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Caterpillar
CAT

Overview Fund Activity

1,144 hedge funds and large institutions have $40.4B invested in Caterpillar in 2014 Q3 according to their latest regulatory filings, with 50 funds opening new positions, 375 increasing their positions, 511 reducing their positions, and 61 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,144
Holders Change
-25
Holders Change %
-2.14%
% of All Funds
33.22%
Holding in Top 10
20
Holding in Top 10 Change
-12
Holding in Top 10 Change %
-37.5%
% of All Funds
0.58%
New
50
Increased
375
Reduced
511
Closed
61
Calls
$841M
Puts
$2.01B
Net Calls
-$1.16B
Net Calls Change
-$748M

Top Buyers

1
WRF
Waddell & Reed Financial
Kansas
+$226M
2
HCM
Herndon Capital Management
Georgia
+$127M
3
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$95M
4
Vanguard Group
Vanguard Group
Pennsylvania
+$86.8M
5
Wellington Management Group
Wellington Management Group
Massachusetts
+$76.6M

Top Sellers

1
Capital World Investors
Capital World Investors
California
-$734M
2
Fidelity Investments
Fidelity Investments
Massachusetts
-$407M
3
Norges Bank
Norges Bank
Norway
-$247M
4
Goldman Sachs
Goldman Sachs
New York
-$168M
5
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
-$152M
Name Holding Trade Value Shares
Change 		Shares
Change %
BMC
626
Benin Management Corp
Connecticut
$1.42M -$49.5K -500 -3%
MIM
627
Midwest Investment Management
Ohio
$1.41M -$36.6K -370 -3%
FTC
628
Farmers Trust Company
Ohio
$1.41M – – –
NA
629
Navellier & Associates
Nevada
$1.38M -$1.87M -18,900 -58%
11A
630
10-15 Associates
New York
$1.36M +$33.5K +338 +3%
AIP
631
Ameritas Investment Partners
Nebraska
$1.36M -$67.9K -686 -5%
MF
632
Magnetar Financial
Illinois
$1.35M +$1.35M +13,669 New
JG
633
Jefferies Group
New York
$1.35M +$1.35M +13,594 New
ZF
634
Zhang Financial
Michigan
$1.35M +$1.35M +13,596 New
EWM
635
Evercore Wealth Management
New York
$1.34M +$142K +1,427 +12%
JT
636
Jump Trading
Illinois
$1.33M +$1.29M +12,999 +2,889%
JPMIA
637
J.P. Marvel Investment Advisors
Massachusetts
$1.33M -$24.6K -248 -2%
CCM
638
Coe Capital Management
Illinois
$1.33M – – –
TRIM
639
Thompson Rubinstein Investment Management
Oregon
$1.31M – – –
IHL
640
Investment House LLC
California
$1.3M +$14.9K +150 +1%
BAS
641
Brown Advisory Securities
Maryland
$1.3M +$50.1K +503 +4%
DCLA
642
Douglas C. Lane & Associates
New York
$1.3M +$113K +1,139 +10%
JAFL
643
Jay A. Fishman Ltd
Michigan
$1.29M – – –
MFS
644
Monetta Financial Services
Illinois
$1.29M – – –
SAM
645
Sawgrass Asset Management
Florida
$1.28M – – –
ECM
646
EagleClaw Capital Management
Massachusetts
$1.27M -$4.95K -50 -0.4%
BRWA
647
B. Riley Wealth Advisors
Florida
$1.27M -$1.87M -18,863 -60%
RG
648
Renaissance Group
Kentucky
$1.27M -$15.3K -155 -1%
CWM
649
Confluence Wealth Management
Oregon
$1.26M -$38.8K -392 -3%
Envestnet Asset Management
650
Envestnet Asset Management
Illinois
$1.26M +$174K +1,760 +16%
24 25
26
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