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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 %
RAM
676
Redmond Asset Management
Virginia
$904K +$904K +10,835 New
RBC
677
Ronald Blue & Co
Georgia
$903K +$393K +4,715 +77%
CI
678
Constellation Investments
Ohio
$900K +$25K +300 +3%
ACM
679
Argentus Capital Management
Texas
$876K -$188K -2,259 -18%
WDA
680
Wendell David Associates
New Hampshire
$870K – – –
ODCM
681
Old Dominion Capital Management
Virginia
$867K +$8.17K +98 +1%
PAM
682
Palisade Asset Management
Minnesota
$858K -$234K -2,805 -21%
BCMO
683
Buckingham Capital Management (Ohio)
Ohio
$857K -$33.1K -395 -4%
CIM
684
CIM Investment Management
Pennsylvania
$857K – – –
FIM
685
Fruth Investment Management
Texas
$855K -$16.7K -200 -2%
Fidelity International
686
Fidelity International
Bermuda
$854K +$854K +10,240 New
BC
687
Banced Corp
Illinois
$851K -$11.8K -141 -1%
SCM
688
Southport Capital Management
Tennessee
$849K +$434K +5,200 +105%
P3I
689
Progeny 3 Inc
Washington
$844K +$844K +10,120 New
ECM
690
ETrade Capital Management
Virginia
$843K +$145K +1,739 +21%
DSC
691
Duncker Streett & Co
Missouri
$842K -$50.4K -604 -6%
FMII
692
Farmers & Merchants Investments Inc
Nebraska
$831K -$94.2K -1,130 -10%
LIA
693
LS Investment Advisors
Michigan
$830K +$227K +2,720 +38%
ACI
694
Advance Capital I
Michigan
$821K – – –
CFS
695
Community Financial System
New York
$821K +$158K +1,899 +24%
PP
696
Patten & Patten
Tennessee
$815K -$2.57M -30,829 -76%
CNAM
697
Campbell Newman Asset Management
Wisconsin
$808K -$49.2K -589 -6%
BWM
698
Braver Wealth Management
Massachusetts
$808K +$76.4K +916 +10%
WG
699
Welch Group
Alabama
$807K +$2.08K +25 +0.3%
BAM
700
Burnham Asset Management
New York
$804K -$254K -3,050 -24%
26 27
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