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OPPENHEIMER ASSET MANAGEMENT INC.
> CAT
| Date | Name | Ticker | Shares | Change | Value | Change | Price |
| 03/31/2023 | CATERPILLAR INC | CAT | 32,191 | -25,205 | 7,366,589,000 | -6,383,197,000 | $228,840.02 |
| 12/31/2022 | CATERPILLAR INC | CAT | 57,396 | 1,138 | 13,749,786,000 | 13,740,556,000 | $239,560.00 |
| 09/30/2022 | CATERPILLAR INC | CAT | 56,258 | 3,124 | 9,230,000 | -268,000 | $164.07 |
| 06/30/2022 | CATERPILLAR INC | CAT | 53,134 | -633 | 9,498,000 | -2,483,000 | $178.76 |
| 03/31/2022 | CATERPILLAR INC | CAT | 53,767 | 715 | 11,981,000 | 1,013,000 | $222.83 |
| 12/31/2021 | CATERPILLAR INC | CAT | 53,052 | 17,144 | 10,968,000 | 4,075,000 | $206.74 |
| 09/30/2021 | CATERPILLAR INC | CAT | 35,908 | 1,583 | 6,893,000 | -577,000 | $191.96 |
| 06/30/2021 | CATERPILLAR INC | CAT | 34,325 | -1,937 | 7,470,000 | 870,000 | $217.63 |
| 12/31/2020 | CATERPILLAR INC | CAT | 36,262 | -187 | 6,600,000 | 1,164,000 | $182.01 |
| 09/30/2020 | CATERPILLAR INC | CAT | 36,449 | 30,759 | 5,436,000 | 4,716,000 | $149.14 |
| 06/30/2020 | CATERPILLAR INC | CAT | 5,690 | 869 | 720,000 | 161,000 | $126.54 |
| 03/31/2020 | CATERPILLAR INC | CAT | 4,821 | 4,821 | 559,000 | 559,000 | $115.95 |
| 12/31/2019 | CATERPILLAR INC | CAT | 0 | -25 | 0 | -3,000 | |
| 09/30/2019 | CATERPILLAR INC | CAT | 25 | -3,068 | 3,000 | -419,000 | $120.00 |
| 06/30/2019 | CATERPILLAR INC | CAT | 3,093 | 78 | 422,000 | 14,000 | $136.44 |
| 03/31/2019 | CATERPILLAR INC | CAT | 3,015 | 633 | 408,000 | 105,000 | $135.32 |
| 12/31/2018 | CATERPILLAR INC | CAT | 2,382 | -2,006 | 303,000 | -366,000 | $127.20 |
| 09/30/2018 | CATERPILLAR INC | CAT | 4,388 | -8,881 | 669,000 | -1,132,000 | $152.46 |
| 06/30/2018 | CATERPILLAR INC | CAT | 13,269 | 1,268 | 1,801,000 | 32,000 | $135.73 |
| 03/31/2018 | CATERPILLAR INC | CAT | 12,001 | 4,629 | 1,769,000 | 849,000 | $147.40 |
| 12/31/2017 | CATERPILLAR INC | CAT | 7,372 | 0 | 920,000 | 0 | $124.80 |
| 09/30/2017 | CATERPILLAR INC | CAT | 7,372 | -259 | 920,000 | 100,000 | $124.80 |
| 06/30/2017 | CATERPILLAR INC | CAT | 7,631 | -4,243 | 820,000 | -282,000 | $107.46 |
| 03/31/2017 | CATERPILLAR INC | CAT | 11,874 | -69,139 | 1,102,000 | -6,798,000 | $92.81 |
| 12/31/2004 | CATERPILLAR INC | CAT | 81,013 | -30,774 | 7,900,000 | -1,094,000 | $97.52 |
| 09/30/2004 | CATERPILLAR INC | CAT | 111,787 | 28,837 | 8,994,000 | 2,404,000 | $80.46 |
| 06/30/2004 | CATERPILLAR INC | CAT | 82,950 | 5,091 | 6,590,000 | 434,000 | $79.45 |
| 03/31/2004 | CATERPILLAR INC | CAT | 77,859 | -14,342 | 6,156,000 | -1,499,000 | $79.07 |
| 12/31/2003 | CATERPILLAR INC | CAT | 92,201 | 92,201 | 7,655,000 | 7,655,000 | $83.03 |
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