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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 %
GA
751
Geneva Advisors
Illinois
$623K -$123K -1,477 -17%
SC
752
Skylands Capital
Wisconsin
$613K +$33.4K +400 +6%
CT
753
Coastline Trust
Rhode Island
$609K – – –
PSI
754
Pinnacle Summer Investments
Virginia
$609K +$28.4K +341 +5%
CWP
755
Capital Wealth Planning
Florida
$606K +$606K +7,272 New
CPO
756
Cerity Partners OCIO
New York
$605K -$8.68K -104 -1%
FNB
757
First Niagara Bank
New York
$601K +$32.7K +392 +6%
SA
758
Strategic Advisors
New York
$599K +$151K +1,804 +34%
EVC
759
Eidelman Virant Capital
Missouri
$592K – – –
BWAM
760
Boyd Watterson Asset Management
Ohio
$588K -$25K -300 -4%
LPC
761
Loeb Partners Corp
New York
$584K – – –
OSNBOA
762
Old Second National Bank of Aurora
Illinois
$582K – – –
MCM
763
Maryland Capital Management
Maryland
$579K -$37.9K -454 -6%
IH
764
IFC Holdings
Florida
$579K +$36.9K +443 +7%
AHC
765
Anderson Hoagland & Co
Missouri
$571K +$571K +6,850 New
AIA
766
Avalon Investment & Advisory
Texas
$570K -$7.58M -90,888 -93%
IIM
767
Intact Investment Management
Quebec, Canada
$567K +$300K +3,600 +113%
CCFCSB
768
Cape Cod Five Cents Savings Bank
Massachusetts
$559K -$43.2K -518 -7%
SC
769
StellarOne Corp
Virginia
$553K -$52.1K -625 -9%
RCAG
770
Rehmann Capital Advisory Group
Michigan
$550K +$10.4K +125 +2%
FCIM
771
Fairview Capital Investment Management
California
$547K – – –
ITIM
772
Indiana Trust & Investment Management
Indiana
$542K -$8.34K -100 -2%
CCM
773
Cutler Capital Management
Massachusetts
$542K +$125K +1,500 +30%
PAA
774
Peregrine Asset Advisers
Oregon
$532K +$501 +6 +0.1%
SCM
775
SOL Capital Management
Maryland
$529K -$87.5K -1,050 -14%
29 30
31
32 33