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Caterpillar
CAT

Overview Fund Activity

1,161 hedge funds and large institutions have $39B invested in Caterpillar in 2016 Q4 according to their latest regulatory filings, with 157 funds opening new positions, 350 increasing their positions, 468 reducing their positions, and 69 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,161
Holders Change
+69
Holders Change %
+6.32%
% of All Funds
29.07%
Holding in Top 10
20
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+5.26%
% of All Funds
0.5%
New
157
Increased
350
Reduced
468
Closed
69
Calls
$956M
Puts
$1.7B
Net Calls
-$742M
Net Calls Change
-$193M

Top Buyers

1
Fidelity Investments
Fidelity Investments
Massachusetts
$1.46B
2
Capital World Investors
Capital World Investors
California
$1.92B
3
Morgan Stanley
Morgan Stanley
New York
$838M
4
CCI
Columbus Circle Investors
$108M
5
Vanguard Group
Vanguard Group
Pennsylvania
$3.48B

Top Sellers

1
Harris Associates
Harris Associates
Illinois
$968M
2
Massachusetts Financial Services
Massachusetts Financial Services
Massachusetts
$0
3
Bank of New York Mellon
Bank of New York Mellon
New York
$776M
4
Capital Research Global Investors
Capital Research Global Investors
California
$1.51B
5
State Street
State Street
Massachusetts
$4.97B
Name Holding Trade Value Shares
Change 		Shares
Change %
CL
1176
Croft-Leominster
Maryland
– -$3.38M -38,127 Closed
Capital Fund Management (CFM)
1177
Capital Fund Management (CFM)
France
– -$3.04M -34,213 Closed
RJA
1178
Robshaw & Julian Associates
New York
– -$2.84M -32,040 Closed
Rafferty Asset Management
1179
Rafferty Asset Management
New York
– -$2.8M -31,562 Closed
Point72 Asset Management
1180
Point72 Asset Management
Connecticut
– -$2.22M -25,000 Closed
DCM
1181
Dupont Capital Management
Delaware
– -$1.91M -21,551 Closed
LOAMU
1182
Lombard Odier Asset Management (USA)
New York
– -$1.78M -20,000 Closed
ANTB
1183
AMG National Trust Bank
Colorado
– -$1.77M -19,905 Closed
Two Sigma Investments
1184
Two Sigma Investments
New York
– -$1.55M -17,424 Closed
NIT
1185
NumerixS Investment Technologies
British Columbia, Canada
– -$1.54M -17,302 Closed
Capstone Investment Advisors
1186
Capstone Investment Advisors
New York
– -$1.49M -16,800 Closed
WMSA
1187
Weiss Multi-Strategy Advisers
New York
– -$1.27M -14,345 Closed
GA
1188
GFS Advisors
Texas
– -$1.14M -12,855 Closed
NBC
1189
Neuberger Berman Canada
Ontario, Canada
– -$1.12M -12,572 Closed
CIM
1190
CenturyLink Investment Management
Colorado
– -$963K -10,848 Closed
QSS
1191
Quantitative Systematic Strategies
Florida
– -$795K -9,085 Closed
LMIM
1192
Lockheed Martin Investment Management
Maryland
– -$666K -7,500 Closed
RB
1193
Rodgers Brothers
Pennsylvania
– -$513K -5,779 Closed
GHA
1194
GW Henssler & Associates
Georgia
– -$501K -5,639 Closed
KIC
1195
Keating Investment Counselors
Florida
– -$477K -5,370 Closed
Balyasny Asset Management
1196
Balyasny Asset Management
Illinois
– -$444K -5,000 Closed
ACM
1197
Argentus Capital Management
Texas
– -$425K -4,790 Closed
SG
1198
Somerset Group
Minnesota
– -$420K -4,733 Closed
WPW
1199
Waldron Private Wealth
Pennsylvania
– -$396K -4,472 Closed
PHS
1200
Pekin Hardy Strauss
Illinois
– -$383K -4,312 Closed
46 47
48
49 50