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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 %
HIC
901
Hartline Investment Corp
Illinois
$274K – – –
MFIMFI
902
Mesirow Financial Investment Management - Fixed Income
Illinois
$273K -$270K -3,236 -50%
FFBTD
903
First Financial Bank - Trust Division
Ohio
$270K -$8.33K -100 -3%
TT
904
Tower Trust
Indiana
$266K -$20.9K -250 -7%
BOS
905
Bank of Stockton
California
$265K -$252K -3,025 -49%
NPPM
906
North Point Portfolio Managers
Ohio
$263K -$41.7K -500 -14%
LG
907
LaFleur & Godfrey
Michigan
$263K – – –
HCM
908
Hilton Capital Management
New York
$260K – – –
SCA
909
STALEY CAPITAL ADVISERS
Pennsylvania
$259K +$259K +3,100 New
LCM
910
Liberty Capital Management
Michigan
$258K -$52.2K -625 -17%
SAMC
911
Shinko Asset Management Company
Japan
$258K -$16.6K -200 -6%
MVP
912
Missouri Valley Partners
Missouri
$257K +$257K +3,085 New
AAM
913
Aureus Asset Management
Massachusetts
$255K – – –
BHA
914
Beech Hill Advisors
New York
$254K -$2.38M -28,500 -90%
CAM
915
Carret Asset Management
New York
$254K +$41.8K +500 +20%
1GA
916
1st Global Advisors
Texas
$254K +$254K +3,040 New
AI
917
Accredited Investors
Minnesota
$253K +$167 +2 +0.1%
BCB
918
Brian C. Broderick
$252K – – –
SOAMC
919
Spirit of America Management Corp
New York
$250K -$250K -3,000 -50%
KJHP
920
K.J. Harrison & Partners
Ontario, Canada
$250K – – –
ST
921
Sabal Trust
Florida
$250K – – –
ZDA
922
Zweig-DiMenna Associates
New York
$250K +$250K +3,000 New
BSWMG
923
Barrington Strategic Wealth Management Group
Illinois
$249K -$901K -10,795 -78%
FHB
924
First Hawaiian Bank
Hawaii
$249K +$167K +2,001 +203%
MCM
925
Manchester Capital Management
Vermont
$247K -$111K -1,333 -31%
35 36
37
38 39