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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 %
EIM
176
ExxonMobil Investment Management
Texas
$14.1M -$1.13M -13,555 -7%
CIS
177
Capital International Sarl
California
$14M +$2.52M +30,200 +22%
BA
178
Boston Advisors
Massachusetts
$13.9M -$2.14M -25,716 -13%
Mitsubishi UFJ Asset Management
179
Mitsubishi UFJ Asset Management
Japan
$13.8M +$1.09M +13,133 +9%
FIM
180
Foresters Investment Management
New York
$13.8M -$58.4K -700 -0.4%
Zurich Cantonal Bank
181
Zurich Cantonal Bank
Switzerland
$13.8M -$62K -744 -0.4%
SAM
182
Shell Asset Management
Netherlands
$13.5M -$496K -5,943 -4%
SCI
183
S&CO Inc
Massachusetts
$13.5M -$317K -3,800 -2%
WT
184
Whittier Trust
California
$13.4M +$305K +3,657 +2%
NEI
185
Northwest & Ethical Investments
Ontario, Canada
$13.2M +$11.3M +135,780 +588%
ACI
186
AMP Capital Investors
Australia
$13M -$1.42M -16,907 -10%
CCM
187
Cadence Capital Management
Massachusetts
$12.9M +$12.9M +154,436 New
Royal London Asset Management
188
Royal London Asset Management
United Kingdom
$12.8M +$175K +2,069 +1%
MSU
189
Mizuho Securities USA
New York
$12.6M +$500K +6,003 +4%
OTPPB
190
Ontario Teachers' Pension Plan Board
Ontario, Canada
$12.6M -$304K -3,645 -2%
CI
191
Capital International
California
$12.5M -$2.26M -27,100 -15%
ZIC
192
ZWJ Investment Counsel
Georgia
$12M +$1.23M +14,780 +11%
Janus Henderson Group
193
Janus Henderson Group
United Kingdom
$11.9M -$584 -7 -0%
DekaBank Deutsche Girozentrale
194
DekaBank Deutsche Girozentrale
Germany
$11.9M -$1.15M -13,859 -9%
CBOA
195
Commonwealth Bank of Australia
Australia
$11.8M +$361K +4,323 +3%
EB
196
Eastern Bank
Massachusetts
$11.7M -$96K -1,151 -0.8%
GF
197
Gabelli Funds
New York
$11.7M -$4.4M -52,700 -27%
SWITC
198
Stewart West Indies Trading Company
Colorado
$11.7M – – –
TBA
199
Tower Bridge Advisors
Pennsylvania
$11.6M +$550K +6,599 +5%
NTCOC
200
Northern Trust Company of Connecticut
Connecticut
$11.6M +$1.01M +12,133 +10%
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