CATERPILLAR INC

Ticker: CAT CUSIP: 149123101 Class: COM

NorthRock Partners, LLC's Holding History (CIK: 0001632097)

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

Q4 2025

Shares 8,744 Value ($000) $5,010 Avg Close $555.50 Range $469.79 - $627.50

Q3 2025

Shares 12,540 Value ($000) $5,983 Avg Close $425.39 Range $381.75 - $483.95

Q2 2025

Shares 10,041 Value ($000) $3,898 Avg Close $330.84 Range $264.29 - $386.62

Q1 2025

Shares 10,348 Value ($000) $3,413 Avg Close $351.95 Range $315.09 - $404.98

Q4 2024

Shares 10,071 Value ($000) $3,653 Avg Close $381.74 Range $351.93 - $412.27

Q3 2024

Shares 10,264 Value ($000) $4,014 Avg Close $338.69 Range $301.40 - $389.91

Q2 2024

Shares 9,848 Value ($000) $3,280 Avg Close $338.69 Range $308.78 - $372.10

Q1 2024

Shares 9,555 Value ($000) $3,501 Avg Close $311.07 Range $268.51 - $357.70

Q4 2023

Shares 9,259 Value ($000) $2,738 Avg Close $251.22 Range $216.95 - $290.10

Q3 2023

Shares 5,178 Value ($000) $1,414 Avg Close $261.47 Range $229.25 - $283.47

Q2 2023

Shares 4,287 Value ($000) $1,055 Avg Close $213.76 Range $195.84 - $240.81

Q1 2023

Shares 5,001 Value ($000) $1,144 Avg Close $230.59 Range $201.84 - $253.98

Q4 2022

Shares 5,878 Value ($000) $1,408 Avg Close $206.59 Range $156.72 - $232.83

Q3 2022

Shares 5,737 Value ($000) $941 Avg Close $172.21 Range $151.58 - $189.11

Q2 2022

Shares 6,051 Value ($000) $1,082 Avg Close $197.29 Range $164.98 - $221.91

Q1 2022

Shares 5,984 Value ($000) $1,333 Avg Close $195.46 Range $167.60 - $214.37

Q4 2021

Shares 4,707 Value ($000) $973 Avg Close $186.69 Range $173.30 - $200.95

Q3 2021

Shares 3,579 Value ($000) $723 Avg Close $192.08 Range $172.62 - $206.58

Q2 2021

Shares 2,952 Value ($000) $643 Avg Close $211.85 Range $188.71 - $226.53

Q1 2021

Shares 2,671 Value ($000) $619 Avg Close $189.09 Range $163.90 - $217.37

Q4 2020

Shares 3,170 Value ($000) $577 Avg Close $153.98 Range $129.92 - $167.14

Q3 2020

Shares 3,691 Value ($000) $551 Avg Close $126.81 Range $112.24 - $141.22

Q2 2020

Shares 3,091 Value ($000) $391 Avg Close $106.19 Range $89.90 - $125.54

Q1 2020

Shares 2,837 Value ($000) $329 Avg Close $113.38 Range $77.78 - $132.89

Q4 2019

Shares 2,641 Value ($000) $390 Avg Close $123.01 Range $102.69 - $131.46

Period	Shares	Value ($000)	Average Close	Price Range
Q4 2025	8,744	$5,010	$555.50	$469.79 - $627.50
Q3 2025	12,540	$5,983	$425.39	$381.75 - $483.95
Q2 2025	10,041	$3,898	$330.84	$264.29 - $386.62
Q1 2025	10,348	$3,413	$351.95	$315.09 - $404.98
Q4 2024	10,071	$3,653	$381.74	$351.93 - $412.27
Q3 2024	10,264	$4,014	$338.69	$301.40 - $389.91
Q2 2024	9,848	$3,280	$338.69	$308.78 - $372.10
Q1 2024	9,555	$3,501	$311.07	$268.51 - $357.70
Q4 2023	9,259	$2,738	$251.22	$216.95 - $290.10
Q3 2023	5,178	$1,414	$261.47	$229.25 - $283.47
Q2 2023	4,287	$1,055	$213.76	$195.84 - $240.81
Q1 2023	5,001	$1,144	$230.59	$201.84 - $253.98
Q4 2022	5,878	$1,408	$206.59	$156.72 - $232.83
Q3 2022	5,737	$941	$172.21	$151.58 - $189.11
Q2 2022	6,051	$1,082	$197.29	$164.98 - $221.91
Q1 2022	5,984	$1,333	$195.46	$167.60 - $214.37
Q4 2021	4,707	$973	$186.69	$173.30 - $200.95
Q3 2021	3,579	$723	$192.08	$172.62 - $206.58
Q2 2021	2,952	$643	$211.85	$188.71 - $226.53
Q1 2021	2,671	$619	$189.09	$163.90 - $217.37
Q4 2020	3,170	$577	$153.98	$129.92 - $167.14
Q3 2020	3,691	$551	$126.81	$112.24 - $141.22
Q2 2020	3,091	$391	$106.19	$89.90 - $125.54
Q1 2020	2,837	$329	$113.38	$77.78 - $132.89
Q4 2019	2,641	$390	$123.01	$102.69 - $131.46