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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 %
DBT
1076
Dubuque Bank & Trust
Iowa
$9K -$18K -200 -67%
HRC
1077
Hoertkorn Richard Charles
$9K – – –
NC
1078
NewSquare Capital
Pennsylvania
$9K – – –
BKA
1079
Brick & Kyle Associates
Pennsylvania
$9K – – –
SHJ
1080
Sharkey, Howes & Javer
Colorado
$9K – – –
ACM
1081
Armbruster Capital Management
New York
$9K – – –
RFS
1082
Rockefeller Financial Services
New York
$7K – – –
SAM
1083
Solaris Asset Management
New York
$7K +$7K +78 New
DPA
1084
Delphi Private Advisors
California
$6K -$943 -11 -14%
HCM
1085
Herndon Capital Management
Georgia
$5K – – –
LWA
1086
Lowe Wealth Advisors
Maryland
$5K – – –
TWMP
1087
Taylor Wealth Management Partners
Massachusetts
$4K – – –
PVH
1088
Psagot Value Holdings
Israel
$4K – – –
GWA
1089
Guidant Wealth Advisors
Illinois
$4K +$4K +42 New
OC
1090
Oakworth Capital
Alabama
$3K -$23.4K -273 -89%
SFPM
1091
Sensible Financial Planning & Management
Massachusetts
$1K – – –
FNB
1092
Farmers National Bank
Kentucky
$307 -$34 -382 -10%
SBL
1093
Sargent Bickham Lagudis
Colorado
$260 +$19 +210 +8%
JWBC
1094
John W. Bristol & Co
New York
– -$45.9M -604,969 Closed
WRF
1095
Waddell & Reed Financial
Kansas
– -$22.4M -295,525 Closed
NEI
1096
Northwest & Ethical Investments
Ontario, Canada
– -$19.6M -257,900 Closed
RIG
1097
RiverFront Investment Group
Virginia
– -$18.7M -246,581 Closed
ZIC
1098
ZWJ Investment Counsel
Georgia
– -$12.3M -162,368 Closed
Adage Capital Partners
1099
Adage Capital Partners
Massachusetts
– -$10.9M -143,441 Closed
LCM
1100
Laurion Capital Management
New York
– -$10.2M -134,818 Closed
42 43
44
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