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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 %
BAS
701
Brown Advisory Securities
Maryland
$998K -$259K -2,854 -21%
HVIA
702
Hudson Valley Investment Advisors
New York
$996K +$191K +2,100 +24%
CWM
703
Calamos Wealth Management
Illinois
$993K -$2.09M -23,075 -68%
BG
704
Bollard Group
Massachusetts
$985K +$147K +1,619 +18%
CFS
705
Community Financial System
New York
$983K +$88.6K +975 +10%
KCPG
706
Kavar Capital Partners Group
Kansas
$975K +$975K +10,737 New
KIA
707
King Investment Advisors
Texas
$974K -$90.8K -1,000 -9%
SCM
708
Stux Capital Management
New York
$972K -$5.22M -57,500 -84%
AHC
709
Adell Harriman & Carpenter
Texas
$969K -$801K -8,825 -45%
PAM
710
Palisade Asset Management
Minnesota
$966K +$31.8K +350 +3%
Luther King Capital Management (LKCM)
711
Luther King Capital Management (LKCM)
Texas
$960K +$242K +2,669 +34%
ACM
712
Argentus Capital Management
Texas
$956K +$2.81K +31 +0.3%
SDJVC
713
St. Denis J. Villere & Co
Louisiana
$954K +$500K +5,500 +110%
Fisher Asset Management
714
Fisher Asset Management
Washington
$950K -$44.9K -494 -5%
WDA
715
Wendell David Associates
New Hampshire
$949K -$4.55K -50 -0.5%
DSC
716
Duncker Streett & Co
Missouri
$944K +$28.7K +316 +3%
HRIA
717
Haberer Registered Investment Advisor
Ohio
$939K -$3.88M -42,705 -81%
LIA
718
LS Investment Advisors
Michigan
$924K +$20.2K +223 +2%
RC
719
Roundview Capital
New Jersey
$924K +$64.9K +715 +8%
FIM
720
Fruth Investment Management
Texas
$922K -$9.07K -100 -1%
P3I
721
Progeny 3 Inc
Washington
$919K – – –
HK
722
Horizon Kinetics
New York
$918K +$54.5K +600 +6%
BB
723
Bell Bank
North Dakota
$917K -$1.29M -14,170 -58%
BCMO
724
Buckingham Capital Management (Ohio)
Ohio
$911K -$18.2K -200 -2%
1IA
725
1834 Investment Advisors
Wisconsin
$909K -$3.52M -38,820 -79%
27 28
29
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