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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 %
TF
901
Tompkins Financial
New York
$368K – – –
DHFB
902
Dixon Hubard Feinour & Brown
Virginia
$363K – – –
NAMA
903
Nikko Asset Management Americas
New York
$363K +$363K +4,000 New
VFAM
904
Valley Forge Asset Management
Pennsylvania
$359K +$359K +3,950 New
PCA
905
Peddock Capital Advisors
Massachusetts
$357K +$357K +3,928 New
YCM
906
Yorkville Capital Management
New York
$354K -$27.2K -300 -7%
BONST
907
Bank of Nova Scotia Trust
Ontario, Canada
$354K +$45.4K +500 +15%
IRS
908
Invictus RG (Singapore)
Singapore
$352K +$119K +1,308 +51%
SSB
909
Sandy Spring Bank
Maryland
$342K -$97.9K -1,078 -22%
OA
910
Oxbow Advisors
Texas
$342K – – –
CCP
911
Clarkston Capital Partners
Michigan
$342K +$342K +3,768 New
RIM
912
Regent Investment Management
Kentucky
$341K +$111K +1,220 +48%
HA
913
Halsey Associates
Connecticut
$338K – – –
DWT
914
Dorsey & Whitney Trust
South Dakota
$337K – – –
HC
915
Highmount Capital
New York
$335K +$335K +3,694 New
TTWM
916
TCV Trust & Wealth Management
Virginia
$334K -$48.9K -540 -13%
AWA
917
Arete Wealth Advisors
Illinois
$334K +$334K +3,688 New
CCMG
918
Clark Capital Management Group
Pennsylvania
$333K -$45.6K -502 -12%
LW
919
Linscomb Wealth
Texas
$331K -$78.2K -861 -19%
BTNA
920
Bremer Trust National Association
Minnesota
$331K -$19.2K -212 -5%
WSC
921
Wellington Shields & Co
New York
$331K – – –
ACM
922
Apex Capital Management
Ohio
$329K – – –
JWM
923
Jacobus Wealth Management
Wisconsin
$329K +$147K +1,619 +81%
IUAM
924
Itau USA Asset Management
New York
$327K – – –
GLI
925
Guardian Life Insurance
New York
$326K -$388K -4,274 -54%
35 36
37
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