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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 %
AT
801
Acadia Trust
Maine
$473K -$10.8K -130 -2%
MCM
802
Mazama Capital Management
Oregon
$469K -$431K -5,168 -48%
CAG
803
Crestwood Advisors Group
Massachusetts
$466K -$63K -755 -12%
FBC
804
Fairfield, Bush & Co
Connecticut
$464K – – –
PPSG
805
Princeton Portfolio Strategies Group
New Jersey
$464K +$8.34K +100 +2%
SCP
806
Sandhill Capital Partners
New York
$452K -$27.2K -326 -6%
Envestnet Asset Management
807
Envestnet Asset Management
Illinois
$449K -$228K -2,726 -34%
IPC
808
Independent Portfolio Consultants
Florida
$448K +$28.3K +340 +7%
JIM
809
Jensen Investment Management
Oregon
$447K +$78.4K +940 +21%
CCG
810
Cypress Capital Group
Florida
$442K -$758K -9,102 -63%
GF
811
Gerstein Fisher
New York
$441K -$154K -1,850 -26%
CC
812
Courier Capital
New York
$440K -$6.26K -75 -1%
GIS
813
Guardian Investor Services
New York
$439K -$4.42K -53 -1%
CWA
814
Constellation Wealth Advisors
New York
$433K +$45.9K +550 +12%
NPF
815
Norris Perne & French
Michigan
$433K +$64.8K +778 +18%
FMBTD
816
First Midwest Bank Trust Division
Illinois
$432K -$258K -3,095 -37%
IPRC
817
Indices-Pac Research Corporation
New Jersey
$431K -$80.2K -961 -16%
PAM
818
Private Asset Management
California
$426K +$8.35K +100 +2%
RT
819
Reliance Trust
Georgia
$424K -$262K -3,142 -38%
ST
820
Smithfield Trust
Pennsylvania
$424K – – –
KB
821
Kimelman & Baird
New York
$421K +$41.7K +500 +11%
HCC
822
Hirtle Callaghan & Co
Pennsylvania
$419K +$419K +5,020 New
LNWWM
823
Laird Norton Wetherby Wealth Management
California
$418K +$14.9K +179 +4%
SBWM
824
Sunflower Bank Wealth Management
Arizona
$418K +$150K +1,800 +56%
KIC
825
Keating Investment Counselors
Florida
$417K -$167K -2,000 -29%
31 32
33
34 35