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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.

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
1
Capital World Investors
California
$1.98B
2
SF
2
Sarofim Fayez
Texas
$191M
3
JPMorgan Chase & Co
3
JPMorgan Chase & Co
New York
$497M
4
Franklin Resources
4
Franklin Resources
California
$445M
5
SG Americas Securities
5
SG Americas Securities
New York
$150M

Top Sellers

1
State Street
1
State Street
Massachusetts
$5.68B
2
Fidelity Investments
2
Fidelity Investments
Massachusetts
$540M
3
Susquehanna International Group
3
Susquehanna International Group
Pennsylvania
$162M
4
HSBC Holdings
4
HSBC Holdings
United Kingdom
$135M
5
Schroder Investment Management Group
5
Schroder Investment Management Group
United Kingdom
$46.8M
Name Market Value Shares Shares
Change 		Shares
Change %
State Street
1
State Street
Massachusetts
$5.68B 68,173,403 -2,644,853 -4%
Vanguard Group
2
Vanguard Group
Pennsylvania
$2.85B 34,158,431 +168,122 +0.5%
Capital World Investors
3
Capital World Investors
California
$1.98B 23,750,000 +2,695,000 +13%
State Farm Mutual Automobile Insurance
4
State Farm Mutual Automobile Insurance
Illinois
$1.64B 19,707,800 – –
BIT
5
BlackRock Institutional Trust
California
$1.38B 16,582,078 -542,448 -3%
Gates Foundation Trust
6
Gates Foundation Trust
Washington
$897M 10,760,857 – –
Bank of New York Mellon
7
Bank of New York Mellon
New York
$833M 9,985,393 -181,501 -2%
Northern Trust
8
Northern Trust
Illinois
$755M 9,056,445 -528,428 -6%
Bank of America
9
Bank of America
North Carolina
$553M 6,625,663 -262,788 -4%
Fidelity Investments
10
Fidelity Investments
Massachusetts
$540M 6,478,837 -1,745,221 -21%
JPMorgan Chase & Co
11
JPMorgan Chase & Co
New York
$497M 5,956,754 +1,988,714 +50%
BFA
12
BlackRock Fund Advisors
California
$479M 5,746,122 -35,582 -0.6%
Franklin Resources
13
Franklin Resources
California
$445M 5,341,491 +1,334,141 +33%
Morgan Stanley
14
Morgan Stanley
New York
$421M 5,045,651 +219,769 +5%
Norges Bank
15
Norges Bank
Norway
$400M 4,797,456 -646,978 -12%
Geode Capital Management
16
Geode Capital Management
Massachusetts
$379M 4,542,050 +20,452 +0.5%
Primecap Management
17
Primecap Management
California
$370M 4,442,180 +27,166 +0.6%
BG
18
BlackRock Group
United Kingdom
$368M 4,416,898 +184,928 +4%
Deutsche Bank
19
Deutsche Bank
Germany
$311M 3,727,655 +613,632 +20%
Goldman Sachs
20
Goldman Sachs
New York
$275M 3,299,954 +410,417 +14%
EVM
21
Eaton Vance Management
Massachusetts
$267M 3,200,648 +407,137 +15%
Legal & General Group
22
Legal & General Group
United Kingdom
$251M 3,011,672 +26,057 +0.9%
Wells Fargo
23
Wells Fargo
California
$243M 2,914,838 -86,584 -3%
ClearBridge Investments
24
ClearBridge Investments
New York
$220M 2,635,760 +38,191 +1%
CS
25
Credit Suisse
Switzerland
$216M 2,588,703 -242,682 -9%
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