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Caterpillar
CAT

Overview Fund Activity

1,139 hedge funds and large institutions have $36.6B invested in Caterpillar in 2013 Q4 according to their latest regulatory filings, with 156 funds opening new positions, 367 increasing their positions, 484 reducing their positions, and 75 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,139
Holders Change
+68
Holders Change %
+6.35%
% of All Funds
33.08%
Holding in Top 10
27
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+22.73%
% of All Funds
0.78%
New
156
Increased
367
Reduced
484
Closed
75
Calls
$1.22B
Puts
$1.77B
Net Calls
-$543M
Net Calls Change
+$42.5M

Top Buyers

1
Capital World Investors
Capital World Investors
California
+$312M
2
Capital Research Global Investors
Capital Research Global Investors
California
+$305M
3
Wellington Management Group
Wellington Management Group
Massachusetts
+$298M
4
Goldman Sachs
Goldman Sachs
New York
+$238M
5
Westfield Capital Management
Westfield Capital Management
Massachusetts
+$133M

Top Sellers

1
Deutsche Bank
Deutsche Bank
Germany
-$167M
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
-$122M
3
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
-$115M
4
State Street
State Street
Massachusetts
-$106M
5
Morgan Stanley
Morgan Stanley
New York
-$87.2M
Name Holding Trade Value Shares
Change 		Shares
Change %
CC
676
ClearArc Capital
Ohio
$1.08M -$30.4K -335 -3%
AIM
677
Acropolis Investment Management
Missouri
$1.07M -$151K -1,661 -12%
AWCI
678
Alpine Woods Capital Investors
New York
$1.07M – – –
CIBC World Market
679
CIBC World Market
Ontario, Canada
$1.07M -$363K -3,993 -25%
BA
680
Birinyi Associates
Connecticut
$1.07M -$295K -3,250 -22%
CI
681
Constellation Investments
Ohio
$1.06M +$81.7K +900 +8%
ECM
682
ETrade Capital Management
Virginia
$1.06M +$144K +1,586 +16%
CA
683
CapWealth Advisors
Tennessee
$1.06M -$4.83M -53,253 -82%
BFA
684
Bragg Financial Advisors
North Carolina
$1.06M +$42.7K +470 +4%
FMII
685
Farmers & Merchants Investments Inc
Nebraska
$1.06M +$154K +1,700 +17%
LC
686
Lilley & Co
Michigan
$1.06M -$96.8K -1,067 -8%
SHA
687
Smith Hayes Advisers
Nebraska
$1.06M +$33.6K +370 +3%
SCM
688
Southport Capital Management
Tennessee
$1.05M +$130K +1,430 +14%
PGIM
689
Pacific Global Investment Management
California
$1.04M +$14K +154 +1%
GIA
690
Guyasuta Investment Advisors
Pennsylvania
$1.04M -$54.5K -600 -5%
RAM
691
Redmond Asset Management
Virginia
$1.03M +$47.7K +525 +5%
GCP
692
GSA Capital Partners
United Kingdom
$1.03M -$2.22M -24,501 -68%
ATC
693
Argent Trust Company
Louisiana
$1.03M +$157K +1,726 +18%
BFEC
694
Benjamin F. Edwards & Company
Missouri
$1.03M +$295K +3,245 +40%
Jones Financial Companies
695
Jones Financial Companies
Missouri
$1.03M -$32.1K -353 -3%
MHIM
696
MacNealy Hoover Investment Management
Ohio
$1.03M +$1.03M +11,285 New
WTIM
697
Wilmington Trust Investment Management
Delaware
$1.01M -$72.7K -800 -7%
BCM
698
Boltwood Capital Management
California
$1.01M – – –
QBFM
699
QS Batterymarch Financial Management
New York
$1.01M -$13K -143 -1%
CIM
700
CIM Investment Management
Pennsylvania
$1.01M +$72.7K +800 +8%
26 27
28
29 30