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ASCEND CAPITAL, LLC
> CAT
| Date | Name | Ticker | Shares | Change | Value | Change | Price |
| 09/30/2018 | CATERPILLAR INC | CAT | 0 | -63,469 | 0 | -8,611,000 | |
| 06/30/2018 | CATERPILLAR INC | CAT | 63,469 | 55,105 | 8,611,000 | 7,378,000 | $135.67 |
| 03/31/2018 | CATERPILLAR INC | CAT | 8,364 | 8,364 | 1,233,000 | 1,233,000 | $147.42 |
| 12/31/2008 | CATERPILLAR INC | CAT | 0 | -62,900 | 0 | -4,925,000 | |
| 09/30/2007 | CATERPILLAR INC | CAT | 0 | -62,900 | 0 | -4,925,000 | |
| 06/30/2007 | CATERPILLAR INC | CAT | 62,900 | 10,338 | 4,925,000 | 1,403,000 | $78.30 |
| 03/31/2007 | CATERPILLAR INC | CAT | 52,562 | -248,922 | 3,522,000 | -14,969,000 | $67.01 |
| 12/31/2006 | CATERPILLAR INC | CAT | 301,484 | 301,484 | 18,491,000 | 18,491,000 | $61.33 |
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