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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 Holding Trade Value Shares
Change 		Shares
Change %
RJA
126
Raymond James & Associates
Florida
$30.3M -$505K -5,098 -2%
Parallax Volatility Advisers
127
Parallax Volatility Advisers
California
$29.8M +$18.8M +189,803 +171%
BTS
128
BB&T Securities
Virginia
$29.5M -$194K -196 -0.7%
CAM
129
ClariVest Asset Management
California
$29.1M -$990 -10 -0%
SIC
130
Schwartz Investment Counsel
Michigan
$28.7M +$49.5K +500 +0.2%
AIG
131
American International Group
New York
$28.2M +$398K +4,015 +1%
SCM
132
Stevens Capital Management
Pennsylvania
$27.6M +$27.6M +278,598 New
M&T Bank
133
M&T Bank
New York
$27.4M +$19.8M +199,519 +257%
PI
134
Putnam Investments
Massachusetts
$27.2M -$16M -161,476 -37%
VDI
135
Vaughan David Investments
Illinois
$26.5M +$1.25M +12,662 +5%
KeyBank National Association
136
KeyBank National Association
Ohio
$26.3M -$1.02M -10,287 -4%
Neuberger Berman Group
137
Neuberger Berman Group
New York
$26M -$471K -4,759 -2%
Citigroup
138
Citigroup
New York
$25.9M -$59.8M -603,817 -70%
SOMRS
139
State of Michigan Retirement System
Michigan
$25.5M +$158K +1,600 +0.6%
DekaBank Deutsche Girozentrale
140
DekaBank Deutsche Girozentrale
Germany
$25.4M -$3.08M -30,790 -11%
RCM
141
Riverhead Capital Management
Delaware
$24.8M +$19.3M +195,218 +351%
TPSF
142
Texas Permanent School Fund
Texas
$24.1M -$1.62M -16,397 -6%
MG
143
Markel Group
Virginia
$23.9M – – –
MHC
144
Meyer Handelman Company
New York
$23.9M -$257K -2,600 -1%
Citadel Advisors
145
Citadel Advisors
Florida
$23.2M +$15.6M +157,375 +204%
Public Sector Pension Investment Board (PSP Investments)
146
Public Sector Pension Investment Board (PSP Investments)
Quebec, Canada
$22.9M -$366K -3,700 -2%
State of Tennessee, Department of Treasury
147
State of Tennessee, Department of Treasury
Tennessee
$22.6M -$10.1M -102,300 -31%
NEI
148
Northwest & Ethical Investments
Ontario, Canada
$22.4M – – –
National Pension Service
149
National Pension Service
South Korea
$22.3M +$22.3M +224,693 New
TSU
150
TD Securities (USA)
New York
$21.7M +$138K +1,394 +0.6%
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