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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.

New
Increased
Maintained
Reduced
Closed
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
Waddell & Reed Financial
Kansas
$759M
2
HCM
Herndon Capital Management
Georgia
$148M
3
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
$266M
4
Vanguard Group
Vanguard Group
Pennsylvania
$3.74B
5
Wellington Management Group
Wellington Management Group
Massachusetts
$514M

Top Sellers

1
Capital World Investors
Capital World Investors
California
$1.87B
2
Fidelity Investments
Fidelity Investments
Massachusetts
$988M
3
Norges Bank
Norges Bank
Norway
$349M
4
Goldman Sachs
Goldman Sachs
New York
$206M
5
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$331M
Name Holding Trade Value Shares
Change 		Shares
Change %
ASRS
176
Arizona State Retirement System
Arizona
$17.3M -$218K -2,200 -1%
MSU
177
Mizuho Securities USA
New York
$17.2M +$17.2M +173,993 New
AG
178
Aperio Group
California
$17.1M +$865K +8,735 +5%
LCM
179
Laurion Capital Management
New York
$17M +$17M +171,597 New
Commonwealth Equity Services
180
Commonwealth Equity Services
Massachusetts
$16.8M -$1.54M -15,566 -8%
RFC
181
Regions Financial Corp
Alabama
$16.8M -$1.39M -14,032 -8%
GIBU
182
Gulf International Bank (UK)
United Kingdom
$16.6M -$1.12M -11,290 -6%
HIMCH
183
Hartford Investment Management Co (HIMCO)
Connecticut
$16.2M -$570K -5,757 -3%
WT
184
Whittier Trust
California
$16.2M -$142K -1,433 -0.9%
CEP
185
Chicago Equity Partners
Illinois
$16.1M -$336K -3,390 -2%
Stifel Financial
186
Stifel Financial
Missouri
$16M +$5.95M +60,108 +59%
MSA
187
Mason Street Advisors
Wisconsin
$15.9M +$28K +283 +0.2%
GT
188
Glenmede Trust
Pennsylvania
$15.8M +$1.74M +17,545 +12%
Massachusetts Financial Services
189
Massachusetts Financial Services
Massachusetts
$15.6M +$2.55M +25,741 +19%
ABC
190
Associated Banc-Corp
Wisconsin
$15.6M -$535K -5,407 -3%
CI
191
Capital International
California
$15.4M +$228K +2,300 +1%
LPL Financial
192
LPL Financial
California
$15.4M +$108K +1,108 +0.7%
CTB
193
Country Trust Bank
Illinois
$15.4M +$281K +2,842 +2%
Royal London Asset Management
194
Royal London Asset Management
United Kingdom
$15.3M +$874K +8,756 +6%
IRF
195
IBM Retirement Fund
New York
$15.3M -$518K -5,227 -3%
ZIC
196
ZWJ Investment Counsel
Georgia
$15.3M +$471K +4,757 +3%
EIM
197
ExxonMobil Investment Management
Texas
$15.2M -$492K -4,970 -3%
CIS
198
Capital International Sarl
California
$15.2M -$980K -9,900 -6%
MI
199
Markston International
New York
$15.1M -$175K -1,765 -1%
CDH
200
Charles D. Hyman
$15.1M +$378K +3,817 +3%
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