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Caterpillar
CAT

Overview Fund Activity

1,071 hedge funds and large institutions have $33.2B invested in Caterpillar in 2013 Q3 according to their latest regulatory filings, with 82 funds opening new positions, 365 increasing their positions, 484 reducing their positions, and 74 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,071
Holders Change
-2
Holders Change %
-0.19%
% of All Funds
34.74%
Holding in Top 10
22
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+29.41%
% of All Funds
0.71%
New
82
Increased
365
Reduced
484
Closed
74
Calls
$930M
Puts
$1.52B
Net Calls
-$586M
Net Calls Change
+$45M

Top Buyers

1
Capital World Investors
Capital World Investors
California
$1.98B
2
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$497M
3
Franklin Resources
Franklin Resources
California
$445M
4
SG Americas Securities
SG Americas Securities
New York
$150M
5
Lord, Abbett & Co
Lord, Abbett & Co
New Jersey
$195M

Top Sellers

1
State Street
State Street
Massachusetts
$5.68B
2
Fidelity Investments
Fidelity Investments
Massachusetts
$540M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$162M
4
HSBC Holdings
HSBC Holdings
United Kingdom
$135M
5
Schroder Investment Management Group
Schroder Investment Management Group
United Kingdom
$46.8M
Name Holding Trade Value Shares
Change 		Shares
Change %
VCM
151
Vision Capital Management
Oregon
$18.3M +$4.35M +52,175 +31%
TSU
152
TD Securities (USA)
New York
$18.2M -$530K -6,353 -3%
MSA
153
Mason Street Advisors
Wisconsin
$17.9M +$6.29M +75,440 +54%
Public Sector Pension Investment Board (PSP Investments)
154
Public Sector Pension Investment Board (PSP Investments)
Quebec, Canada
$17.7M -$1.18M -14,200 -6%
OI
155
Oakbrook Investments
Illinois
$17.7M -$2.14M -25,630 -11%
1IC
156
1919 Investment Counsel
Maryland
$17.6M -$740K -8,876 -4%
CB
157
Commerce Bank
Missouri
$17.5M -$879K -10,537 -5%
Nisa Investment Advisors
158
Nisa Investment Advisors
Missouri
$17.5M +$1.39M +16,700 +9%
ALA
159
Atherton Lane Advisers
California
$17.3M +$72.6K +870 +0.4%
RFC
160
Regions Financial Corp
Alabama
$17.3M -$1.29M -15,459 -7%
Lazard Asset Management
161
Lazard Asset Management
New York
$16.8M -$9.68M -116,131 -37%
GG
162
Gofen & Glossberg
Illinois
$16.5M -$255K -3,063 -2%
Fifth Third Bancorp
163
Fifth Third Bancorp
Ohio
$16.4M +$825K +9,893 +5%
Korea Investment Corp
164
Korea Investment Corp
South Korea
$16.3M +$442K +5,300 +3%
Federated Hermes
165
Federated Hermes
Pennsylvania
$16.3M +$6.52M +78,224 +67%
FAF
166
Fjarde Ap-fonden
Sweden
$16.2M -$967K -11,596 -6%
HIMCH
167
Hartford Investment Management Co (HIMCO)
Connecticut
$15.8M -$918K -11,014 -5%
HIMC
168
Heritage Investors Management Corp
Maryland
$15.8M +$769K +9,216 +5%
ASRS
169
Arizona State Retirement System
Arizona
$15.6M -$617K -7,400 -4%
Commonwealth Equity Services
170
Commonwealth Equity Services
Massachusetts
$15.4M +$333K +3,989 +2%
MAA
171
Matrix Asset Advisors
New York
$14.9M +$5.71M +68,515 +62%
CCMH
172
Cornerstone Capital Management Holdings
New York
$14.5M -$560K -6,715 -4%
MI
173
Markston International
New York
$14.5M -$364K -4,370 -2%
NPA
174
Nichols & Pratt Advisers
Massachusetts
$14.4M -$152K -1,825 -1%
BII
175
Baring International Investment
United Kingdom
$14.3M -$4.24M -50,818 -23%
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