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Caterpillar
CAT

Overview Fund Activity

1,161 hedge funds and large institutions have $39B invested in Caterpillar in 2016 Q4 according to their latest regulatory filings, with 157 funds opening new positions, 350 increasing their positions, 468 reducing their positions, and 69 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,161
Holders Change
+69
Holders Change %
+6.32%
% of All Funds
29.07%
Holding in Top 10
20
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+5.26%
% of All Funds
0.5%
New
157
Increased
350
Reduced
468
Closed
69
Calls
$956M
Puts
$1.7B
Net Calls
-$742M
Net Calls Change
-$193M

Top Buyers

1
Fidelity Investments
Fidelity Investments
Massachusetts
+$299M
2
Capital World Investors
Capital World Investors
California
+$227M
3
Morgan Stanley
Morgan Stanley
New York
+$179M
4
CCI
Columbus Circle Investors
+$108M
5
Vanguard Group
Vanguard Group
Pennsylvania
+$96.5M

Top Sellers

1
Harris Associates
Harris Associates
Illinois
-$203M
2
Massachusetts Financial Services
Massachusetts Financial Services
Massachusetts
-$154M
3
Bank of New York Mellon
Bank of New York Mellon
New York
-$111M
4
Capital Research Global Investors
Capital Research Global Investors
California
-$102M
5
State Street
State Street
Massachusetts
-$101M
Name Holding Trade Value Shares
Change 		Shares
Change %
TSW
726
Thompson Siegel & Walmsley
Virginia
$608K – – –
IAA
727
Independent Advisor Alliance
North Carolina
$595K +$595K +6,286 New
SMC
728
Smith, Moore & Co
Missouri
$592K -$126K -1,364 -18%
SCM
729
Southport Capital Management
Tennessee
$591K +$64.9K +700 +12%
ISB
730
Iowa State Bank
Iowa
$589K +$244K +2,632 +71%
CCM
731
Crossvault Capital Management
Texas
$587K -$116K -1,250 -17%
FWM
732
Frontier Wealth Management
Missouri
$586K +$9.28K +100 +2%
FCBT
733
First Citizens Bank & Trust
North Carolina
$581K -$1.85K -20 -0.3%
UR
734
USCA RIA
Texas
$579K -$329K -3,547 -36%
NQWM
735
Northwest Quadrant Wealth Management
Oregon
$579K +$579K +6,237 New
CI
736
Capital International
California
$575K – – –
WA1
737
Wimmer Associates 1
California
$570K +$83K +896 +17%
PTC
738
Private Trust Company
Ohio
$568K -$62.7K -677 -10%
TSWM
739
Triangle Securities Wealth Management
North Carolina
$566K -$48.2K -520 -8%
Cetera Investment Advisers
740
Cetera Investment Advisers
Illinois
$565K -$12.1K -131 -2%
Mackenzie Financial
741
Mackenzie Financial
Ontario, Canada
$558K +$16.5K +178 +3%
SCP
742
Sandhill Capital Partners
New York
$558K +$37.6K +406 +7%
Jones Financial Companies
743
Jones Financial Companies
Missouri
$557K +$14.6K +157 +3%
BIC
744
Bridges Investment Counsel
Nebraska
$557K +$36.7K +396 +7%
HTC
745
Haverford Trust Company
Pennsylvania
$548K +$256K +2,758 +88%
DIA
746
Denver Investment Advisors
Colorado
$537K – – –
BRWA
747
B. Riley Wealth Advisors
Florida
$536K +$28.4K +306 +6%
DHFB
748
Dixon Hubard Feinour & Brown
Virginia
$535K +$27.8K +300 +5%
B
749
BancorpSouth
Mississippi
$530K -$137K -1,475 -21%
PRCM
750
Pine River Capital Management
Minnesota
$529K +$529K +5,700 New
28 29
30
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