CATERPILLAR INC

Ticker: CAT CUSIP: 149123101 Class: COM

Ground Swell Capital, LLC's Holding History (CIK: 0001534450)

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

Q3 2021

Shares 1,260 Value ($000) $242 Avg Close $192.08 Range $172.62 - $206.58

Q3 2014

Shares 1,059 Value ($000) $105 Avg Close $79.29 Range $73.57 - $83.32

Q2 2014

Shares 714 Value ($000) $78 Avg Close $78.02 Range $73.19 - $81.73

Period	Shares	Value ($000)	Average Close	Price Range
Q3 2021	1,260	$242	$192.08	$172.62 - $206.58
Q3 2014	1,059	$105	$79.29	$73.57 - $83.32
Q2 2014	714	$78	$78.02	$73.19 - $81.73