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Caterpillar

1,058 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, 400 increasing their positions, 440 reducing their positions, and 126 closing their positions.

New
Increased
Maintained
Reduced
Closed

0.64% more ownership

Funds ownership: 65.79%66.43% (+0.64%)

9% less repeat investments, than reductions

Existing positions increased: 400 | Existing positions reduced: 440

6% less funds holding

Funds holding: 1,1281,058 (-70)

22% less capital invested

Capital invested by funds: $33.5B → $25.9B (-$7.51B)

46% less first-time investments, than exits

New positions opened: 68 | Existing positions closed: 126

46% less call options, than puts

Call options by funds: $931M | Put options by funds: $1.73B

67% less funds holding in top 10

Funds holding in top 10: 124 (-8)

Holders
1,058
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
400
Reduced
440
Closed
126
Calls
$931M
Puts
$1.73B
Net Calls
-$803M
Net Calls Change
-$202M
Name Holding Trade Value Shares
Change
Change in
Stake
SEC
1026
Seven Eight Capital
New York
$13K +$15.3K +200 New
HCMT
1027
Highland Capital Management (Tennessee)
Tennessee
$12K -$3.82K -50 -21%
TCM
1028
Tradewinds Capital Management
Washington
$12K +$994 +13 +8%
CAW
1029
Cornerstone Advisors (Washington)
Washington
$12K +$5.81K +76 +72%
TRCT
1030
Tower Research Capital (TRC)
New York
$11K -$117K -1,534 -90%
LS
1031
Lupo Securities
Illinois
$11K +$13K +170 New
HA
1032
Harfst & Associates
Wyoming
$10K -$23.7K -310 -66%
FMP
1033
Financial Management Professionals
Texas
$10K
MCA
1034
Mercer Capital Advisers
New Jersey
$10K
WAS
1035
Winch Advisory Services
Wisconsin
$10K +$7.72K +101 +184%
AWS
1036
Aris Wealth Services
Pennsylvania
$9K -$89K -1,164 -89%
CAL
1037
Capital Advisors Ltd
Ohio
$8K
GWS
1038
Glassman Wealth Services
Virginia
$8K
TFA
1039
Transamerica Financial Advisors
Florida
$8K +$2.22K +29 +32%
NYLT
1040
New York Life Trust
New York
$8K +$3.98K +52 +70%
BWFA
1041
Baltimore-Washington Financial Advisors
Maryland
$8K +$10.4K +136 New
NC
1042
NewSquare Capital
Pennsylvania
$7K -$15.3K -200 -64%
BCM
1043
Blume Capital Management
California
$7K
BKA
1044
Brick & Kyle Associates
Pennsylvania
$7K
FWC
1045
First Washington Corp
Washington
$7K
OC
1046
Oakworth Capital
Alabama
$7K
HRC
1047
Hoertkorn Richard Charles
$7K +$7.65K +100 New
SFWA
1048
Summit Financial Wealth Advisors
Louisiana
$6K -$650K -8,495 -99%
MFBTD
1049
MB Financial Bank - Trust Department
Illinois
$5K
RFS
1050
Rockefeller Financial Services
New York
$5K

CAT Hedge Fund Activity: Q3 2015 in Review

1,058 of the 3,582 institutional investors tracked by Wall St. Rank reported a position in Caterpillar (CAT) for Q3 2015, worth a combined $25.9B — down 22% from $33.5B a quarter earlier.

Sellers outnumbered buyers: 126 funds closed out of CAT and 68 opened new positions — a net loss of 58 holders — while 440 trimmed existing stakes and 400 added.

The largest buyer was Capital Research Global Investors, adding an estimated $541M. The largest seller was Waddell & Reed Financial, cutting an estimated $499M.

  • 1,058 institutional investors held Caterpillar (CAT) as of Q3 2015, down from 1,128 in Q2 2015.
  • Funds reported $25.9B of Caterpillar stock for Q3 2015, down 22% quarter-over-quarter.
  • 68 funds opened new Caterpillar positions in Q3 2015 and 126 closed out, a net change of -58 holders.
  • The largest Caterpillar buyer in Q3 2015 was Capital Research Global Investors, an estimated $541M added.
  • The largest Caterpillar seller in Q3 2015 was Waddell & Reed Financial, an estimated $499M sold.

Based on aggregated 13F filings for Q3 2015.