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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 %
DCM
876
Dynamic Capital Management
Jersey
$309K -$8.35K -100 -3%
STMM
877
South Texas Money Management
Texas
$306K -$17.7M -212,554 -98%
WSC
878
Wellington Shields & Co
New York
$304K -$37.7K -453 -11%
WAM
879
Winslow Asset Management
Ohio
$304K – – –
AIC
880
Atlantic Investment Company
Georgia
$304K – – –
ACM
881
Apex Capital Management
Ohio
$302K -$264K -3,168 -47%
IUAM
882
Itau USA Asset Management
New York
$300K -$58.3K -700 -16%
AI
883
Atria Investments
North Carolina
$299K -$106K -1,275 -26%
RMCM
884
Reynders McVeigh Capital Management
Massachusetts
$297K – – –
PA
885
Planning Alternatives
Michigan
$292K -$167K -2,000 -36%
IIC
886
Ironwood Investment Counsel
Arizona
$292K -$19.9K -238 -6%
ICM
887
ICC Capital Management
Florida
$292K +$25K +300 +9%
DAC
888
Dividend Assets Capital
South Carolina
$291K -$283K -3,390 -49%
BC
889
Bartlett & Co
Ohio
$290K +$2.25K +27 +0.8%
PFC
890
Phocas Financial Corp
California
$289K – – –
CCM
891
Chilton Capital Management
Texas
$288K -$16.7K -200 -5%
SAM
892
Strategy Asset Managers
California
$284K -$34.7K -416 -11%
BONST
893
Bank of Nova Scotia Trust
Ontario, Canada
$284K – – –
PFS
894
Penseco Financial Services
Pennsylvania
$283K -$12.5K -150 -4%
FNT
895
First National Trust
Pennsylvania
$282K +$45.2K +540 +19%
SAG
896
Sterne Agee Group
Alabama
$281K -$863K -10,345 -75%
BHIA
897
Birch Hill Investment Advisors
Massachusetts
$281K -$70.8K -850 -20%
WRM
898
Westport Resources Management
Connecticut
$279K -$79.2K -950 -22%
HCA
899
Horan Capital Advisors
Ohio
$276K +$276K +3,315 New
DIS
900
Diversified Investment Strategies
Louisiana
$275K – – –
34 35
36
37 38