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Roc Capital Management, L.P.
> CAT
| Date | Name | Ticker | Shares | Change | Value | Change | Price |
| 06/30/2013 | CATERPILLAR INC | CAT | 3,912 | -3,319 | 323,000 | -325,000 | $82.57 |
| 03/31/2013 | CATERPILLAR INC | CAT | 0 | -7,231 | 0 | -648,000 | |
| 12/31/2012 | CATERPILLAR INC | CAT | 7,231 | 1,435 | 648,000 | 149,000 | $89.61 |
| 09/30/2012 | CATERPILLAR INC | CAT | 5,796 | 2,513 | 499,000 | 220,000 | $86.09 |
| 06/30/2012 | CATERPILLAR INC | CAT | 3,283 | -554 | 279,000 | -130,000 | $84.98 |
| 03/31/2012 | CATERPILLAR INC | CAT | 3,837 | 413 | 409,000 | 194,000 | $106.59 |
| 03/31/2010 | CATERPILLAR INC | CAT | 3,424 | 3,424 | 215,000 | 215,000 | $62.79 |
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