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Plan Name | CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN |
Plan identification number | 016 |
401k Plan Type | Defined Contribution Pension |
Plan Features/Benefits |
|
Company Name: | CATERPILLAR INC. |
Employer identification number (EIN): | 370602744 |
NAIC Classification: | 333100 |
Additional information about CATERPILLAR INC.
Jurisdiction of Incorporation: | Texas Secretary of State |
Incorporation Date: | 1986-05-07 |
Company Identification Number: | 0006917606 |
Legal Registered Office Address: |
100 NE ADAMS ST PEORIA United States of America (USA) 61629 |
More information about CATERPILLAR INC.
Plan id# | Filing Submission Date | Name of Administrator | Date Administrator Signed | Name of Company Sponsor | Date Sponsor Signed |
---|---|---|---|---|---|
016 | 2015-01-01 | ||||
016 | 2015-01-01 | ||||
016 | 2014-01-01 | LEANNE MORITZ | |||
016 | 2014-01-01 | ||||
016 | 2013-01-01 | ||||
016 | 2012-01-01 | FILED WITH AUTHORIZED SIGNATURE | |||
016 | 2011-01-01 | LEANNE K. MORITZ | |||
016 | 2010-01-01 | JONATHAN D GINZEL | |||
016 | 2009-01-01 | JONATHAN D GINZEL | JONATHAN D GINZEL | 2010-10-15 |
Measure | Date | Value |
---|---|---|
2015: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2015 401k membership | ||
Total participants, beginning-of-year | 2015-01-01 | 4,299 |
Total number of active participants reported on line 7a of the Form 5500 | 2015-01-01 | 0 |
Number of retired or separated participants receiving benefits | 2015-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2015-01-01 | 0 |
Total of all active and inactive participants | 2015-01-01 | 0 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-01-01 | 0 |
Total participants | 2015-01-01 | 0 |
Number of participants with account balances | 2015-01-01 | 0 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2015-01-01 | 0 |
2014: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2014 401k membership | ||
Total participants, beginning-of-year | 2014-01-01 | 4,570 |
Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 2,239 |
Number of retired or separated participants receiving benefits | 2014-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2014-01-01 | 2,004 |
Total of all active and inactive participants | 2014-01-01 | 4,243 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-01-01 | 45 |
Total participants | 2014-01-01 | 4,288 |
Number of participants with account balances | 2014-01-01 | 3,892 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-01-01 | 0 |
2013: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2013 401k membership | ||
Total participants, beginning-of-year | 2013-01-01 | 5,370 |
Total number of active participants reported on line 7a of the Form 5500 | 2013-01-01 | 2,330 |
Number of retired or separated participants receiving benefits | 2013-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2013-01-01 | 2,128 |
Total of all active and inactive participants | 2013-01-01 | 4,458 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-01-01 | 38 |
Total participants | 2013-01-01 | 4,496 |
Number of participants with account balances | 2013-01-01 | 4,175 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-01-01 | 0 |
2012: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2012 401k membership | ||
Total participants, beginning-of-year | 2012-01-01 | 6,828 |
Total number of active participants reported on line 7a of the Form 5500 | 2012-01-01 | 3,443 |
Number of retired or separated participants receiving benefits | 2012-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2012-01-01 | 2,622 |
Total of all active and inactive participants | 2012-01-01 | 6,065 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-01-01 | 52 |
Total participants | 2012-01-01 | 6,117 |
Number of participants with account balances | 2012-01-01 | 5,299 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-01-01 | 0 |
2011: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2011 401k membership | ||
Total participants, beginning-of-year | 2011-01-01 | 6,812 |
Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 4,030 |
Number of retired or separated participants receiving benefits | 2011-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2011-01-01 | 2,724 |
Total of all active and inactive participants | 2011-01-01 | 6,754 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-01-01 | 50 |
Total participants | 2011-01-01 | 6,804 |
Number of participants with account balances | 2011-01-01 | 5,504 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-01-01 | 0 |
2010: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2010 401k membership | ||
Total participants, beginning-of-year | 2010-01-01 | 6,391 |
Total number of active participants reported on line 7a of the Form 5500 | 2010-01-01 | 4,567 |
Number of retired or separated participants receiving benefits | 2010-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2010-01-01 | 2,798 |
Total of all active and inactive participants | 2010-01-01 | 7,365 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2010-01-01 | 52 |
Total participants | 2010-01-01 | 7,417 |
Number of participants with account balances | 2010-01-01 | 5,881 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2010-01-01 | 0 |
2009: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2009 401k membership | ||
Total participants, beginning-of-year | 2009-01-01 | 9,426 |
Total number of active participants reported on line 7a of the Form 5500 | 2009-01-01 | 5,013 |
Number of retired or separated participants receiving benefits | 2009-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2009-01-01 | 2,947 |
Total of all active and inactive participants | 2009-01-01 | 7,960 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-01-01 | 92 |
Total participants | 2009-01-01 | 8,052 |
Number of participants with account balances | 2009-01-01 | 6,391 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-01-01 | 0 |
Measure | Date | Value |
---|---|---|
2015 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2015 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2015-12-31 | $0 |
Total transfer of assets from this plan | 2015-12-31 | $279,139,896 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $423,652 |
Total income from all sources (including contributions) | 2015-12-31 | $-17,588,725 |
Total loss/gain on sale of assets | 2015-12-31 | $0 |
Total of all expenses incurred | 2015-12-31 | $36,064,916 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $36,585,263 |
Expenses. Certain deemed distributions of participant loans | 2015-12-31 | $-901,489 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $5,244,401 |
Value of total assets at end of year | 2015-12-31 | $0 |
Value of total assets at beginning of year | 2015-12-31 | $333,217,189 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $381,142 |
Total interest from all sources | 2015-12-31 | $328,843 |
Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
Administrative expenses professional fees incurred | 2015-12-31 | $85,557 |
Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
Value of fidelity bond cover | 2015-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
Contributions received from participants | 2015-12-31 | $5,244,401 |
Participant contributions at end of year | 2015-12-31 | $0 |
Participant contributions at beginning of year | 2015-12-31 | $4,636,983 |
Assets. Other investments not covered elsewhere at end of year | 2015-12-31 | $0 |
Assets. Other investments not covered elsewhere at beginning of year | 2015-12-31 | $7,316,622 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2015-12-31 | $0 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-12-31 | $480,247 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2015-12-31 | $0 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2015-12-31 | $423,652 |
Other income not declared elsewhere | 2015-12-31 | $-730,176 |
Total non interest bearing cash at end of year | 2015-12-31 | $0 |
Total non interest bearing cash at beginning of year | 2015-12-31 | $41,756 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
Value of net income/loss | 2015-12-31 | $-53,653,641 |
Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $0 |
Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $332,793,537 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
Investment advisory and management fees | 2015-12-31 | $211,391 |
Interest on participant loans | 2015-12-31 | $187,029 |
Interest earned on other investments | 2015-12-31 | $141,814 |
Value of interest in master investment trust accounts at end of year | 2015-12-31 | $0 |
Value of interest in master investment trust accounts at beginning of year | 2015-12-31 | $320,741,581 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $36,585,263 |
Contract administrator fees | 2015-12-31 | $84,194 |
Did the plan have assets held for investment | 2015-12-31 | No |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | Yes |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Unqualified |
Accountancy firm name | 2015-12-31 | PRICEWATERHOUSECOOPERS LLC |
Accountancy firm EIN | 2015-12-31 | 134008324 |
2014 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2014 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $423,652 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
Total income from all sources (including contributions) | 2014-12-31 | $21,657,156 |
Total loss/gain on sale of assets | 2014-12-31 | $0 |
Total of all expenses incurred | 2014-12-31 | $39,890,084 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $39,509,960 |
Expenses. Certain deemed distributions of participant loans | 2014-12-31 | $-5,070 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $6,077,841 |
Value of total assets at end of year | 2014-12-31 | $333,217,189 |
Value of total assets at beginning of year | 2014-12-31 | $351,026,465 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $385,194 |
Total interest from all sources | 2014-12-31 | $388,574 |
Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
Administrative expenses professional fees incurred | 2014-12-31 | $82,435 |
Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
Value of fidelity bond cover | 2014-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | Yes |
Amount of non-exempt transactions with any party-in-interest | 2014-12-31 | $9,301 |
Contributions received from participants | 2014-12-31 | $6,077,841 |
Participant contributions at end of year | 2014-12-31 | $4,636,983 |
Participant contributions at beginning of year | 2014-12-31 | $4,691,397 |
Assets. Other investments not covered elsewhere at end of year | 2014-12-31 | $7,316,622 |
Assets. Other investments not covered elsewhere at beginning of year | 2014-12-31 | $6,052,799 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-12-31 | $480,247 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2014-12-31 | $0 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2014-12-31 | $423,652 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2014-12-31 | $0 |
Other income not declared elsewhere | 2014-12-31 | $-340,038 |
Administrative expenses (other) incurred | 2014-12-31 | $12,397 |
Total non interest bearing cash at end of year | 2014-12-31 | $41,756 |
Total non interest bearing cash at beginning of year | 2014-12-31 | $0 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
Value of net income/loss | 2014-12-31 | $-18,232,928 |
Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $332,793,537 |
Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $351,026,465 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
Investment advisory and management fees | 2014-12-31 | $190,961 |
Interest on participant loans | 2014-12-31 | $202,386 |
Interest earned on other investments | 2014-12-31 | $186,188 |
Value of interest in master investment trust accounts at end of year | 2014-12-31 | $320,741,581 |
Value of interest in master investment trust accounts at beginning of year | 2014-12-31 | $340,282,269 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $39,509,960 |
Contract administrator fees | 2014-12-31 | $99,401 |
Did the plan have assets held for investment | 2014-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Unqualified |
Accountancy firm name | 2014-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2014-12-31 | 134008324 |
2013 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2013 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
Total transfer of assets from this plan | 2013-12-31 | $58,940,182 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
Total income from all sources (including contributions) | 2013-12-31 | $38,426,035 |
Total loss/gain on sale of assets | 2013-12-31 | $0 |
Total of all expenses incurred | 2013-12-31 | $34,662,845 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $35,093,346 |
Expenses. Certain deemed distributions of participant loans | 2013-12-31 | $-781,710 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $6,020,848 |
Value of total assets at end of year | 2013-12-31 | $351,026,465 |
Value of total assets at beginning of year | 2013-12-31 | $406,203,457 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $351,209 |
Total interest from all sources | 2013-12-31 | $213,215 |
Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
Administrative expenses professional fees incurred | 2013-12-31 | $87,146 |
Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
Value of fidelity bond cover | 2013-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | Yes |
Amount of non-exempt transactions with any party-in-interest | 2013-12-31 | $9,301 |
Contributions received from participants | 2013-12-31 | $6,020,848 |
Participant contributions at end of year | 2013-12-31 | $4,691,397 |
Participant contributions at beginning of year | 2013-12-31 | $5,339,295 |
Assets. Other investments not covered elsewhere at end of year | 2013-12-31 | $6,052,799 |
Assets. Other investments not covered elsewhere at beginning of year | 2013-12-31 | $5,044,436 |
Other income not declared elsewhere | 2013-12-31 | $1,056,965 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
Value of net income/loss | 2013-12-31 | $3,763,190 |
Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $351,026,465 |
Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $406,203,457 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
Investment advisory and management fees | 2013-12-31 | $182,182 |
Interest on participant loans | 2013-12-31 | $213,215 |
Value of interest in master investment trust accounts at end of year | 2013-12-31 | $340,282,269 |
Value of interest in master investment trust accounts at beginning of year | 2013-12-31 | $395,819,726 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $35,093,346 |
Contract administrator fees | 2013-12-31 | $81,881 |
Did the plan have assets held for investment | 2013-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Unqualified |
Accountancy firm name | 2013-12-31 | PRICEWATERHOUSECOOPERS LLC |
Accountancy firm EIN | 2013-12-31 | 134008324 |
2012 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2012 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2012-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total income from all sources (including contributions) | 2012-12-31 | $33,309,920 |
Total loss/gain on sale of assets | 2012-12-31 | $0 |
Total of all expenses incurred | 2012-12-31 | $38,219,454 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $37,689,887 |
Expenses. Certain deemed distributions of participant loans | 2012-12-31 | $99,440 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $8,966,812 |
Value of total assets at end of year | 2012-12-31 | $406,203,457 |
Value of total assets at beginning of year | 2012-12-31 | $411,112,991 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $430,127 |
Total interest from all sources | 2012-12-31 | $230,869 |
Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
Administrative expenses professional fees incurred | 2012-12-31 | $75,517 |
Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
Value of fidelity bond cover | 2012-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
Contributions received from participants | 2012-12-31 | $8,966,812 |
Participant contributions at end of year | 2012-12-31 | $5,339,295 |
Participant contributions at beginning of year | 2012-12-31 | $4,925,311 |
Participant contributions at end of year | 2012-12-31 | $0 |
Participant contributions at beginning of year | 2012-12-31 | $3,203 |
Assets. Other investments not covered elsewhere at end of year | 2012-12-31 | $5,044,436 |
Assets. Other investments not covered elsewhere at beginning of year | 2012-12-31 | $4,327,561 |
Other income not declared elsewhere | 2012-12-31 | $490,203 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Value of net income/loss | 2012-12-31 | $-4,909,534 |
Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $406,203,457 |
Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $411,112,991 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
Investment advisory and management fees | 2012-12-31 | $147,419 |
Interest on participant loans | 2012-12-31 | $230,869 |
Value of interest in master investment trust accounts at end of year | 2012-12-31 | $395,819,726 |
Value of interest in master investment trust accounts at beginning of year | 2012-12-31 | $401,856,916 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $37,689,887 |
Contract administrator fees | 2012-12-31 | $207,191 |
Did the plan have assets held for investment | 2012-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Unqualified |
Accountancy firm name | 2012-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2012-12-31 | 134008324 |
2011 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2011 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2011-12-31 | $0 |
Total transfer of assets to this plan | 2011-12-31 | $19,132 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
Total income from all sources (including contributions) | 2011-12-31 | $10,625,701 |
Total loss/gain on sale of assets | 2011-12-31 | $0 |
Total of all expenses incurred | 2011-12-31 | $47,541,727 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $47,031,446 |
Expenses. Certain deemed distributions of participant loans | 2011-12-31 | $241,008 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $11,032,403 |
Value of total assets at end of year | 2011-12-31 | $411,112,991 |
Value of total assets at beginning of year | 2011-12-31 | $448,009,885 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $269,273 |
Total interest from all sources | 2011-12-31 | $250,887 |
Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
Administrative expenses professional fees incurred | 2011-12-31 | $41,077 |
Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
Value of fidelity bond cover | 2011-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
Contributions received from participants | 2011-12-31 | $11,032,403 |
Participant contributions at end of year | 2011-12-31 | $4,925,311 |
Participant contributions at beginning of year | 2011-12-31 | $5,004,319 |
Participant contributions at end of year | 2011-12-31 | $3,203 |
Participant contributions at beginning of year | 2011-12-31 | $0 |
Assets. Other investments not covered elsewhere at end of year | 2011-12-31 | $4,327,561 |
Assets. Other investments not covered elsewhere at beginning of year | 2011-12-31 | $5,158,990 |
Other income not declared elsewhere | 2011-12-31 | $-506,801 |
Administrative expenses (other) incurred | 2011-12-31 | $0 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Value of net income/loss | 2011-12-31 | $-36,916,026 |
Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $411,112,991 |
Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $448,009,885 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
Investment advisory and management fees | 2011-12-31 | $104,290 |
Interest on participant loans | 2011-12-31 | $250,887 |
Value of interest in master investment trust accounts at end of year | 2011-12-31 | $401,856,916 |
Value of interest in master investment trust accounts at beginning of year | 2011-12-31 | $437,846,576 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $47,031,446 |
Contract administrator fees | 2011-12-31 | $123,906 |
Did the plan have assets held for investment | 2011-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Unqualified |
Accountancy firm name | 2011-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2011-12-31 | 134008324 |
2010 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2010 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total income from all sources (including contributions) | 2010-12-31 | $119,050,737 |
Total loss/gain on sale of assets | 2010-12-31 | $0 |
Total of all expenses incurred | 2010-12-31 | $35,052,142 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $34,615,296 |
Expenses. Certain deemed distributions of participant loans | 2010-12-31 | $184,550 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $12,787,103 |
Value of total assets at end of year | 2010-12-31 | $448,009,885 |
Value of total assets at beginning of year | 2010-12-31 | $364,011,290 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $252,296 |
Total interest from all sources | 2010-12-31 | $308,748 |
Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
Administrative expenses professional fees incurred | 2010-12-31 | $68,238 |
Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
Value of fidelity bond cover | 2010-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
Contributions received from participants | 2010-12-31 | $11,563,571 |
Participant contributions at end of year | 2010-12-31 | $5,004,319 |
Participant contributions at beginning of year | 2010-12-31 | $5,423,208 |
Participant contributions at end of year | 2010-12-31 | $0 |
Participant contributions at beginning of year | 2010-12-31 | $2,852 |
Assets. Other investments not covered elsewhere at end of year | 2010-12-31 | $5,158,990 |
Assets. Other investments not covered elsewhere at beginning of year | 2010-12-31 | $5,035,573 |
Income. Received or receivable in cash from other sources (including rollovers) | 2010-12-31 | $1,223,532 |
Other income not declared elsewhere | 2010-12-31 | $676,508 |
Administrative expenses (other) incurred | 2010-12-31 | $0 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Value of net income/loss | 2010-12-31 | $83,998,595 |
Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $448,009,885 |
Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $364,011,290 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
Investment advisory and management fees | 2010-12-31 | $46,301 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $0 |
Interest on participant loans | 2010-12-31 | $308,748 |
Value of interest in master investment trust accounts at end of year | 2010-12-31 | $437,846,576 |
Value of interest in master investment trust accounts at beginning of year | 2010-12-31 | $353,549,657 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $34,615,296 |
Contract administrator fees | 2010-12-31 | $137,757 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2010-12-31 | No |
Did the plan have assets held for investment | 2010-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Unqualified |
Accountancy firm name | 2010-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2010-12-31 | 134008324 |
2009 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2009 401k financial data | ||
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2009-12-31 | $0 |
2015: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2015 form 5500 responses | ||
---|---|---|
2015-01-01 | Type of plan entity | Single employer plan |
2015-01-01 | Submission has been amended | No |
2015-01-01 | This submission is the final filing | Yes |
2015-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2015-01-01 | Plan is a collectively bargained plan | Yes |
2015-01-01 | Plan funding arrangement – Trust | Yes |
2015-01-01 | Plan benefit arrangement - Trust | Yes |
2014: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2014 form 5500 responses | ||
2014-01-01 | Type of plan entity | Single employer plan |
2014-01-01 | Submission has been amended | Yes |
2014-01-01 | This submission is the final filing | No |
2014-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2014-01-01 | Plan is a collectively bargained plan | Yes |
2014-01-01 | Plan funding arrangement – Trust | Yes |
2014-01-01 | Plan benefit arrangement - Trust | Yes |
2013: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2013 form 5500 responses | ||
2013-01-01 | Type of plan entity | Single employer plan |
2013-01-01 | Submission has been amended | Yes |
2013-01-01 | This submission is the final filing | No |
2013-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2013-01-01 | Plan is a collectively bargained plan | Yes |
2013-01-01 | Plan funding arrangement – Trust | Yes |
2013-01-01 | Plan benefit arrangement - Trust | Yes |
2012: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2012 form 5500 responses | ||
2012-01-01 | Type of plan entity | Single employer plan |
2012-01-01 | Submission has been amended | No |
2012-01-01 | This submission is the final filing | No |
2012-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2012-01-01 | Plan is a collectively bargained plan | Yes |
2012-01-01 | Plan funding arrangement – Trust | Yes |
2012-01-01 | Plan benefit arrangement - Trust | Yes |
2011: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2011 form 5500 responses | ||
2011-01-01 | Type of plan entity | Single employer plan |
2011-01-01 | Submission has been amended | No |
2011-01-01 | This submission is the final filing | No |
2011-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2011-01-01 | Plan is a collectively bargained plan | Yes |
2011-01-01 | Plan funding arrangement – Trust | Yes |
2011-01-01 | Plan benefit arrangement - Trust | Yes |
2010: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2010 form 5500 responses | ||
2010-01-01 | Type of plan entity | Single employer plan |
2010-01-01 | Submission has been amended | No |
2010-01-01 | This submission is the final filing | No |
2010-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2010-01-01 | Plan is a collectively bargained plan | Yes |
2010-01-01 | Plan funding arrangement – Trust | Yes |
2010-01-01 | Plan benefit arrangement - Trust | Yes |
2009: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2009 form 5500 responses | ||
2009-01-01 | Type of plan entity | Single employer plan |
2009-01-01 | Submission has been amended | No |
2009-01-01 | This submission is the final filing | No |
2009-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2009-01-01 | Plan is a collectively bargained plan | Yes |
2009-01-01 | Plan funding arrangement – Trust | Yes |
2009-01-01 | Plan benefit arrangement - Trust | Yes |