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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 %
WMSA
651
Weiss Multi-Strategy Advisers
New York
$1.04M +$746K +8,941 +253%
CC
652
ClearArc Capital
Ohio
$1.02M -$38.1K -457 -4%
GIA
653
Guyasuta Investment Advisors
Pennsylvania
$1.01M -$541K -6,485 -35%
WTIM
654
Wilmington Trust Investment Management
Delaware
$995K – – –
GMIM
655
General Motors Investment Management
New York
$989K -$66K -792 -6%
MRCM
656
M&R Capital Management
New Jersey
$989K -$8.34K -100 -0.8%
CG
657
Clinton Group
New York
$987K +$987K +11,836 New
AWCI
658
Alpine Woods Capital Investors
New York
$984K – – –
KIA
659
King Investment Advisors
Texas
$978K +$522K +6,255 +114%
LAM
660
Lingohr Asset Management
Germany
$976K -$184K -2,200 -16%
Jones Financial Companies
661
Jones Financial Companies
Missouri
$973K +$61.1K +732 +7%
BSB
662
Bangor Savings Bank
Maine
$970K -$61.9K -742 -6%
PGIM
663
Pacific Global Investment Management
California
$943K -$7.67K -92 -0.8%
QT
664
Quantbot Technologies
New York
$940K +$285K +3,423 +44%
SHA
665
Smith Hayes Advisers
Nebraska
$939K -$161K -1,928 -15%
SIM
666
Sentry Investment Management
Wisconsin
$938K -$984K -11,800 -51%
QBFM
667
QS Batterymarch Financial Management
New York
$938K -$97.4K -1,168 -9%
BFA
668
Bragg Financial Advisors
North Carolina
$934K -$25K -300 -3%
BCM
669
Boltwood Capital Management
California
$929K +$25K +300 +3%
FSC
670
Fiduciary Services Corp
Georgia
$928K +$52.1K +625 +6%
FFSOTS
671
Fiduciary Financial Services of The Southwest
Texas
$927K -$199K -2,385 -18%
DBIA
672
Dumont & Blake Investment Advisors
New Jersey
$922K – – –
QI
673
QS Investors
New York
$920K +$136K +1,632 +17%
Fisher Asset Management
674
Fisher Asset Management
Washington
$914K -$186K -2,225 -17%
PTC
675
Private Trust Company
Ohio
$904K -$121K -1,454 -12%
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