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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 %
BEAM
926
Baker Ellis Asset Management
Washington
$247K -$4.17K -50 -2%
PAS
927
Partnervest Advisory Services
California
$246K -$37.5K -449 -13%
GC
928
Grimes & Company
Massachusetts
$246K +$246K +2,948 New
TL
929
Tirschwell & Loewy
New York
$242K -$41.7K -500 -15%
TSBJ
930
Trevor, Stewart, Burton & Jacobsen
New York
$242K -$16.7K -200 -6%
TNBTD
931
Trustmark National Bank Trust Department
Mississippi
$241K -$15.5K -185 -6%
AA
932
ALPS Advisors
Colorado
$241K +$241K +2,890 New
CCB
933
Cutter & Co Brokerage
Missouri
$239K -$23.1K -277 -9%
AAM
934
Autus Asset Management
Arizona
$238K -$68.9K -825 -22%
JT
935
Jump Trading
Illinois
$238K +$238K +2,850 New
BT
936
Bankers Trust
Iowa
$237K -$546K -6,537 -70%
MCWS
937
McKinley Carter Wealth Services
West Virginia
$236K +$4.17K +50 +2%
Aristotle Capital Management
938
Aristotle Capital Management
California
$234K – – –
HCM
939
Hodges Capital Management
Texas
$233K -$81.6K -980 -26%
CAI
940
Capital Advisors Inc
Oklahoma
$230K – – –
MJP
941
Michael J. Puzo
$230K +$416 +5 +0.2%
PFM
942
Parsec Financial Management
North Carolina
$229K -$52K -625 -19%
VF
943
Virtu Financial
New York
$229K +$229K +2,741 New
FFA
944
First Foundation Advisors
California
$228K -$64.8K -777 -22%
BCM
945
BTR Capital Management
California
$227K -$31.2K -375 -12%
SAM
946
Sequent Asset Management
Texas
$227K – – –
BST
947
Bath Savings Trust
Maine
$226K -$417 -5 -0.2%
CCT
948
Country Club Trust
Missouri
$225K -$11.8K -141 -5%
WRM
949
Weybosset Research & Management
Rhode Island
$225K – – –
FMLI
950
Fukoku Mutual Life Insurance
Japan
$225K – – –
36 37
38
39 40