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SHUFRO ROSE & CO LLC
> CAT
| Date | Name | Ticker | Shares | Change | Value | Change | Price |
| 12/31/2022 | CATERPILLAR INC | CAT | 900 | 900 | 215,604,000 | 215,604,000 | $239,560.00 |
| 06/30/2022 | CATERPILLAR INC | CAT | 0 | -900 | 0 | -201,000 | |
| 03/31/2022 | CATERPILLAR INC | CAT | 900 | -100 | 201,000 | -6,000 | $223.33 |
| 12/31/2021 | CATERPILLAR INC | CAT | 1,000 | -973 | 207,000 | -222,000 | $207.00 |
| 06/30/2021 | CATERPILLAR INC | CAT | 1,973 | 8 | 429,000 | 71,000 | $217.44 |
| 12/31/2020 | CATERPILLAR INC | CAT | 1,965 | -444 | 358,000 | -1,000 | $182.19 |
| 09/30/2020 | CATERPILLAR INC | CAT | 2,409 | 2,409 | 359,000 | 359,000 | $149.02 |
| 12/31/2012 | CATERPILLAR INC | CAT | 0 | -3,100 | 0 | -266,000 | |
| 09/30/2012 | CATERPILLAR INC | CAT | 3,100 | 3,100 | 266,000 | 266,000 | $85.81 |
| 06/30/2006 | CATERPILLAR INC | CAT | 0 | -3,965 | 0 | -318,984 | |
| 12/31/2004 | CATERPILLAR INC | CAT | 0 | -3,965 | 0 | -318,984 | |
| 09/30/2004 | CATERPILLAR INC | CAT | 3,965 | -25 | 318,984 | 2,018 | $80.45 |
| 06/30/2004 | CATERPILLAR INC | CAT | 3,990 | -89 | 316,966 | -5,561 | $79.44 |
| 03/31/2004 | CATERPILLAR INC | CAT | 4,079 | 0 | 322,527 | -16,112 | $79.07 |
| 12/31/2003 | CATERPILLAR INC | CAT | 4,079 | 400 | 338,639 | 85,377 | $83.02 |
| 09/30/2003 | CATERPILLAR INC | CAT | 3,679 | 0 | 253,262 | 48,489 | $68.84 |
| 06/30/2003 | CATERPILLAR INC | CAT | 3,679 | 3,679 | 204,773 | 204,773 | $55.66 |
| 09/30/2001 | CATERPILLAR INC | CAT | 0 | -7,345 | 0 | -367,617 | |
| 06/30/2001 | CATERPILLAR INC | CAT | 7,345 | 7,345 | 367,617 | 367,617 | $50.05 |
| 03/31/2001 | CATERPILLAR INC | CAT | 0 | -7,964 | 0 | -376,801 | |
| 12/31/2000 | CATERPILLAR INC | CAT | 7,964 | -283 | 376,801 | 98,465 | $47.31 |
| 09/30/2000 | CATERPILLAR INC | CAT | 8,247 | -2,966 | 278,336 | -112,664 | $33.75 |
| 06/30/2000 | CATERPILLAR INC | CAT | 11,213 | -465 | 391,000 | -18,000 | $34.87 |
| 03/31/2000 | CATERPILLAR INC | CAT | 11,678 | 11,678 | 409,000 | 409,000 | $35.02 |
| 12/31/1999 | CATERPILLAR INC | CAT | 9,835 | -1,320 | 463,000 | -148,000 | $47.08 |
| 09/30/1999 | CATERPILLAR INC | CAT | 11,155 | -116 | 611,000 | -65,000 | $54.77 |
| 06/30/1999 | CATERPILLAR INC | CAT | 11,271 | -1,529 | 676,000 | 88,000 | $59.98 |
| 03/31/1999 | CATERPILLAR INC | CAT | 12,800 | 12,800 | 588,000 | 588,000 | $45.94 |
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