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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 %
Tudor Investment Corp
1126
Tudor Investment Corp
Connecticut
– -$231K -2,800 Closed
FAT
1127
First American Trust
California
– -$229K -2,770 Closed
CT
1128
Cambridge Trust
Massachusetts
– -$218K -2,639 Closed
FIM
1129
Freedom Investment Management
Connecticut
– -$206K -2,501 Closed
SCA
1130
Salient Capital Advisors
Texas
– -$205K -2,488 Closed
BWM
1131
Baystate Wealth Management
Massachusetts
– -$165K -2,000 Closed
CW
1132
Cobiz Wealth
Colorado
– -$157K -1,900 Closed
LWM
1133
Lyons Wealth Management
Florida
– -$95K -1,157 Closed
I2I
1134
Insight 2811 Inc
Illinois
– -$75K -910 Closed
RIM
1135
Ranger International Management
Illinois
– -$52K -632 Closed
SC
1136
Saturna Capital
Washington
– -$49K -600 Closed
FNYS
1137
First New York Securities
New York
– -$48K -576 Closed
OWP
1138
Obermeyer Wealth Partners
Colorado
– -$47K -575 Closed
CCT
1139
Capital City Trust
Florida
– -$45K -540 Closed
GXMC
1140
Global X Management Company
New York
– -$28K -344 Closed
ECAM
1141
East Coast Asset Management
Massachusetts
– -$23K -276 Closed
KAM
1142
Kokusai Asset Management
Japan
– -$16K -200 Closed
SMA
1143
Simply Money Advisors
Ohio
– -$10K -124 Closed
NMLIC
1144
Northwestern Mutual Life Insurance Company
Wisconsin
– -$6K -72 Closed
LWA
1145
Lenox Wealth Advisors
New York
– -$4K -46 Closed
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