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Caterpillar
CAT

Overview Fund Activity

1,161 hedge funds and large institutions have $39B invested in Caterpillar in 2016 Q4 according to their latest regulatory filings, with 157 funds opening new positions, 350 increasing their positions, 468 reducing their positions, and 69 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,161
Holders Change
+69
Holders Change %
+6.32%
% of All Funds
29.07%
Holding in Top 10
20
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+5.26%
% of All Funds
0.5%
New
157
Increased
350
Reduced
468
Closed
69
Calls
$956M
Puts
$1.7B
Net Calls
-$742M
Net Calls Change
-$193M

Top Buyers

1
Fidelity Investments
Fidelity Investments
Massachusetts
+$299M
2
Capital World Investors
Capital World Investors
California
+$227M
3
Morgan Stanley
Morgan Stanley
New York
+$179M
4
CCI
Columbus Circle Investors
+$108M
5
Vanguard Group
Vanguard Group
Pennsylvania
+$96.5M

Top Sellers

1
Harris Associates
Harris Associates
Illinois
-$203M
2
Massachusetts Financial Services
Massachusetts Financial Services
Massachusetts
-$154M
3
Bank of New York Mellon
Bank of New York Mellon
New York
-$111M
4
Capital Research Global Investors
Capital Research Global Investors
California
-$102M
5
State Street
State Street
Massachusetts
-$101M
Name Holding Trade Value Shares
Change 		Shares
Change %
MHIC
976
Marble Harbor Investment Counsel
Massachusetts
$226K +$226K +2,439 New
TCM
977
Traynor Capital Management
Pennsylvania
$224K -$12.5K -129 -5%
DI
978
Diligent Investors
California
$224K – – –
NPF
979
Norris Perne & French
Michigan
$224K +$224K +2,413 New
FMLI
980
Fukoku Mutual Life Insurance
Japan
$223K – – –
TCM
981
Telos Capital Management
California
$223K +$9.27K +100 +4%
MCM
982
MAI Capital Management
Ohio
$221K -$4.73K -51 -2%
NG
983
Northstar Group
New York
$220K -$34K -366 -13%
CAM
984
Carret Asset Management
New York
$220K -$23.2K -250 -10%
OWP
985
Obermeyer Wealth Partners
Colorado
$219K -$50K -538 -19%
SFM
986
Signature Financial Management
Virginia
$219K – – –
VCM
987
Violich Capital Management
California
$218K -$53.9K -575 -20%
LCM
988
LVM Capital Management
Michigan
$218K -$9.28K -100 -4%
BIC
989
Beach Investment Counsel
Pennsylvania
$218K – – –
KT
990
Kanaly Trust
Texas
$218K +$6.41K +69 +3%
CSS
991
Cubist Systematic Strategies
Connecticut
$218K +$106K +1,142 +95%
ECM
992
Estabrook Capital Management
New York
$218K -$18.5K -200 -8%
LNC
993
Lincoln National Corp
Pennsylvania
$217K -$139K -1,501 -39%
CFA
994
CT Financial Advisors
Pennsylvania
$217K +$93 +1 +0%
CCP
995
Corient Capital Partners
California
$216K -$21.8K -235 -9%
PI
996
Pettee Investors
Connecticut
$216K – – –
VST
997
Van Strum & Towne
California
$215K – – –
BOS
998
Bingham Osborn & Scarborough
California
$214K +$836 +9 +0.4%
CCT
999
Chemung Canal Trust
New York
$213K -$27.8K -300 -12%
IIM
1000
Ironwood Investment Management
Massachusetts
$213K – – –
38 39
40
41 42