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Caterpillar
CAT

Overview Fund Activity

1,144 hedge funds and large institutions have $40.4B invested in Caterpillar in 2014 Q3 according to their latest regulatory filings, with 50 funds opening new positions, 375 increasing their positions, 511 reducing their positions, and 61 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,144
Holders Change
-25
Holders Change %
-2.14%
% of All Funds
33.22%
Holding in Top 10
20
Holding in Top 10 Change
-12
Holding in Top 10 Change %
-37.5%
% of All Funds
0.58%
New
50
Increased
375
Reduced
511
Closed
61
Calls
$841M
Puts
$2.01B
Net Calls
-$1.16B
Net Calls Change
-$748M

Top Buyers

1
WRF
1
Waddell & Reed Financial
Kansas
$759M
2
HCM
2
Herndon Capital Management
Georgia
$148M
3
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$266M
4
Vanguard Group
4
Vanguard Group
Pennsylvania
$3.74B
5
Wellington Management Group
5
Wellington Management Group
Massachusetts
$514M

Top Sellers

1
Capital World Investors
1
Capital World Investors
California
$1.87B
2
Fidelity Investments
2
Fidelity Investments
Massachusetts
$988M
3
Norges Bank
3
Norges Bank
Norway
$349M
4
Goldman Sachs
4
Goldman Sachs
New York
$206M
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$331M
Name Holding Trade Value Shares
Change 		Shares
Change %
YCM
901
Yorkville Capital Management
New York
$386K – – –
AI
902
Accredited Investors
Minnesota
$382K +$79.6K +802 +26%
MFIMFI
903
Mesirow Financial Investment Management - Fixed Income
Illinois
$381K -$255K -2,574 -40%
DWT
904
Dorsey & Whitney Trust
South Dakota
$372K – – –
TF
905
Tompkins Financial
New York
$370K -$16.4K -165 -4%
HA
906
Halsey Associates
Connecticut
$370K +$1.19K +12 +0.3%
SAM
907
Shikiar Asset Management
New York
$369K -$292K -2,950 -44%
DHFB
908
Dixon Hubard Feinour & Brown
Virginia
$366K – – –
FBFS
909
First Business Financial Services
Wisconsin
$366K +$39K +394 +12%
RIM
910
Regent Investment Management
Kentucky
$362K – – –
BTNA
911
Bremer Trust National Association
Minnesota
$361K – – –
AFG
912
Albion Financial Group
Utah
$360K +$19.8K +200 +6%
CRC
913
Curi RMB Capital
Illinois
$358K -$39.8K -402 -10%
BONST
914
Bank of Nova Scotia Trust
Ontario, Canada
$357K – – –
GLI
915
Guardian Life Insurance
New York
$354K -$4.66K -47 -1%
CCMG
916
Clark Capital Management Group
Pennsylvania
$353K +$63.9K +646 +22%
WAM
917
Winslow Asset Management
Ohio
$352K – – –
RMCM
918
Reynders McVeigh Capital Management
Massachusetts
$352K +$145K +1,469 +70%
AIM
919
Acropolis Investment Management
Missouri
$349K -$261K -2,633 -43%
AAC
920
Asset Advisors Corp
Georgia
$347K -$119K -1,200 -26%
PFP
921
Pinnacle Financial Partners
Tennessee
$347K -$198 -2 -0.1%
HCM
922
Harvey Capital Management
Florida
$346K – – –
T
923
Thomaspartners
Massachusetts
$341K +$101K +1,023 +42%
TTWM
924
TCV Trust & Wealth Management
Virginia
$339K -$12.7K -128 -4%
AUB
925
Atlantic Union Bankshares
Virginia
$337K -$10.9K -110 -3%
35 36
37
38 39