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Caterpillar
CAT

Overview Fund Activity

1,092 hedge funds and large institutions have $37B invested in Caterpillar in 2016 Q3 according to their latest regulatory filings, with 106 funds opening new positions, 364 increasing their positions, 444 reducing their positions, and 55 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,092
Holders Change
+36
Holders Change %
+3.41%
% of All Funds
29.18%
Holding in Top 10
19
Holding in Top 10 Change
+8
Holding in Top 10 Change %
+72.73%
% of All Funds
0.51%
New
106
Increased
364
Reduced
444
Closed
55
Calls
$1.07B
Puts
$1.62B
Net Calls
-$549M
Net Calls Change
-$202M

Top Buyers

1
Fidelity Investments
Fidelity Investments
Massachusetts
$1.11B
2
Capital World Investors
Capital World Investors
California
$1.62B
3
Morgan Stanley
Morgan Stanley
New York
$631M
4
American Century Companies
American Century Companies
Missouri
$173M
5
EVM
Eaton Vance Management
Massachusetts
$165M

Top Sellers

1
Capital International Investors
Capital International Investors
California
$40.9M
2
Harris Associates
Harris Associates
Illinois
$1.12B
3
State Street
State Street
Massachusetts
$4.85B
4
Massachusetts Financial Services
Massachusetts Financial Services
Massachusetts
$154M
5
VFA
Virtus Fund Advisers
Connecticut
$117K
Name Holding Trade Value Shares
Change 		Shares
Change %
QIM
176
Quantitative Investment Management
Virginia
$12.2M +$12.2M +137,600 New
BFS
177
Bradley Foster & Sargent
Connecticut
$12M +$1.58M +17,780 +15%
Public Sector Pension Investment Board (PSP Investments)
178
Public Sector Pension Investment Board (PSP Investments)
Quebec, Canada
$11.6M +$1.82M +20,500 +19%
CCMH
179
Cornerstone Capital Management Holdings
New York
$11.6M -$1.49M -16,757 -11%
ZIG
180
Zurich Insurance Group
Switzerland
$11.3M +$4.21M +47,406 +59%
RFC
181
Regions Financial Corp
Alabama
$11.3M -$668K -7,524 -6%
DekaBank Deutsche Girozentrale
182
DekaBank Deutsche Girozentrale
Germany
$11.3M +$927K +10,584 +9%
Nomura Asset Management
183
Nomura Asset Management
Japan
$11.2M +$760K +8,560 +7%
ProShare Advisors
184
ProShare Advisors
Maryland
$11.2M -$2.49M -28,083 -18%
ABC
185
Associated Banc-Corp
Wisconsin
$10.7M +$108K +1,221 +1%
MAA
186
Matrix Asset Advisors
New York
$10.6M -$502K -5,651 -5%
SI
187
SII Investments
Wisconsin
$10.5M +$857K +9,651 +9%
CB
188
Commerce Bank
Missouri
$10.4M -$370K -4,163 -3%
Citigroup
189
Citigroup
New York
$10.4M -$7.27M -81,903 -41%
Public Employees Retirement Association of Colorado
190
Public Employees Retirement Association of Colorado
Colorado
$10.3M -$335K -3,773 -3%
Natixis Advisors
191
Natixis Advisors
Massachusetts
$10.3M -$641K -7,225 -6%
Janney Montgomery Scott
192
Janney Montgomery Scott
Pennsylvania
$10.2M -$10.2M -114,596 -50%
PIA
193
Piedmont Investment Advisors
North Carolina
$10.2M -$1.05M -11,868 -9%
AIA
194
Avalon Investment & Advisory
Texas
$10.1M +$10.1M +114,128 New
Envestnet Asset Management
195
Envestnet Asset Management
Illinois
$10M -$511K -5,753 -5%
BG
196
Bollard Group
Massachusetts
$9.93M +$4.27M +48,053 +75%
Thrivent Financial for Lutherans
197
Thrivent Financial for Lutherans
Minnesota
$9.66M -$162K -1,821 -2%
GWM
198
Geneos Wealth Management
Colorado
$9.58M -$624K -7,034 -6%
SCM
199
SKBA Capital Management
California
$9.58M -$1.75M -19,700 -15%
LTFS
200
Ladenburg Thalmann Financial Services
Florida
$9.44M +$9.15K +103 +0.1%
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