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Caterpillar
CAT

Overview Fund Activity

1,161 hedge funds and large institutions have $39B invested in Caterpillar in 2016 Q4 according to their latest regulatory filings, with 157 funds opening new positions, 350 increasing their positions, 468 reducing their positions, and 69 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
1,161
Holders Change
+69
Holders Change %
+6.32%
% of All Funds
29.07%
Holding in Top 10
20
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+5.26%
% of All Funds
0.5%
New
157
Increased
350
Reduced
468
Closed
69
Calls
$956M
Puts
$1.7B
Net Calls
-$742M
Net Calls Change
-$193M

Top Buyers

1
Fidelity Investments
Fidelity Investments
Massachusetts
$1.46B
2
Capital World Investors
Capital World Investors
California
$1.92B
3
Morgan Stanley
Morgan Stanley
New York
$838M
4
CCI
Columbus Circle Investors
$108M
5
Vanguard Group
Vanguard Group
Pennsylvania
$3.48B

Top Sellers

1
Harris Associates
Harris Associates
Illinois
$968M
2
Massachusetts Financial Services
Massachusetts Financial Services
Massachusetts
$0
3
Bank of New York Mellon
Bank of New York Mellon
New York
$776M
4
Capital Research Global Investors
Capital Research Global Investors
California
$1.51B
5
State Street
State Street
Massachusetts
$4.97B
Name Holding Trade Value Shares
Change 		Shares
Change %
Nomura Holdings
201
Nomura Holdings
Japan
$9.68M +$7.39M +79,596 +321%
Skandinaviska Enskilda Banken (SEB)
202
Skandinaviska Enskilda Banken (SEB)
Sweden
$9.6M +$216K +2,333 +2%
Toronto Dominion Bank
203
Toronto Dominion Bank
Ontario, Canada
$9.58M +$7.77M +83,822 +431%
URS
204
Utah Retirement Systems
Utah
$9.48M – – –
NB
205
Norinchukin Bank
Japan
$9.32M -$360K -3,877 -4%
GWM
206
Geneos Wealth Management
Colorado
$9.27M -$743K -8,007 -7%
CIA
207
CCM Investment Advisers
South Carolina
$8.98M -$139K -1,498 -2%
CBOA
208
Commonwealth Bank of Australia
Australia
$8.77M +$375K +4,043 +4%
SMI
209
Shelter Mutual Insurance
Missouri
$8.75M – – –
Creative Planning
210
Creative Planning
Kansas
$8.59M +$273K +2,949 +3%
Cambridge Investment Research Advisors
211
Cambridge Investment Research Advisors
Iowa
$8.5M -$685K -7,381 -7%
WSTAM
212
Wilbanks Smith & Thomas Asset Management
Virginia
$8.45M – – –
Natixis Advisors
213
Natixis Advisors
Massachusetts
$8.38M -$2.38M -25,616 -22%
GH
214
GAM Holding
Switzerland
$8.36M +$435K +4,690 +5%
LCS
215
Levin Capital Strategies
New York
$8.36M -$6.35M -68,435 -43%
MIM
216
Marco Investment Management
Georgia
$8.3M -$45K -485 -0.5%
SIRP
217
Shelter Insurance Retirement Plan
Missouri
$8.27M – – –
CBOR
218
Community Bank of Raymore
Missouri
$8.22M +$22.3K +240 +0.3%
HNB
219
Huntington National Bank
Ohio
$8.2M -$360K -3,886 -4%
WCMN
220
Westchester Capital Management (Nebraska)
Nebraska
$8.05M -$371K -3,995 -4%
CIC
221
Cutler Investment Counsel
Oregon
$8.02M +$24.1K +260 +0.3%
ZIG
222
Zurich Insurance Group
Switzerland
$7.99M -$3.87M -41,742 -33%
SI
223
SII Investments
Wisconsin
$7.94M -$2.99M -32,256 -27%
NIA
224
Northstar Investment Advisors
Colorado
$7.93M +$401K +4,322 +5%
BAM
225
Bruderman Asset Management
New York
$7.83M -$226K -2,432 -3%
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