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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 %
JT
876
Jump Trading
Illinois
$430K +$171K +1,883 +66%
BTW
877
Boston Trust Walden
Massachusetts
$428K – – –
HTC
878
Haverford Trust Company
Pennsylvania
$427K +$14.3K +158 +3%
BP
879
Ballentine Partners
Massachusetts
$419K +$1K +11 +0.2%
AP
880
Atwood & Palmer
Missouri
$417K – – –
NGA
881
Naples Global Advisors
Florida
$417K +$417K +4,590 New
KB
882
Kimelman & Baird
New York
$413K -$45.4K -500 -10%
HCC
883
Hirtle Callaghan & Co
Pennsylvania
$411K -$44.9K -494 -10%
NPF
884
Norris Perne & French
Michigan
$410K -$61.5K -678 -13%
FMBTD
885
First Midwest Bank Trust Division
Illinois
$401K -$70.4K -775 -15%
CTA
886
Colonial Trust Advisors
South Carolina
$400K -$5.8M -63,825 -94%
RPGK
887
Retirement Planning Group (Kansas)
Kansas
$400K -$11K -121 -3%
JFGIW
888
Johnson Financial Group Inc (Wisconsin)
Wisconsin
$398K -$50K -550 -11%
TAM
889
Taurus Asset Management
New York
$397K – – –
PVWM
890
Point View Wealth Management
New Jersey
$397K +$397K +4,376 New
HCM
891
Horrell Capital Management
Arkansas
$392K +$18.2K +200 +5%
MIS
892
Morningstar Investment Services
Illinois
$391K +$391K +4,305 New
MSU
893
Maple Securities USA
New Jersey
$389K -$330K -3,633 -46%
AAMU
894
Amundi Asset Management US
Massachusetts
$386K -$44.2K -486 -10%
CIC
895
Crawford Investment Counsel
Georgia
$386K -$18.2K -200 -4%
PFP
896
Pinnacle Financial Partners
Tennessee
$384K -$26.5K -292 -6%
PHS
897
Pekin Hardy Strauss
Illinois
$383K +$27.3K +301 +8%
CCM
898
Catawba Capital Management
Virginia
$376K – – –
OWIM
899
Old West Investment Management
California
$375K +$375K +4,140 New
WI
900
WHV Investments
California
$370K -$1.16M -12,825 -76%
34 35
36
37 38