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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 %
CIA
1101
Covington Investment Advisors
Pennsylvania
– -$750K -9,086 Closed
CCA
1102
Cobblestone Capital Advisors
New York
– -$747K -9,050 Closed
KCM
1103
Kornitzer Capital Management
Kansas
– -$747K -9,050 Closed
QI
1104
Quotient Investors
New York
– -$718K -8,700 Closed
SAM
1105
Symphony Asset Management
California
– -$693K -8,400 Closed
MSS
1106
Mitchell Sinkler & Starr
Pennsylvania
– -$667K -8,090 Closed
III
1107
Independent Investors Inc
New York
– -$635K -7,700 Closed
Verition Fund Management
1108
Verition Fund Management
Connecticut
– -$567K -6,868 Closed
GI
1109
GAMCO Investors
Connecticut
– -$540K -6,545 Closed
BCM
1110
Bluefin Capital Management
New York
– -$500K -6,532 Closed
PCM
1111
Prelude Capital Management
New York
– -$528K -6,400 Closed
AL
1112
AJO LP
Pennsylvania
– -$478K -5,800 Closed
AA
1113
Ancora Advisors
Ohio
– -$451K -5,467 Closed
HT
1114
HighTower Trust
Texas
– -$449K -5,438 Closed
PWPCM
1115
Perella Weinberg Partners Capital Management
New York
– -$434K -5,260 Closed
CCP
1116
Clarkston Capital Partners
Michigan
– -$434K -5,258 Closed
AHB
1117
Abner Herrman & Brock
New Jersey
– -$434K -5,258 Closed
PAM
1118
Paradigm Asset Management
New York
– -$425K -5,150 Closed
HFS
1119
Haverford Financial Services
Pennsylvania
– -$396K -4,801 Closed
ACPU
1120
Arrowgrass Capital Partners (US)
Delaware
– -$299K -3,627 Closed
FVCM
1121
F&V Capital Management
Florida
– -$299K -3,625 Closed
BWP
1122
Baldwin Wealth Partners
Massachusetts
– -$272K -3,300 Closed
CCM
1123
Compton Capital Management
Rhode Island
– -$272K -3,300 Closed
CR
1124
Cooperatieve Rabobank
Netherlands
– -$268K -3,245 Closed
MJRIC
1125
Mogy Joel R Investment Counsel
California
– -$237K -2,870 Closed
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