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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 %
SCM
951
Salem Capital Management
Massachusetts
$225K – – –
NPIT
952
National Penn Investors Trust
Pennsylvania
$225K +$12.5K +150 +6%
PHIMC
953
Private Harbour Investment Management & Counsel
Ohio
$225K +$16.7K +200 +8%
BFIM
954
Beese Fulmer Investment Management
Ohio
$223K +$223K +2,675 New
JFA
955
JNBA Financial Advisors
Minnesota
$222K -$23K -275 -9%
TBNY
956
Trustco Bank (New York)
New York
$220K -$16.6K -200 -7%
ISB
957
Iowa State Bank
Iowa
$219K – – –
DAM
958
Doheny Asset Management
California
$217K – – –
PAMG
959
Patton Albertson Miller Group
Tennessee
$216K -$92.7K -1,112 -30%
BRM
960
Boston Research & Management
Massachusetts
$216K +$6.67K +80 +3%
HCM
961
Hutchinson Capital Management
California
$214K – – –
IRS
962
Invictus RG (Singapore)
Singapore
$214K +$183K +2,192 +589%
PL
963
Perpetual Ltd
Australia
$212K – – –
HPBT
964
High Point Bank & Trust
North Carolina
$212K – – –
JCM
965
Janney Capital Management
Pennsylvania
$212K +$212K +2,542 New
TAM
966
Trillium Asset Management
Massachusetts
$211K – – –
RIM
967
Regent Investment Management
Kentucky
$211K +$211K +2,535 New
T
968
Thomaspartners
Massachusetts
$210K -$14.3K -172 -6%
HC
969
HHG & Company
Connecticut
$210K +$210K +2,500 New
NDSI
970
Newman Dignan & Sheerar Inc
Rhode Island
$210K +$210K +2,513 New
WPC
971
Waters Parkerson & Co
Louisiana
$209K – – –
HS
972
Huntington Steele
Pennsylvania
$209K – – –
PGAM
973
Platinum Grove Asset Management
New York
$209K +$209K +2,508 New
NSAM
974
North Star Asset Management
Wisconsin
$204K -$8.33K -100 -4%
LCM
975
LVM Capital Management
Michigan
$204K – – –
37 38
39
40 41