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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 %
IMS
1001
Index Management Solutions
Pennsylvania
$31K 474 -95 -17%
M
1002
MOTCO
Texas
$30K 465 -79,734 -99%
ARMC
1003
American Research & Management Company
Massachusetts
$30K 460 – –
PIM
1004
Parasol Investment Management
Illinois
$27K 415 -1,265 -75%
SFG
1005
Sage Financial Group
Pennsylvania
$26K 400 – –
KA
1006
Klingman & Associates
New York
$26K 400 – –
H
1007
Hexavest
Quebec, Canada
$25K 383 – –
CBT
1008
Central Bank & Trust
Kentucky
$23K 350 -220 -39%
TSU
1009
TD Securities (USA)
New York
$22K 344 -244,129 -100%
CCS
1010
Crosspoint Capital Strategies
California
$21K 322 -20,018 -98%
FAM
1011
Formidable Asset Management
Ohio
$20K 315 – –
EMA
1012
Efficient Market Advisors
California
$20K 300 +300 New
CK
1013
Carnick & Kubik
Colorado
$19.6K 300 +300 New
SHJ
1014
Sharkey, Howes & Javer
Colorado
$19K 268 -64 -19%
Nuveen Asset Management
1015
Nuveen Asset Management
Illinois
$18.5K 283,504 -171,882 -38%
WA
1016
Waverly Advisors
Alabama
$17K 257 – –
FMT
1017
First Mercantile Trust
Tennessee
$16K 250 – –
LWM
1018
LBA Wealth Management
Florida
$16K 243 +120 +98%
HCM
1019
Horrell Capital Management
Arkansas
$15K 226 – –
AA
1020
Apriem Advisors
California
$14K 207 -275 -57%
NCM
1021
Nelson Capital Management
California
$14K 216 – –
AIM
1022
Arcadia Investment Management
Michigan
$13K 200 – –
DBT
1023
Dubuque Bank & Trust
Iowa
$13K 200 +67 +50%
SEC
1024
Seven Eight Capital
New York
$13K 200 +200 New
1832 Asset Management
1025
1832 Asset Management
Ontario, Canada
$13K 200 +200 New
39 40
41
42 43