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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 %
ZTNA
1051
Zions Trust National Association
Utah
$15K +$15K +175 New
WF
1052
WealthTrust Fairport
Ohio
$12K -$6.92K -83 -37%
WAM
1053
Wallington Asset Management
Indiana
$12K – – –
FBT
1054
Founders Bank & Trust
Michigan
$11K – – –
UB
1055
UMB Bank
Missouri
$10.2K -$718 -8,614 -7%
FWC
1056
First Washington Corp
Washington
$8K – – –
CP
1057
Corbenic Partners
Pennsylvania
$8K – – –
SFPIA
1058
Stevens First Principles Investment Advisors
California
$8K +$8K +101 New
IWC
1059
Integrated Wealth Counsel
California
$7.42K -$90.1K -1,080 -92%
RFS
1060
Rockefeller Financial Services
New York
$7K – – –
MFBTD
1061
MB Financial Bank - Trust Department
Illinois
$6K -$12.6K -158 -68%
MMH
1062
Menora Mivtachim Holdings
Israel
$6K – – –
NIM
1063
NuWave Investment Management
New Jersey
$5K -$1.31M -14,720 -100%
PFO
1064
Pathstone Family Office
New Jersey
$5K -$80.8K -970 -94%
TFA
1065
Transamerica Financial Advisors
Florida
$5K – – –
AC
1066
Alexandria Capital
Virginia
$5K +$2.98K +37 +148%
MBT
1067
Monroe Bank & Trust
Michigan
$4K – – –
OSAM
1068
O'Shaughnessy Asset Management
Connecticut
$4K +$4K +47 New
EU
1069
Emory University
Georgia
$3K – – –
EFS
1070
Essex Financial Services
Connecticut
$1.59K -$200 -2,395 -11%
FPCG
1071
Fort Pitt Capital Group
Pennsylvania
$910 – – –
AIA
1072
Affinity Investment Advisors
California
– -$13.1M -158,598 Closed
CG
1073
Colony Group
Massachusetts
– -$8.84M -107,196 Closed
NMERB
1074
New Mexico Educational Retirement Board
New Mexico
– -$8.6M -104,202 Closed
LHC
1075
Levy Harkins & Co
New York
– -$6.76M -81,991 Closed
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43
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