619
Creative Financial Designs
Indiana
$930K +$930K +10,023 New
BHC
620
Bowen Hanes & Co
Florida
$929K +$11.6K +125 +1%
SACTSONJ
621
Supplemental Annuity Collective Trust (SACT) of New Jersey
New Jersey
$927K – – –
LCM
622
Lee Capital Management
New York
$927K +$927K +10,000 New
Koshinski Asset Management
623
Koshinski Asset Management
Illinois
$919K -$61.1K -659 -6%
FIM
624
Fruth Investment Management
Texas
$919K – – –
BAS
625
Brown Advisory Securities
Maryland
$919K +$19.5K +210 +2%
23 24
25
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