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Caterpillar
CAT

Overview Fund Activity

1,144 hedge funds and large institutions have $40.4B invested in Caterpillar in 2014 Q3 according to their latest regulatory filings, with 50 funds opening new positions, 375 increasing their positions, 511 reducing their positions, and 61 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,144
Holders Change
-25
Holders Change %
-2.14%
% of All Funds
33.22%
Holding in Top 10
20
Holding in Top 10 Change
-12
Holding in Top 10 Change %
-37.5%
% of All Funds
0.58%
New
50
Increased
375
Reduced
511
Closed
61
Calls
$841M
Puts
$2.01B
Net Calls
-$1.16B
Net Calls Change
-$748M

Top Buyers

1
WRF
1
Waddell & Reed Financial
Kansas
$759M
2
HCM
2
Herndon Capital Management
Georgia
$148M
3
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$266M
4
Vanguard Group
4
Vanguard Group
Pennsylvania
$3.74B
5
Wellington Management Group
5
Wellington Management Group
Massachusetts
$514M

Top Sellers

1
Capital World Investors
1
Capital World Investors
California
$1.87B
2
Fidelity Investments
2
Fidelity Investments
Massachusetts
$988M
3
Norges Bank
3
Norges Bank
Norway
$349M
4
Goldman Sachs
4
Goldman Sachs
New York
$206M
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$331M
Name Holding Trade Value Shares
Change 		Shares
Change %
EMR
1151
Errol M. Rudman
– -$4.79M -44,100 Closed
WMSA
1152
Weiss Multi-Strategy Advisers
New York
– -$3.87M -35,640 Closed
IP
1153
Interval Partners
New York
– -$3.26M -30,000 Closed
LP
1154
LMR Partners
United Kingdom
– -$2.31M -21,296 Closed
SCA
1155
Stonebridge Capital Advisors
Minnesota
– -$2.19M -20,125 Closed
CCM
1156
Crossvault Capital Management
Texas
– -$2.15M -19,802 Closed
CIP
1157
Chartwell Investment Partners
Pennsylvania
– -$2.1M -19,280 Closed
PCM
1158
Princeton Capital Management
New Jersey
– -$1.96M -18,066 Closed
HHC
1159
Hutchin Hill Capital
New York
– -$1.77M -16,300 Closed
SAM
1160
Selway Asset Management
– -$1.58M -14,500 Closed
BC
1161
Barnett & Company
Tennessee
– -$1.43M -13,135 Closed
AWCI
1162
Alpine Woods Capital Investors
New York
– -$1.17K -10,800 Closed
MSE
1163
MUFG Securities EMEA
United Kingdom
– -$1.09M -10,000 Closed
PFA
1164
Paradigm Financial Advisors
Missouri
– -$1.05M -9,692 Closed
KTC
1165
Kistler-Tiffany Companies
Pennsylvania
– -$1.04M -9,576 Closed
Marshall Wace
1166
Marshall Wace
United Kingdom
– -$884K -8,140 Closed
CCM
1167
Catapult Capital Management
New York
– -$783K -7,205 Closed
YP
1168
Yellowstone Partners
Idaho
– -$750K -6,903 Closed
PC
1169
Passport Capital
California
– -$687K -6,324 Closed
ZIM
1170
Zacks Investment Management
Illinois
– -$677K -6,227 Closed
ACM
1171
Aviance Capital Management
Florida
– -$645K -5,933 Closed
KJHP
1172
K.J. Harrison & Partners
Ontario, Canada
– -$643K -5,915 Closed
BTW
1173
Boston Trust Walden
Massachusetts
– -$514K -4,730 Closed
RCM
1174
Reynolds Capital Management
Nevada
– -$435K -4,000 Closed
MCM
1175
MAI Capital Management
Ohio
– -$348K -3,200 Closed
45 46
47
48 49