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Caterpillar
CAT

Overview Fund Activity

1,057 hedge funds and large institutions have $25.9B invested in Caterpillar in 2015 Q3 according to their latest regulatory filings, with 68 funds opening new positions, 399 increasing their positions, 440 reducing their positions, and 126 closing their positions.

Holders
1,057
Holders Change
-70
Holders Change %
-6.21%
% of All Funds
29.54%
Holding in Top 10
4
Holding in Top 10 Change
-8
Holding in Top 10 Change %
-66.67%
% of All Funds
0.11%
New
68
Increased
399
Reduced
440
Closed
126
Calls
$931M
Puts
$1.73B
Net Calls
-$803M
Net Calls Change
-$202M

Top Buyers

1
Capital Research Global Investors
1
Capital Research Global Investors
California
$628M
2
Harris Associates
2
Harris Associates
Illinois
$1.06B
3
Invesco
3
Invesco
Georgia
$413M
4
Wellington Management Group
4
Wellington Management Group
Massachusetts
$911M
5
Massachusetts Financial Services
5
Massachusetts Financial Services
Massachusetts
$115M

Top Sellers

1
WRF
1
Waddell & Reed Financial
Kansas
$25.1M
2
Lord, Abbett & Co
2
Lord, Abbett & Co
New Jersey
$17M
3
Bank of New York Mellon
3
Bank of New York Mellon
New York
$576M
4
American Century Companies
4
American Century Companies
Missouri
$172M
5
Westfield Capital Management
5
Westfield Capital Management
Massachusetts
$46.4M
Name Market Value Shares Shares
Change 		Shares
Change %
EGM
1101
Engineers Gate Manager
New York
– – -6,524 Closed
LA
1102
Lucus Advisors
New York
– – -5,874 Closed
DSI
1103
Daiwa SB Investments
Japan
– – -5,822 Closed
NGA
1104
Naples Global Advisors
Florida
– – -5,405 Closed
WPC
1105
White Pine Capital
Minnesota
– – -5,335 Closed
Fiera Capital (Canada)
1106
Fiera Capital (Canada)
Quebec, Canada
– – -5,095 Closed
CIC
1107
Cornercap Investment Counsel
Georgia
– – -4,395 Closed
BB
1108
Bell Bank
North Dakota
– – -4,135 Closed
PWMAG
1109
Pinnacle Wealth Management Advisory Group
New Jersey
– – -4,113 Closed
YCM
1110
Yorkville Capital Management
New York
– – -3,900 Closed
CAM
1111
Cypress Asset Management
Texas
– – -3,850 Closed
DWM
1112
Destination Wealth Management
California
– – -3,788 Closed
SCA
1113
Strategic Capital Alternatives
United States
– – -3,779 Closed
QSS
1114
Quantitative Systematic Strategies
Florida
– – -3,752 Closed
RCM
1115
RNC Capital Management
California
– – -3,726 Closed
RIM
1116
Regent Investment Management
Kentucky
– – -3,655 Closed
RA
1117
RFG Advisory
Alabama
– – -3,426 Closed
Jacobs Levy Equity Management
1118
Jacobs Levy Equity Management
New Jersey
– – -3,333 Closed
ST
1119
Sabal Trust
Florida
– – -3,245 Closed
MCM
1120
MAI Capital Management
Ohio
– – -3,209 Closed
NPF
1121
Norris Perne & French
Michigan
– – -3,168 Closed
DWT
1122
Dorsey & Whitney Trust
South Dakota
– – -3,078 Closed
SGAM
1123
Steinberg Global Asset Management
Florida
– – -3,027 Closed
BCB
1124
Brian C. Broderick
– – -3,024 Closed
TNB
1125
Thomasville National Bank
Georgia
– – -3,019 Closed
43 44
45
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