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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 %
FP
626
FDO Partners
Massachusetts
$909K +$909K +9,805 New
BCM
627
Boltwood Capital Management
California
$904K – – –
CG
628
Caprock Group
Idaho
$902K -$73.5K -792 -8%
BSA
629
Braun Stacey Associates
New York
$900K +$510K +5,500 +131%
CTA
630
Colonial Trust Advisors
South Carolina
$897K +$329K +3,550 +58%
AMG
631
Asset Management Group
Connecticut
$895K +$8.81K +95 +1%
PNC
632
Park National Corp
Ohio
$892K -$77.4K -835 -8%
WCBA
633
Weaver C. Barksdale & Associates
Tennessee
$883K -$39.4K -425 -4%
CA
634
Cetera Advisors
Colorado
$881K -$362K -3,886 -29%
DLA
635
Douglas Lane & Associates
New York
$878K -$36.9K -398 -4%
Jennison Associates
636
Jennison Associates
New York
$876K +$876K +9,451 New
MSU
637
Mizuho Securities USA
New York
$875K -$1.98M -21,375 -69%
QIM
638
Quantitative Investment Management
Virginia
$871K -$11.9M -128,200 -93%
FPCG
639
Fort Pitt Capital Group
Pennsylvania
$871K – – –
TYCC
640
Texas Yale Capital Corp
Florida
$871K – – –
TFA
641
Toth Financial Advisory
Virginia
$871K +$658K +7,094 +309%
SOAMC
642
Spirit of America Management Corp
New York
$867K +$362K +3,900 +72%
AWM
643
AE Wealth Management
Kansas
$866K +$866K +9,336 New
LNWWM
644
Laird Norton Wetherby Wealth Management
California
$858K +$11K +119 +1%
PAG
645
Private Advisory Group
Washington
$858K +$858K +9,255 New
CF
646
CNA Financial
Illinois
$853K – – –
Luther King Capital Management (LKCM)
647
Luther King Capital Management (LKCM)
Texas
$845K -$1.76K -19 -0.2%
FIM
648
Fernwood Investment Management
Massachusetts
$844K -$74.2K -800 -8%
BEC
649
Blue Edge Capital
Virginia
$843K – – –
Bessemer Group
650
Bessemer Group
New Jersey
$841K +$177K +1,910 +27%
24 25
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