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Caterpillar
CAT

Overview Fund Activity

1,139 hedge funds and large institutions have $36.6B invested in Caterpillar in 2013 Q4 according to their latest regulatory filings, with 156 funds opening new positions, 367 increasing their positions, 484 reducing their positions, and 75 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,139
Holders Change
+68
Holders Change %
+6.35%
% of All Funds
33.08%
Holding in Top 10
27
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+22.73%
% of All Funds
0.78%
New
156
Increased
367
Reduced
484
Closed
75
Calls
$1.22B
Puts
$1.77B
Net Calls
-$543M
Net Calls Change
+$42.5M

Top Buyers

1
Capital World Investors
Capital World Investors
California
+$312M
2
Capital Research Global Investors
Capital Research Global Investors
California
+$305M
3
Wellington Management Group
Wellington Management Group
Massachusetts
+$298M
4
Goldman Sachs
Goldman Sachs
New York
+$238M
5
Westfield Capital Management
Westfield Capital Management
Massachusetts
+$133M

Top Sellers

1
Deutsche Bank
Deutsche Bank
Germany
-$167M
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
-$122M
3
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
-$115M
4
State Street
State Street
Massachusetts
-$106M
5
Morgan Stanley
Morgan Stanley
New York
-$87.2M
Name Holding Trade Value Shares
Change 		Shares
Change %
FCIM
801
Fairview Capital Investment Management
California
$585K -$10.2K -112 -2%
GA
802
Geneva Advisors
Illinois
$584K -$94.1K -1,036 -14%
BWAM
803
Boyd Watterson Asset Management
Ohio
$584K -$56.3K -620 -9%
CBU
804
CIBC Bank USA
Illinois
$584K +$15.6K +172 +3%
TFO
805
Tarbox Family Office
California
$584K +$584K +6,470 New
OSNBOA
806
Old Second National Bank of Aurora
Illinois
$582K -$51.2K -564 -8%
NSIM
807
North Star Investment Management
Illinois
$581K +$16.3K +180 +3%
DSN
808
D. Scott Neal
Kentucky
$581K +$581K +6,397 New
G
809
GlobalBridge
Minnesota
$576K -$131K -1,448 -19%
PAA
810
Peregrine Asset Advisers
Oregon
$575K -$4.54K -50 -0.8%
BMO
811
Beck Mack & Oliver
New York
$574K – – –
ANB
812
Amarillo National Bank
Texas
$573K -$289K -3,184 -34%
SFU
813
Stonehage Fleming (UK)
United Kingdom
$572K +$572K +6,300 New
CC
814
Carlson Capital
Texas
$568K +$568K +6,255 New
IPC
815
Independent Portfolio Consultants
Florida
$564K +$76.2K +840 +16%
AP
816
Advisor Partners
California
$562K +$39.2K +431 +7%
CRC
817
Curi RMB Capital
Illinois
$560K +$211K +2,324 +61%
IH
818
IFC Holdings
Florida
$558K -$72.5K -799 -11%
OC
819
Oarsman Capital
Wisconsin
$553K -$9.09K -100 -2%
CC
820
Courier Capital
New York
$552K +$72.7K +800 +15%
AMG
821
Asset Management Group
Connecticut
$550K +$550K +6,053 New
JIM
822
Jensen Investment Management
Oregon
$548K +$61.7K +680 +13%
MFIMFI
823
Mesirow Financial Investment Management - Fixed Income
Illinois
$548K +$251K +2,769 +85%
FNB
824
First Niagara Bank
New York
$546K -$109K -1,200 -17%
SIM
825
SSI Investment Management
California
$546K – – –
31 32
33
34 35