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Caterpillar
CAT

Overview Fund Activity

1,144 hedge funds and large institutions have $40.4B invested in Caterpillar in 2014 Q3 according to their latest regulatory filings, with 50 funds opening new positions, 375 increasing their positions, 511 reducing their positions, and 61 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,144
Holders Change
-25
Holders Change %
-2.14%
% of All Funds
33.22%
Holding in Top 10
20
Holding in Top 10 Change
-12
Holding in Top 10 Change %
-37.5%
% of All Funds
0.58%
New
50
Increased
375
Reduced
511
Closed
61
Calls
$841M
Puts
$2.01B
Net Calls
-$1.16B
Net Calls Change
-$748M

Top Buyers

1
WRF
Waddell & Reed Financial
Kansas
$759M
2
HCM
Herndon Capital Management
Georgia
$148M
3
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
$266M
4
Vanguard Group
Vanguard Group
Pennsylvania
$3.74B
5
Wellington Management Group
Wellington Management Group
Massachusetts
$514M

Top Sellers

1
Capital World Investors
Capital World Investors
California
$1.87B
2
Fidelity Investments
Fidelity Investments
Massachusetts
$988M
3
Norges Bank
Norges Bank
Norway
$349M
4
Goldman Sachs
Goldman Sachs
New York
$206M
5
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$331M
Name Holding Trade Value Shares
Change 		Shares
Change %
WDA
701
Wendell David Associates
New Hampshire
$1.01M -$23.3K -235 -2%
PAM
702
Palisade Asset Management
Minnesota
$1.01M +$4.95K +50 +0.5%
TYCC
703
Texas Yale Capital Corp
Florida
$1.01M +$164K +1,652 +19%
RC
704
Roundview Capital
New Jersey
$1.01M – – –
SJIM
705
St. Johns Investment Management
Florida
$1M +$8.42K +85 +0.8%
CIM
706
CIM Investment Management
Pennsylvania
$999K -$45.3K -457 -4%
IA
707
Icon Advisers
Colorado
$990K – – –
MMG
708
Monetary Management Group
Missouri
$985K -$49.5K -500 -5%
CIA
709
Choate Investment Advisors
Massachusetts
$976K +$46.5K +470 +5%
FFSOTS
710
Fiduciary Financial Services of The Southwest
Texas
$966K – – –
Jones Financial Companies
711
Jones Financial Companies
Missouri
$966K +$50.2K +507 +5%
BCMO
712
Buckingham Capital Management (Ohio)
Ohio
$961K -$25.3K -255 -3%
BAM
713
Burnham Asset Management
New York
$955K – – –
DBIA
714
Dumont & Blake Investment Advisors
New Jersey
$935K – – –
SIM
715
Sterling Investment Management
Arizona
$931K – – –
MA
716
Marshwinds Advisory
Georgia
$927K – – –
SACTSONJ
717
Supplemental Annuity Collective Trust (SACT) of New Jersey
New Jersey
$927K – – –
WS
718
Wedbush Securities
California
$926K -$288K -2,909 -24%
ATC
719
Argent Trust Company
Louisiana
$922K -$208K -2,100 -18%
HI
720
HBK Investments
Texas
$911K +$327K +3,300 +56%
ACM
721
Argyle Capital Management
Pennsylvania
$896K – – –
WPC
722
White Pine Capital
Minnesota
$892K – – –
SIM
723
Spark Investment Management
New York
$881K -$29.7K -300 -3%
WG
724
Welch Group
Alabama
$880K -$5.25K -53 -0.6%
LBC
725
Lowe Brockenbrough & Co
Virginia
$876K +$2.48K +25 +0.3%
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