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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.

New
Increased
Maintained
Reduced
Closed
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
Fidelity Investments
Massachusetts
+$341M
2
Capital World Investors
Capital World Investors
California
+$226M
3
Morgan Stanley
Morgan Stanley
New York
+$190M
4
American Century Companies
American Century Companies
Missouri
+$123M
5
EVM
Eaton Vance Management
Massachusetts
+$121M

Top Sellers

1
Capital International Investors
Capital International Investors
California
-$134M
2
Harris Associates
Harris Associates
Illinois
-$108M
3
State Street
State Street
Massachusetts
-$83.7M
4
Massachusetts Financial Services
Massachusetts Financial Services
Massachusetts
-$63.4M
5
VFA
Virtus Fund Advisers
Connecticut
-$52.2M
Name Holding Trade Value Shares
Change 		Shares
Change %
HR
1026
Howe & Rusling
New York
$63K +$33.9K +385 +117%
CYG
1027
Clean Yield Group
Vermont
$62K -$7.05K -80 -10%
HCM
1028
Highlander Capital Management
New Jersey
$62K – – –
DOA
1029
D'Orazio & Associates
Virginia
$62K – – –
TJHA
1030
Thomas J. Herzfeld Advisors
Florida
$61K +$529 +6 +0.9%
JAM
1031
Jolley Asset Management
North Carolina
$60K – – –
TDC
1032
Thompson Davis & Co
Virginia
$60K +$22.1K +250 +58%
VCM
1033
Vigilant Capital Management
Maine
$58K – – –
OFS
1034
Orrstown Financial Services
Pennsylvania
$58K – – –
TG
1035
TLP Group
Illinois
$57K – – –
BWP
1036
Baldwin Wealth Partners
Massachusetts
$53K – – –
CPA
1037
Cowen Prime Advisors
New York
$53K – – –
AA
1038
Apriem Advisors
California
$50K +$26.3K +296 +111%
SSB
1039
Sandy Spring Bank
Maryland
$49K – – –
CPIG
1040
Chicago Partners Investment Group
Illinois
$49K +$88 +1 +0.2%
MWP
1041
MYCIO Wealth Partners
Pennsylvania
$49K +$31.2K +350 +175%
OP
1042
Oldfield Partners
United Kingdom
$44K – – –
PCA
1043
Peddock Capital Advisors
Massachusetts
$43K +$43K +488 New
FPB
1044
First PREMIER Bank
South Dakota
$40K – – –
FPFS
1045
First Personal Financial Services
North Carolina
$40K +$6.34K +71 +19%
LWM
1046
Lenox Wealth Management
Ohio
$37K – – –
PIM
1047
Parasol Investment Management
Illinois
$37K – – –
WRM
1048
Westport Resources Management
Connecticut
$36K -$17.6K -195 -33%
SFG
1049
Sage Financial Group
Pennsylvania
$36K – – –
KA
1050
Klingman & Associates
New York
$36K – – –
40 41
42
43 44