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Caterpillar
CAT

Overview Fund Activity

1,092 hedge funds and large institutions have $37B invested in Caterpillar in 2016 Q3 according to their latest regulatory filings, with 106 funds opening new positions, 364 increasing their positions, 444 reducing their positions, and 55 closing their positions.

Holders
1,092
Holders Change
+36
Holders Change %
+3.41%
% of All Funds
29.18%
Holding in Top 10
19
Holding in Top 10 Change
+8
Holding in Top 10 Change %
+72.73%
% of All Funds
0.51%
New
106
Increased
364
Reduced
444
Closed
55
Calls
$1.07B
Puts
$1.62B
Net Calls
-$549M
Net Calls Change
-$202M

Top Buyers

1
Fidelity Investments
1
Fidelity Investments
Massachusetts
$1.11B
2
Capital World Investors
2
Capital World Investors
California
$1.62B
3
Morgan Stanley
3
Morgan Stanley
New York
$631M
4
American Century Companies
4
American Century Companies
Missouri
$173M
5
EVM
5
Eaton Vance Management
Massachusetts
$165M

Top Sellers

1
Capital International Investors
1
Capital International Investors
California
$40.9M
2
Harris Associates
2
Harris Associates
Illinois
$1.12B
3
State Street
3
State Street
Massachusetts
$4.85B
4
Massachusetts Financial Services
4
Massachusetts Financial Services
Massachusetts
$154M
5
VFA
5
Virtus Fund Advisers
Connecticut
$117K
Name Market Value Shares Shares
Change 		Shares
Change %
ELC
76
Edgar Lomax Company
Virginia
$49.9M 561,622 -250 -0%
RJA
77
Raymond James & Associates
Florida
$49.7M 560,048 -53,576 -9%
First Trust Advisors
78
First Trust Advisors
Illinois
$48.7M 548,047 +5,752 +1%
Federated Hermes
79
Federated Hermes
Pennsylvania
$47.7M 537,221 -28,430 -5%
Neuberger Berman Group
80
Neuberger Berman Group
New York
$46.3M 521,552 -332,850 -39%
US Bancorp
81
US Bancorp
Minnesota
$44.9M 505,928 -39,580 -7%
SWITC
82
Stewart West Indies Trading Company
Colorado
$44.3M 498,700 – –
Citadel Advisors
83
Citadel Advisors
Florida
$44.2M 498,208 +358,073 +256%
Chevy Chase Trust
84
Chevy Chase Trust
Maryland
$43.9M 494,058 -11,622 -2%
GIA
85
Gateway Investment Advisers
Ohio
$43.4M 488,910 -12,762 -3%
Canada Life
86
Canada Life
Manitoba, Canada
$42.8M 482,902 +10,374 +2%
OSAM
87
O'Shaughnessy Asset Management
Connecticut
$42.7M 480,888 -94,686 -16%
Barclays
88
Barclays
United Kingdom
$42.5M 478,555 -226,775 -32%
SAM
89
Scopus Asset Management
New York
$42.2M 475,000 +475,000 New
GC
90
Guggenheim Capital
Illinois
$42M 473,035 -13,114 -3%
Capital International Investors
91
Capital International Investors
California
$40.9M 461,200 -1,507,176 -77%
SB
92
Suntrust Banks
Georgia
$40.5M 456,049 -1,745 -0.4%
PNC Financial Services Group
93
PNC Financial Services Group
Pennsylvania
$40.3M 453,683 -13,219 -3%
Ameriprise
94
Ameriprise
Minnesota
$38.9M 438,769 -35,767 -8%
Aviva
95
Aviva
United Kingdom
$38.8M 437,409 -11,644 -3%
RHBC
96
R.H. Bluestein & Co
Michigan
$38.7M 435,419 +67,820 +18%
TAM
97
Tocqueville Asset Management
New York
$38.6M 434,478 +93,939 +28%
NIPH
98
NN Investment Partners Holdings
Netherlands
$36.9M 415,259 -38,600 -9%
AA
99
ALPS Advisors
Colorado
$33.9M 382,298 +36,457 +11%
National Pension Service
100
National Pension Service
South Korea
$33.7M 379,939 +30,246 +9%
2 3
4
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