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Caterpillar
CAT

Overview Fund Activity

1,057 hedge funds and large institutions have $25.9B invested in Caterpillar in 2015 Q3 according to their latest regulatory filings, with 68 funds opening new positions, 399 increasing their positions, 440 reducing their positions, and 126 closing their positions.

Holders
1,057
Holders Change
-70
Holders Change %
-6.21%
% of All Funds
29.54%
Holding in Top 10
4
Holding in Top 10 Change
-8
Holding in Top 10 Change %
-66.67%
% of All Funds
0.11%
New
68
Increased
399
Reduced
440
Closed
126
Calls
$931M
Puts
$1.73B
Net Calls
-$803M
Net Calls Change
-$202M

Top Buyers

1
Capital Research Global Investors
1
Capital Research Global Investors
California
$628M
2
Harris Associates
2
Harris Associates
Illinois
$1.06B
3
Invesco
3
Invesco
Georgia
$413M
4
Wellington Management Group
4
Wellington Management Group
Massachusetts
$911M
5
Massachusetts Financial Services
5
Massachusetts Financial Services
Massachusetts
$115M

Top Sellers

1
WRF
1
Waddell & Reed Financial
Kansas
$25.1M
2
Lord, Abbett & Co
2
Lord, Abbett & Co
New Jersey
$17M
3
Bank of New York Mellon
3
Bank of New York Mellon
New York
$576M
4
American Century Companies
4
American Century Companies
Missouri
$172M
5
Westfield Capital Management
5
Westfield Capital Management
Massachusetts
$46.4M
Name Market Value Shares Shares
Change 		Shares
Change %
PCM
926
Prelude Capital Management
New York
$136K 2,079 +2,079 New
MCM
927
Manchester Capital Management
Vermont
$135K 2,063 – –
AAC
928
Asset Advisors Corp
Georgia
$134K 2,044 – –
HSA
929
Hussman Strategic Advisors
Maryland
$131K 2,000 – –
ACS
930
Archford Capital Strategies
Illinois
$130K 1,982 -8,916 -82%
SMG
931
Spectrum Management Group
Indiana
$129K 1,974 +1,974 New
FWM
932
Focused Wealth Management
New York
$124K 1,895 +184 +11%
Manulife (Manufacturers Life Insurance)
933
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$124K 1,896,720 +153,068 +9%
HCM
934
Highlander Capital Management
New Jersey
$118K 1,815 – –
RIA
935
Regal Investment Advisors
Michigan
$117K 1,804 +938 +108%
PFBT
936
Parkside Financial Bank & Trust
Missouri
$110K 1,683 +1,683 New
SAMC
937
Shinko Asset Management Company
Japan
$107K 1,642 – –
WRM
938
Westport Resources Management
Connecticut
$104K 1,595 -2,065 -56%
GAM
939
Gemmer Asset Management
California
$103K 1,581 +1,000 +172%
FBC
940
Fairfield, Bush & Co
Connecticut
$102K 1,566 -4,000 -72%
TDC
941
Thompson Davis & Co
Virginia
$102K 1,556 -739 -32%
VIA
942
Vantage Investment Advisors
Pennsylvania
$100K 1,524 -111 -7%
QCG
943
Quadrant Capital Group
Ohio
$100K 1,575 +7 +0.4%
SFFS
944
Stonehage Fleming Financial Services
Jersey
$99K 1,512 -4,532 -75%
CM
945
Castleark Management
Illinois
$98K 1,500 – –
VIA
946
Vident Investment Advisory
Georgia
$97K 1,482 +796 +116%
AIM
947
Advantage Investment Management
Iowa
$94K 1,431 -100 -7%
MA
948
MCF Advisors
Kentucky
$94K 1,432 +139 +11%
BAM
949
Bruderman Asset Management
New York
$91K 1,387 -342 -20%
WA
950
WealthTrust-Arizona
Arizona
$90K 1,378 +106 +8%
36 37
38
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