CATERPILLAR INC

Ticker: CAT CUSIP: 149123101 Class: COM

ADVENT CAPITAL MANAGEMENT /DE/'s Holding History (CIK: 0001097278)

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

Q2 2021
Shares 10,500 Value ($000) $2,285 Avg Close $211.85 Range $188.71 - $226.53
Q1 2021
Shares 15,000 Value ($000) $3,478 Avg Close $189.09 Range $163.90 - $217.37
Q4 2020
Shares 15,000 Value ($000) $2,730 Avg Close $153.98 Range $129.92 - $167.14
Q3 2020
Shares 25,000 Value ($000) $3,729 Avg Close $126.81 Range $112.24 - $141.22
Q4 2018
Shares 2,870 Value ($000) $365 Avg Close $111.50 Range $96.19 - $135.93
Q3 2018
Shares 37,400 Value ($000) $5,703 Avg Close $120.51 Range $110.40 - $134.53
Q2 2018
Shares 52,400 Value ($000) $7,109 Avg Close $126.53 Range $112.48 - $137.00
Q1 2018
Shares 60,400 Value ($000) $8,902 Avg Close $133.07 Range $120.49 - $146.01