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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
$1.98B
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$497M
3
Franklin Resources
Franklin Resources
California
$445M
4
SG Americas Securities
SG Americas Securities
New York
$150M
5
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
$195M

Top Sellers

1
State Street
State Street
Massachusetts
$5.68B
2
Fidelity Investments
Fidelity Investments
Massachusetts
$540M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$162M
4
HSBC Holdings
HSBC Holdings
United Kingdom
$135M
5
Schroder Investment Management Group
Schroder Investment Management Group
United Kingdom
$46.8M
Name Holding Trade Value Shares
Change 		Shares
Change %
SCG
976
Strategic Capital Group
Washington
$203K -$45.1K -540 -18%
HDIM
977
Hanson & Doremus Investment Management
Vermont
$203K +$2.59K +31 +1%
WA
978
Waverly Advisors
Alabama
$203K +$203K +2,430 New
PCMK
979
Paragon Capital Management (Kansas)
Kansas
$202K – – –
MME
980
Meag Munich Ergo
Germany
$201K -$83.8K -1,000 -29%
EIM
981
Emerson Investment Management
Massachusetts
$200K +$200K +2,400 New
CP
982
Camelot Portfolios
Ohio
$200K +$200K +2,400 New
NES
983
New England Securities
New York
$191K +$2K +24 +1%
ECM
984
Endex Capital Management
Kansas
$188K – – –
FWM
985
Focused Wealth Management
New York
$187K +$187K +2,245 New
FNBSF
986
First National Bank Sioux Falls
South Dakota
$185K -$33.3K -400 -15%
FA
987
Financial Advantage
Maryland
$179K – – –
JWM
988
Jacobus Wealth Management
Wisconsin
$167K – – –
MI
989
Mercer Investments
Massachusetts
$166K +$166K +1,994 New
RFA
990
Reilly Financial Advisors
California
$160K -$50.6K -600 -24%
OFS
991
Orrstown Financial Services
Pennsylvania
$159K -$48.5K -582 -23%
CM
992
Castleark Management
Illinois
$149K -$80.5K -810 -35%
ACM
993
Antonetti Capital Management
Florida
$147K – – –
LS
994
Livforsakringsbolaget Skandia
Sweden
$142K – – –
MA
995
MCF Advisors
Kentucky
$137K +$38K +383 +38%
TC
996
TradeLink Capital
Illinois
$133K -$466K -5,600 -78%
EWM
997
Elite Wealth Management
Washington
$132K +$115K +1,383 +692%
Twin Tree Management
998
Twin Tree Management
Texas
$127K -$782K -9,356 -86%
HR
999
Howe & Rusling
New York
$127K – – –
WA
1000
WealthTrust-Arizona
Arizona
$127K +$33.4K +400 +36%
38 39
40
41 42