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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 %
BAC
726
Boys Arnold & Co
North Carolina
$707K – – –
SPC
727
Stewart & Patten Company
California
$706K – – –
OMCS
728
Old Mutual Customised Solutions
South Africa
$701K – – –
TSS
729
Thomas Story & Son
Indiana
$701K – – –
HHC
730
Hutchin Hill Capital
New York
$701K +$701K +8,400 New
MA
731
Marshwinds Advisory
Georgia
$693K +$37.5K +450 +6%
ZCM
732
Ziegler Capital Management
Illinois
$688K -$1.52M -18,184 -69%
AAC
733
Asset Advisors Corp
Georgia
$687K -$46.7K -560 -6%
Arrowstreet Capital
734
Arrowstreet Capital
Massachusetts
$685K +$685K +8,211 New
AFC
735
AFT Forsyth & Company
Florida
$684K – – –
TSW
736
Thompson Siegel & Walmsley
Virginia
$680K -$6.26K -75 -0.9%
KFS
737
Kurt F. Somerville
$676K -$23K -275 -3%
BFEC
738
Benjamin F. Edwards & Company
Missouri
$674K +$329K +3,946 +95%
CTA
739
Chesley Taft & Associates
Illinois
$673K – – –
MSU
740
Maple Securities USA
New Jersey
$660K +$235K +2,817 +55%
Luther King Capital Management (LKCM)
741
Luther King Capital Management (LKCM)
Texas
$659K -$249K -2,991 -27%
GCT
742
Galaxy Capital Trading
British Virgin Islands
$659K +$659K +7,900 New
GLI
743
Guardian Life Insurance
New York
$656K -$1.59K -19 -0.2%
S
744
SignatureFD
Georgia
$651K – – –
G
745
GlobalBridge
Minnesota
$650K -$327K -3,920 -33%
BDF
746
Balasa Dinverno & Foltz
$645K -$4.42K -53 -0.7%
QIM
747
Quest Investment Management
Oregon
$645K – – –
KT
748
Kanaly Trust
Texas
$644K – – –
CWM
749
Concert Wealth Management
California
$628K -$122K -1,458 -16%
EWA
750
EP Wealth Advisors
California
$625K -$103K -1,240 -14%
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