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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.

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 Market Value Shares Shares
Change 		Shares
Change %
AR
1201
Advisory Research
Illinois
– – -660 Closed
SGC
1202
South Georgia Capital
Illinois
– – -600 Closed
BWFA
1203
Baltimore-Washington Financial Advisors
Maryland
– – -250 Closed
TCM
1204
TD Capital Management
Tennessee
– – -178 Closed
1832 Asset Management
1205
1832 Asset Management
Ontario, Canada
– – -50 Closed
VAM
1206
Visionary Asset Management
Texas
$0 3 -7 -70%
JCG
1207
JHL Capital Group
Illinois
– – – –
SAM
1208
Serengeti Asset Management
New York
– – – –
TH
1209
Timber Hill
Connecticut
– – – –
GP
1210
GLG Partners
United Kingdom
– – – –
WAM
1211
Wolverine Asset Management
Illinois
– – – –
OCM
1212
Otter Creek Management
Florida
– – – –
ST
1213
Spot Trading
Illinois
– – – –
Balyasny Asset Management
1214
Balyasny Asset Management
Illinois
– – – –
QC
1215
QCM Cayman
Texas
– – – –
FMA
1216
FNY Managed Accounts
New York
– – – –
Capstone Investment Advisors
1217
Capstone Investment Advisors
New York
– – – –
CC
1218
CQS Cayman
Cayman Islands
– – – –
ID
1219
Integral Derivatives
New York
– – – –
KCM
1220
KSA Capital Management
New Jersey
– – – –
Two Sigma Advisers
1221
Two Sigma Advisers
New York
– – – –
OL
1222
Orbitronix LP
California
– – – –
EGM
1223
Espalier Global Management
New York
– – – –
Twin Tree Management
1224
Twin Tree Management
Texas
– – – –
PC
1225
Pomelo Capital
New York
– – – –
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