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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 %
RWM
776
Ritholtz Wealth Management
New York
$479K +$479K +5,165 New
CONA
777
Capital One National Association
New York
$478K -$23.6K -254 -5%
FFBTD
778
First Financial Bank - Trust Division
Ohio
$474K -$16.3K -176 -3%
WB
779
Webster Bank
Connecticut
$474K +$15.3K +165 +3%
FIM
780
Freedom Investment Management
Connecticut
$470K +$173K +1,869 +58%
IPC
781
Independent Portfolio Consultants
Florida
$465K -$152K -1,644 -25%
MFP
782
Mosaic Financial Partners
California
$464K – – –
SCA
783
Sippican Capital Advisors
Massachusetts
$464K – – –
SA
784
Sicart Associates
New York
$464K +$464K +5,000 New
RWA
785
River Wealth Advisors
Pennsylvania
$462K -$29.2K -315 -6%
PL
786
Parkwood LLC
Ohio
$462K +$171K +1,843 +59%
TDC
787
Thompson Davis & Co
Virginia
$462K +$399K +4,300 +632%
SIC
788
Salem Investment Counselors
North Carolina
$460K -$2.05M -22,041 -82%
CIS
789
Capital International Sarl
California
$454K – – –
BAM
790
Brave Asset Management
New Jersey
$453K -$697K -7,526 -61%
HA
791
Hamel Associates
New Jersey
$451K -$13.9K -150 -3%
DSC
792
Duncker Streett & Co
Missouri
$447K – – –
DWT
793
Dorsey & Whitney Trust
South Dakota
$446K -$16.4K -177 -4%
TAM
794
Taylor Asset Management
Ontario, Canada
$445K +$445K +4,800 New
FCM
795
Flinton Capital Management
Pennsylvania
$444K +$444K +4,784 New
BDF
796
Balasa Dinverno & Foltz
$443K +$42.4K +457 +11%
APP
797
Avantax Planning Partners
Iowa
$443K +$443K +4,777 New
Acadian Asset Management
798
Acadian Asset Management
Massachusetts
$442K -$176K -1,896 -28%
JWA
799
JFS Wealth Advisors
Pennsylvania
$442K -$131K -1,415 -23%
TBA
800
Train Babcock Advisors
New York
$439K -$3.43K -37 -0.8%
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