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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 %
VDI
126
Vaughan David Investments
Illinois
$25.3M -$2.48M -26,750 -9%
TRSOTSOK
127
Teachers Retirement System of the State of Kentucky
Kentucky
$25.1M -$236K -2,545 -0.9%
OSAM
128
O'Shaughnessy Asset Management
Connecticut
$24.9M -$29.2M -259,775 -54%
MHC
129
Meyer Handelman Company
New York
$23M – – –
AG
130
Aperio Group
California
$23M -$2.17M -23,384 -9%
WIC
131
Willis Investment Counsel
Georgia
$22.2M +$1.48M +15,950 +7%
OI
132
Oakbrook Investments
Illinois
$21.9M +$719K +7,758 +3%
KeyBank National Association
133
KeyBank National Association
Ohio
$21.8M -$829K -8,935 -4%
HIMC
134
Heritage Investors Management Corp
Maryland
$20.7M -$462K -4,984 -2%
Nisa Investment Advisors
135
Nisa Investment Advisors
Missouri
$20.6M -$2.44M -26,330 -11%
EDRH
136
Edmond de Rothschild Holding
Switzerland
$20.4M +$974K +10,500 +5%
Baird Financial Group
137
Baird Financial Group
Wisconsin
$20.3M +$3.5M +37,785 +21%
SEI Investments
138
SEI Investments
Pennsylvania
$20M +$3.35M +36,143 +20%
AIS
139
American Investment Services
Massachusetts
$20M -$1.56M -16,831 -7%
SCI
140
SkyBridge Capital II
New York
$19.6M +$2.18M +23,543 +13%
CS
141
Candriam SCA
Luxembourg
$19.6M +$13.4M +144,454 +218%
CWM
142
CIBC World Markets
New York
$19.5M +$14.1M +152,304 +264%
NFA
143
Nationwide Fund Advisors
Ohio
$19.3M -$527K -5,682 -3%
CA
144
Commerzbank Aktiengesellschaft
Germany
$17.9M +$1.22M +13,191 +7%
SOMRS
145
State of Michigan Retirement System
Michigan
$17.7M -$1.16M -12,488 -6%
RJFSA
146
Raymond James Financial Services Advisors
Florida
$17.4M +$2.14M +23,031 +14%
State of Tennessee, Department of Treasury
147
State of Tennessee, Department of Treasury
Tennessee
$16.9M -$6.03M -65,050 -26%
MPMG
148
Minneapolis Portfolio Management Group
Minnesota
$16.7M +$16.7M +180,331 New
NPA
149
Nichols & Pratt Advisers
Massachusetts
$16.7M -$1.19M -12,855 -7%
CTB
150
Country Trust Bank
Illinois
$16.7M -$324K -3,498 -2%
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