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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 %
NCM
1076
Newgate Capital Management
Connecticut
– -$6.53M -79,170 Closed
IG
1077
Ithaka Group
Virginia
– -$6.32M -76,612 Closed
BFIC
1078
Bedell Frazier Investment Counselling
California
– -$5.41M -62,693 Closed
SONJCPFA
1079
State of New Jersey Common Pension Fund A
New Jersey
– -$4.95M -60,000 Closed
SCM
1080
Sterling Capital Management
North Carolina
– -$4.03M -48,902 Closed
SEIA
1081
Signature Estate & Investment Advisors
California
– -$2.95M -35,812 Closed
Jennison Associates
1082
Jennison Associates
New York
– -$2.77M -33,565 Closed
SFP
1083
Santa Fe Partners
New Mexico
– -$2.49M -30,162 Closed
OCM
1084
Orleans Capital Management
Louisiana
– -$2.25M -27,329 Closed
SIG
1085
Schooner Investment Group
Pennsylvania
– -$2.23M -27,000 Closed
ECM
1086
Exchange Capital Management
Michigan
– -$2.06M -24,920 Closed
JCM
1087
Jag Capital Management
Missouri
– -$1.98M -24,035 Closed
LCM
1088
Lucas Capital Management
New Jersey
– -$1.75M -21,190 Closed
ICRM
1089
Insight Capital Research & Management
California
– -$1.56M -18,860 Closed
MFS
1090
Monetta Financial Services
Illinois
– -$1.53M -18,500 Closed
PP
1091
PDT Partners
New York
– -$1.47M -17,802 Closed
CCM
1092
Coe Capital Management
Illinois
– -$1.22M -14,840 Closed
TAM
1093
Thornmark Asset Management
Ontario, Canada
– -$1.18M -14,327 Closed
AC
1094
Alley Company
Illinois
– -$1.15M -13,946 Closed
MIS
1095
Morningstar Investment Services
Illinois
– -$1.12M -13,628 Closed
LI
1096
LMCG Investments
Massachusetts
– -$988K -11,975 Closed
Millennium Management
1097
Millennium Management
New York
– -$911K -11,047 Closed
MSR
1098
Main Street Research
Connecticut
– -$900K -10,907 Closed
ACP
1099
Aviance Capital Partners
Florida
– -$840K -10,183 Closed
GL
1100
Globe Life
Texas
– -$825K -10,000 Closed
42 43
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