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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 %
ZA
201
Zweig Advisers
Connecticut
$11.5M – – –
PP
202
Paloma Partners
Connecticut
$11.4M +$11.4M +136,966 New
CDH
203
Charles D. Hyman
$11.4M -$8.34K -100 -0.1%
CAM
204
Capstone Asset Management
Texas
$11.2M +$215K +2,582 +2%
WT
205
Wilmington Trust
Delaware
$11.1M +$70K +839 +0.6%
American Century Companies
206
American Century Companies
Missouri
$11M +$9.35M +112,093 +562%
AG
207
Aperio Group
California
$10.9M +$2.4M +28,808 +28%
COPPSERS
208
Commonwealth of Pennsylvania Public School Employees Retirement System
Pennsylvania
$10.8M -$329K -3,944 -3%
AT
209
Arvest Trust
Oklahoma
$10.8M -$89.1K -1,069 -0.8%
ST
210
Spot Trading
Illinois
$10.8M +$1.36M +16,293 +14%
FT
211
Fiduciary Trust
Massachusetts
$10.6M -$2M -24,027 -16%
WIC
212
Wood Investment Counsel
Colorado
$10.5M -$101K -1,210 -0.9%
HNB
213
Huntington National Bank
Ohio
$10.4M -$2.6M -31,162 -20%
GT
214
Glenmede Trust
Pennsylvania
$10.2M +$359K +4,306 +4%
CII
215
Capital International Inc
California
$10.1M -$6.89M -82,700 -41%
BFS
216
Bradley Foster & Sargent
Connecticut
$10.1M -$131K -1,571 -1%
ADEF
217
Adams Diversified Equity Fund
Maryland
$10M – – –
Asset Management One
218
Asset Management One
Japan
$10M +$991K +11,837 +11%
URS
219
Utah Retirement Systems
Utah
$9.78M -$83.4K -1,000 -0.8%
JPMPWA
220
J.P. Morgan Private Wealth Advisors
California
$9.71M -$2.97M -35,570 -23%
ProShare Advisors
221
ProShare Advisors
Maryland
$9.65M -$6.88M -82,532 -42%
WAM
222
World Asset Management
Michigan
$9.63M -$1.45M -17,344 -13%
State of Tennessee, Department of Treasury
223
State of Tennessee, Department of Treasury
Tennessee
$9.59M +$9.59M +115,000 New
Nordea Investment Management
224
Nordea Investment Management
Sweden
$9.54M +$30.4K +364 +0.3%
IT
225
Investors Trust
Texas
$9.53M +$2.12M +25,415 +29%
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