CATERPILLAR INC

Ticker: CAT CUSIP: 149123101 Class: COM

HIGHBRIDGE CAPITAL MANAGEMENT LLC's Holding History (CIK: 0000919185)

Note: Option positions (PUT/CALL) are excluded.

Q3 2018

Shares 27,343 Value ($000) $4,169 Avg Close $120.51 Range $110.40 - $134.53

Q2 2018

Shares 10,200 Value ($000) $1,384 Avg Close $126.53 Range $112.48 - $137.00

Q1 2018

Shares 2,159 Value ($000) $318 Avg Close $133.07 Range $120.49 - $146.01

Q4 2017

Shares 12,951 Value ($000) $2,041 Avg Close $116.31 Range $103.45 - $133.20

Q3 2017

Shares 17,781 Value ($000) $2,217 Avg Close $96.02 Range $87.71 - $104.79

Q4 2016

Shares 16,500 Value ($000) $1,530 Avg Close $73.74 Range $65.47 - $79.39

Q1 2016

Shares 17,509 Value ($000) $1,340 Avg Close $53.06 Range $44.66 - $61.22

Q4 2014

Shares 360,469 Value ($000) $32,994 Avg Close $73.34 Range $66.42 - $80.82

Q3 2014

Shares 22,034 Value ($000) $2,182 Avg Close $79.29 Range $73.57 - $83.32

Q1 2014

Shares 5,593 Value ($000) $556 Avg Close $69.69 Range $63.53 - $74.44

Q4 2013

Shares 5,902 Value ($000) $536 Avg Close $62.67 Range $60.17 - $67.37

Q3 2013

Shares 41,355 Value ($000) $3,450 Avg Close $61.64 Range $58.99 - $64.50

Period	Shares	Value ($000)	Average Close	Price Range
Q3 2018	27,343	$4,169	$120.51	$110.40 - $134.53
Q2 2018	10,200	$1,384	$126.53	$112.48 - $137.00
Q1 2018	2,159	$318	$133.07	$120.49 - $146.01
Q4 2017	12,951	$2,041	$116.31	$103.45 - $133.20
Q3 2017	17,781	$2,217	$96.02	$87.71 - $104.79
Q4 2016	16,500	$1,530	$73.74	$65.47 - $79.39
Q1 2016	17,509	$1,340	$53.06	$44.66 - $61.22
Q4 2014	360,469	$32,994	$73.34	$66.42 - $80.82
Q3 2014	22,034	$2,182	$79.29	$73.57 - $83.32
Q1 2014	5,593	$556	$69.69	$63.53 - $74.44
Q4 2013	5,902	$536	$62.67	$60.17 - $67.37
Q3 2013	41,355	$3,450	$61.64	$58.99 - $64.50