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CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 401k Plan overview

Plan NameCATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN
Plan identification number 001

CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily flat dollar (includes dollars per year of service)
  • Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
  • Plan covered by PBGC that was terminated and closed out for PBGC purposes - Before the end of the plan year (or a prior plan year), (1) the plan terminated in a standard (or distress) termination and completed the distribution of plan assets in satisfaction of all benefit liabilities (or all ERISA Title IV benefits for distress termination); or (2) a trustee was appointed for a terminated plan pursuant to ERISA section 4042.
  • Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CATERPILLAR INC. has sponsored the creation of one or more 401k plans.

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.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01STEPHEN ROBERTSON2023-09-29
0012021-01-01STEPHEN ROBERTSON2022-09-26
0012020-01-01STEPHEN ROBERTSON2021-10-05
0012019-01-01STEPHEN ROBERTSON2020-10-07
0012018-01-01STEPHEN ROBERTSON2019-09-30
0012017-01-01
0012016-01-01
0012015-01-01
0012015-01-01
0012014-01-01LEANNE MORITZ
0012013-01-01FILED WITH AUTHORIZED SIGNATURE
0012012-12-01FILED WITH AUTHORIZED SIGNATURE
0012011-12-01FILED WITH AUTHORIZED SIGNATURE
0012010-12-01LEANNE K. MORITZ
0012009-12-01JONATHAN GINZEL
0012008-12-01

Plan Statistics for CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN

401k plan membership statisitcs for CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN

Measure Date Value
2022: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2022 401k membership
Market value of plan assets2022-12-313,628,912,439
Acturial value of plan assets2022-12-313,517,967,033
Funding target for retired participants and beneficiaries receiving payment2022-12-312,474,650,640
Number of terminated vested participants2022-12-311,474
Fundng target for terminated vested participants2022-12-3157,731,203
Active participant vested funding target2022-12-3196,466,192
Number of active participants2022-12-311,942
Total funding liabilities for active participants2022-12-31128,913,425
Total participant count2022-12-3127,988
Total funding target for all participants2022-12-312,661,295,268
Balance at beginning of prior year after applicable adjustments2022-12-310
Prefunding balance at beginning of prior year after applicable adjustments2022-12-31258,505,239
Carryover balanced portion elected for use to offset prior years funding requirement2022-12-310
Prefunding balanced used to offset prior years funding requirement2022-12-310
Amount remaining of carryover balance2022-12-310
Amount remaining of prefunding balance2022-12-31258,505,239
Present value of excess contributions2022-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2022-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2022-12-310
Reductions in caryover balances due to elections or deemed elections2022-12-310
Reductions in prefunding balances due to elections or deemed elections2022-12-310
Balance of carryovers at beginning of current year2022-12-310
Balance of prefunding at beginning of current year2022-12-31267,656,324
Total employer contributions2022-12-310
Total employee contributions2022-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2022-12-310
Contributions made to avoid restrictions adjusted to valuation date2022-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2022-12-310
Unpaid minimum required contributions for all prior years2022-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2022-12-310
Remaining amount of unpaid minimum required contributions2022-12-310
Minimum required contributions for current year target normal cost2022-12-314,750,000
Net shortfall amortization installment of oustanding balance2022-12-310
Waiver amortization installment2022-12-310
Total funding amount beforereflecting carryover/prefunding balances2022-12-310
Carryover balance elected to use to offset funding requirement2022-12-310
Prefunding balance elected to use to offset funding requirement2022-12-310
Additional cash requirement2022-12-310
Contributions allocatedtoward minimum required contributions for current year2022-12-310
Unpaid minimum required contributions for current year2022-12-310
Unpaid minimum required contributions for all years2022-12-310
Total participants, beginning-of-year2022-01-0126,945
Total number of active participants reported on line 7a of the Form 55002022-01-011,922
Number of retired or separated participants receiving benefits2022-01-0115,894
Number of other retired or separated participants entitled to future benefits2022-01-011,265
Total of all active and inactive participants2022-01-0119,081
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-016,600
Total participants2022-01-0125,681
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-011
2021: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2021 401k membership
Market value of plan assets2021-12-313,760,241,933
Acturial value of plan assets2021-12-313,384,217,740
Funding target for retired participants and beneficiaries receiving payment2021-12-312,581,965,244
Number of terminated vested participants2021-12-311,501
Fundng target for terminated vested participants2021-12-3155,087,803
Active participant vested funding target2021-12-31100,234,289
Number of active participants2021-12-311,969
Total funding liabilities for active participants2021-12-31133,433,088
Total participant count2021-12-3128,812
Total funding target for all participants2021-12-312,770,486,135
Balance at beginning of prior year after applicable adjustments2021-12-310
Prefunding balance at beginning of prior year after applicable adjustments2021-12-31221,911,957
Carryover balanced portion elected for use to offset prior years funding requirement2021-12-310
Prefunding balanced used to offset prior years funding requirement2021-12-310
Amount remaining of carryover balance2021-12-310
Amount remaining of prefunding balance2021-12-31221,911,957
Present value of excess contributions2021-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2021-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2021-12-310
Reductions in caryover balances due to elections or deemed elections2021-12-310
Reductions in prefunding balances due to elections or deemed elections2021-12-310
Balance of carryovers at beginning of current year2021-12-310
Balance of prefunding at beginning of current year2021-12-31258,505,239
Total employer contributions2021-12-310
Total employee contributions2021-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2021-12-310
Contributions made to avoid restrictions adjusted to valuation date2021-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2021-12-310
Unpaid minimum required contributions for all prior years2021-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2021-12-310
Remaining amount of unpaid minimum required contributions2021-12-310
Minimum required contributions for current year target normal cost2021-12-315,017,000
Net shortfall amortization installment of oustanding balance2021-12-310
Waiver amortization installment2021-12-310
Total funding amount beforereflecting carryover/prefunding balances2021-12-310
Carryover balance elected to use to offset funding requirement2021-12-310
Prefunding balance elected to use to offset funding requirement2021-12-310
Additional cash requirement2021-12-310
Contributions allocatedtoward minimum required contributions for current year2021-12-310
Unpaid minimum required contributions for current year2021-12-310
Unpaid minimum required contributions for all years2021-12-310
Total participants, beginning-of-year2021-01-0127,945
Total number of active participants reported on line 7a of the Form 55002021-01-012,110
Number of retired or separated participants receiving benefits2021-01-0116,672
Number of other retired or separated participants entitled to future benefits2021-01-011,341
Total of all active and inactive participants2021-01-0120,123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-016,623
Total participants2021-01-0126,746
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2020 401k membership
Market value of plan assets2020-12-313,479,259,967
Acturial value of plan assets2020-12-313,287,234,079
Funding target for retired participants and beneficiaries receiving payment2020-12-312,752,085,708
Number of terminated vested participants2020-12-311,603
Fundng target for terminated vested participants2020-12-3159,751,099
Active participant vested funding target2020-12-31121,325,713
Number of active participants2020-12-312,271
Total funding liabilities for active participants2020-12-31157,153,560
Total participant count2020-12-3129,681
Total funding target for all participants2020-12-312,968,990,367
Balance at beginning of prior year after applicable adjustments2020-12-310
Prefunding balance at beginning of prior year after applicable adjustments2020-12-31181,567,630
Carryover balanced portion elected for use to offset prior years funding requirement2020-12-310
Prefunding balanced used to offset prior years funding requirement2020-12-310
Amount remaining of carryover balance2020-12-310
Amount remaining of prefunding balance2020-12-31181,567,630
Present value of excess contributions2020-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2020-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2020-12-310
Reductions in caryover balances due to elections or deemed elections2020-12-310
Reductions in prefunding balances due to elections or deemed elections2020-12-310
Balance of carryovers at beginning of current year2020-12-310
Balance of prefunding at beginning of current year2020-12-31221,911,957
Total employer contributions2020-12-310
Total employee contributions2020-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2020-12-310
Contributions made to avoid restrictions adjusted to valuation date2020-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2020-12-310
Unpaid minimum required contributions for all prior years2020-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2020-12-310
Remaining amount of unpaid minimum required contributions2020-12-310
Minimum required contributions for current year target normal cost2020-12-314,706,000
Net shortfall amortization installment of oustanding balance2020-12-310
Waiver amortization installment2020-12-310
Total funding amount beforereflecting carryover/prefunding balances2020-12-310
Carryover balance elected to use to offset funding requirement2020-12-310
Prefunding balance elected to use to offset funding requirement2020-12-310
Additional cash requirement2020-12-310
Contributions allocatedtoward minimum required contributions for current year2020-12-310
Unpaid minimum required contributions for current year2020-12-310
Unpaid minimum required contributions for all years2020-12-310
Total participants, beginning-of-year2020-01-0128,810
Total number of active participants reported on line 7a of the Form 55002020-01-012,268
Number of retired or separated participants receiving benefits2020-01-0117,424
Number of other retired or separated participants entitled to future benefits2020-01-011,380
Total of all active and inactive participants2020-01-0121,072
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-016,634
Total participants2020-01-0127,706
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2019 401k membership
Market value of plan assets2019-12-313,105,429,419
Acturial value of plan assets2019-12-313,271,931,322
Funding target for retired participants and beneficiaries receiving payment2019-12-312,805,764,911
Number of terminated vested participants2019-12-311,730
Fundng target for terminated vested participants2019-12-3162,343,553
Active participant vested funding target2019-12-31156,067,191
Number of active participants2019-12-312,660
Total funding liabilities for active participants2019-12-31190,734,122
Total participant count2019-12-3130,522
Total funding target for all participants2019-12-313,058,842,586
Balance at beginning of prior year after applicable adjustments2019-12-310
Prefunding balance at beginning of prior year after applicable adjustments2019-12-31192,379,349
Carryover balanced portion elected for use to offset prior years funding requirement2019-12-310
Prefunding balanced used to offset prior years funding requirement2019-12-310
Amount remaining of carryover balance2019-12-310
Amount remaining of prefunding balance2019-12-31192,379,349
Present value of excess contributions2019-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2019-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2019-12-310
Reductions in caryover balances due to elections or deemed elections2019-12-310
Reductions in prefunding balances due to elections or deemed elections2019-12-310
Balance of carryovers at beginning of current year2019-12-310
Balance of prefunding at beginning of current year2019-12-31181,567,630
Total employer contributions2019-12-310
Total employee contributions2019-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2019-12-310
Contributions made to avoid restrictions adjusted to valuation date2019-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2019-12-310
Unpaid minimum required contributions for all prior years2019-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2019-12-310
Remaining amount of unpaid minimum required contributions2019-12-310
Minimum required contributions for current year target normal cost2019-12-3112,600,000
Net shortfall amortization installment of oustanding balance2019-12-310
Waiver amortization installment2019-12-310
Total funding amount beforereflecting carryover/prefunding balances2019-12-310
Carryover balance elected to use to offset funding requirement2019-12-310
Prefunding balance elected to use to offset funding requirement2019-12-310
Additional cash requirement2019-12-310
Contributions allocatedtoward minimum required contributions for current year2019-12-310
Unpaid minimum required contributions for current year2019-12-310
Unpaid minimum required contributions for all years2019-12-310
Total participants, beginning-of-year2019-01-0129,819
Total number of active participants reported on line 7a of the Form 55002019-01-012,666
Number of retired or separated participants receiving benefits2019-01-0117,997
Number of other retired or separated participants entitled to future benefits2019-01-011,651
Total of all active and inactive participants2019-01-0122,314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-016,627
Total participants2019-01-0128,941
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-018
2018: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2018 401k membership
Market value of plan assets2018-12-313,559,317,548
Acturial value of plan assets2018-12-313,353,889,538
Funding target for retired participants and beneficiaries receiving payment2018-12-312,738,744,840
Number of terminated vested participants2018-12-311,902
Fundng target for terminated vested participants2018-12-3164,333,373
Active participant vested funding target2018-12-31195,389,017
Number of active participants2018-12-313,108
Total funding liabilities for active participants2018-12-31248,261,740
Total participant count2018-12-3131,259
Total funding target for all participants2018-12-313,051,339,953
Balance at beginning of prior year after applicable adjustments2018-12-310
Prefunding balance at beginning of prior year after applicable adjustments2018-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2018-12-310
Prefunding balanced used to offset prior years funding requirement2018-12-310
Amount remaining of carryover balance2018-12-310
Amount remaining of prefunding balance2018-12-310
Present value of excess contributions2018-12-31181,953,418
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2018-12-31192,379,349
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2018-12-31192,379,349
Reductions in caryover balances due to elections or deemed elections2018-12-310
Reductions in prefunding balances due to elections or deemed elections2018-12-310
Balance of carryovers at beginning of current year2018-12-310
Balance of prefunding at beginning of current year2018-12-31192,379,349
Total employer contributions2018-12-310
Total employee contributions2018-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2018-12-310
Contributions made to avoid restrictions adjusted to valuation date2018-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2018-12-310
Unpaid minimum required contributions for all prior years2018-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2018-12-310
Remaining amount of unpaid minimum required contributions2018-12-310
Minimum required contributions for current year target normal cost2018-12-3115,690,000
Net shortfall amortization installment of oustanding balance2018-12-310
Waiver amortization installment2018-12-310
Total funding amount beforereflecting carryover/prefunding balances2018-12-310
Carryover balance elected to use to offset funding requirement2018-12-310
Prefunding balance elected to use to offset funding requirement2018-12-310
Additional cash requirement2018-12-310
Contributions allocatedtoward minimum required contributions for current year2018-12-310
Unpaid minimum required contributions for current year2018-12-310
Unpaid minimum required contributions for all years2018-12-310
Total participants, beginning-of-year2018-01-0130,664
Total number of active participants reported on line 7a of the Form 55002018-01-013,232
Number of retired or separated participants receiving benefits2018-01-0118,271
Number of other retired or separated participants entitled to future benefits2018-01-011,591
Total of all active and inactive participants2018-01-0123,094
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-016,621
Total participants2018-01-0129,715
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2017 401k membership
Market value of plan assets2017-12-313,184,371,325
Acturial value of plan assets2017-12-313,246,205,038
Funding target for retired participants and beneficiaries receiving payment2017-12-312,799,879,791
Number of terminated vested participants2017-12-311,935
Fundng target for terminated vested participants2017-12-3164,351,088
Active participant vested funding target2017-12-31205,323,405
Number of active participants2017-12-313,324
Total funding liabilities for active participants2017-12-31259,525,134
Total participant count2017-12-3131,917
Total funding target for all participants2017-12-313,123,756,013
Balance at beginning of prior year after applicable adjustments2017-12-310
Prefunding balance at beginning of prior year after applicable adjustments2017-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2017-12-310
Prefunding balanced used to offset prior years funding requirement2017-12-310
Amount remaining of carryover balance2017-12-310
Amount remaining of prefunding balance2017-12-310
Present value of excess contributions2017-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2017-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2017-12-310
Reductions in caryover balances due to elections or deemed elections2017-12-310
Reductions in prefunding balances due to elections or deemed elections2017-12-310
Balance of carryovers at beginning of current year2017-12-310
Balance of prefunding at beginning of current year2017-12-310
Total employer contributions2017-12-31200,000,000
Total employee contributions2017-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2017-12-310
Contributions made to avoid restrictions adjusted to valuation date2017-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2017-12-31181,953,418
Unpaid minimum required contributions for all prior years2017-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2017-12-310
Remaining amount of unpaid minimum required contributions2017-12-310
Minimum required contributions for current year target normal cost2017-12-3115,558,000
Net shortfall amortization installment of oustanding balance2017-12-310
Waiver amortization installment2017-12-310
Total funding amount beforereflecting carryover/prefunding balances2017-12-310
Carryover balance elected to use to offset funding requirement2017-12-310
Prefunding balance elected to use to offset funding requirement2017-12-310
Additional cash requirement2017-12-310
Contributions allocatedtoward minimum required contributions for current year2017-12-31181,953,418
Unpaid minimum required contributions for current year2017-12-310
Unpaid minimum required contributions for all years2017-12-310
Total participants, beginning-of-year2017-01-0131,422
Total number of active participants reported on line 7a of the Form 55002017-01-013,665
Number of retired or separated participants receiving benefits2017-01-0118,588
Number of other retired or separated participants entitled to future benefits2017-01-011,937
Total of all active and inactive participants2017-01-0124,190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-016,539
Total participants2017-01-0130,729
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2016 401k membership
Market value of plan assets2016-12-313,235,523,175
Acturial value of plan assets2016-12-313,426,487,405
Funding target for retired participants and beneficiaries receiving payment2016-12-312,853,818,640
Number of terminated vested participants2016-12-312,122
Fundng target for terminated vested participants2016-12-3170,146,509
Active participant vested funding target2016-12-31228,376,123
Number of active participants2016-12-313,732
Total funding liabilities for active participants2016-12-31266,073,976
Total participant count2016-12-3132,724
Total funding target for all participants2016-12-313,190,039,125
Balance at beginning of prior year after applicable adjustments2016-12-310
Prefunding balance at beginning of prior year after applicable adjustments2016-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2016-12-310
Prefunding balanced used to offset prior years funding requirement2016-12-310
Amount remaining of carryover balance2016-12-310
Amount remaining of prefunding balance2016-12-310
Present value of excess contributions2016-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2016-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2016-12-310
Reductions in caryover balances due to elections or deemed elections2016-12-310
Reductions in prefunding balances due to elections or deemed elections2016-12-310
Balance of carryovers at beginning of current year2016-12-310
Balance of prefunding at beginning of current year2016-12-310
Total employer contributions2016-12-310
Total employee contributions2016-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2016-12-310
Contributions made to avoid restrictions adjusted to valuation date2016-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2016-12-310
Unpaid minimum required contributions for all prior years2016-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2016-12-310
Remaining amount of unpaid minimum required contributions2016-12-310
Minimum required contributions for current year target normal cost2016-12-3118,034,400
Net shortfall amortization installment of oustanding balance2016-12-310
Waiver amortization installment2016-12-310
Waived amount of outstanding balance2016-12-310
Total funding amount beforereflecting carryover/prefunding balances2016-12-310
Carryover balance elected to use to offset funding requirement2016-12-310
Prefunding balance elected to use to offset funding requirement2016-12-310
Additional cash requirement2016-12-310
Contributions allocatedtoward minimum required contributions for current year2016-12-310
Unpaid minimum required contributions for current year2016-12-310
Unpaid minimum required contributions for all years2016-12-310
Total participants, beginning-of-year2016-01-0131,858
Total number of active participants reported on line 7a of the Form 55002016-01-013,939
Number of retired or separated participants receiving benefits2016-01-0119,039
Number of other retired or separated participants entitled to future benefits2016-01-012,023
Total of all active and inactive participants2016-01-0125,001
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-016,484
Total participants2016-01-0131,485
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0114
2015: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0133,140
Total number of active participants reported on line 7a of the Form 55002015-01-014,427
Number of retired or separated participants receiving benefits2015-01-0119,277
Number of other retired or separated participants entitled to future benefits2015-01-012,123
Total of all active and inactive participants2015-01-0125,827
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-016,451
Total participants2015-01-0132,278
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0118
2014: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0134,022
Total number of active participants reported on line 7a of the Form 55002014-01-015,066
Number of retired or separated participants receiving benefits2014-01-0119,395
Number of other retired or separated participants entitled to future benefits2014-01-012,150
Total of all active and inactive participants2014-01-0126,611
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-016,362
Total participants2014-01-0132,973
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0116
2013: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0134,681
Total number of active participants reported on line 7a of the Form 55002013-01-015,555
Number of retired or separated participants receiving benefits2013-01-0119,634
Number of other retired or separated participants entitled to future benefits2013-01-012,343
Total of all active and inactive participants2013-01-0127,532
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-016,301
Total participants2013-01-0133,833
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0128
2012: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2012 401k membership
Total participants, beginning-of-year2012-12-0134,987
Total number of active participants reported on line 7a of the Form 55002012-12-016,052
Number of retired or separated participants receiving benefits2012-12-0119,766
Number of other retired or separated participants entitled to future benefits2012-12-012,825
Total of all active and inactive participants2012-12-0128,643
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-12-016,226
Total participants2012-12-0134,869
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-12-014
2011: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2011 401k membership
Total participants, beginning-of-year2011-12-0133,998
Total number of active participants reported on line 7a of the Form 55002011-12-016,152
Number of retired or separated participants receiving benefits2011-12-0119,792
Number of other retired or separated participants entitled to future benefits2011-12-012,854
Total of all active and inactive participants2011-12-0128,798
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-12-016,189
Total participants2011-12-0134,987
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-12-0135
2010: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2010 401k membership
Total participants, beginning-of-year2010-12-0134,546
Total number of active participants reported on line 7a of the Form 55002010-12-016,612
Number of retired or separated participants receiving benefits2010-12-0119,889
Number of other retired or separated participants entitled to future benefits2010-12-012,934
Total of all active and inactive participants2010-12-0129,435
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-12-016,103
Total participants2010-12-0135,538
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-12-0122
2009: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2009 401k membership
Total participants, beginning-of-year2009-12-0135,577
Total number of active participants reported on line 7a of the Form 55002009-12-017,120
Number of retired or separated participants receiving benefits2009-12-0119,899
Number of other retired or separated participants entitled to future benefits2009-12-013,364
Total of all active and inactive participants2009-12-0130,383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-12-016,037
Total participants2009-12-0136,420
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-12-0146

Financial Data on CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN

Measure Date Value
2022 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$163,347
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$268,380
Total income from all sources (including contributions)2022-12-31$-800,038,142
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$251,418,040
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$247,467,158
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$216
Value of total assets at end of year2022-12-31$2,577,351,224
Value of total assets at beginning of year2022-12-31$3,628,912,439
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$3,950,882
Total interest from all sources2022-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Administrative expenses professional fees incurred2022-12-31$436,879
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$45,000,000
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Administrative expenses (other) incurred2022-12-31$2,365,176
Liabilities. Value of operating payables at end of year2022-12-31$163,347
Liabilities. Value of operating payables at beginning of year2022-12-31$268,380
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-1,051,456,182
Value of net assets at end of year (total assets less liabilities)2022-12-31$2,577,187,877
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$3,628,644,059
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in master investment trust accounts at end of year2022-12-31$2,577,351,224
Value of interest in master investment trust accounts at beginning of year2022-12-31$3,628,912,439
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$216
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$247,467,158
Contract administrator fees2022-12-31$1,148,827
Did the plan have assets held for investment2022-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2022-12-31134008324
2021 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$268,380
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$333,119
Total income from all sources (including contributions)2021-12-31$128,471,531
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$259,736,286
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$255,667,976
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$0
Value of total assets at end of year2021-12-31$3,628,912,439
Value of total assets at beginning of year2021-12-31$3,760,241,933
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$4,068,310
Total interest from all sources2021-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Administrative expenses professional fees incurred2021-12-31$545,889
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Administrative expenses (other) incurred2021-12-31$2,381,254
Liabilities. Value of operating payables at end of year2021-12-31$268,380
Liabilities. Value of operating payables at beginning of year2021-12-31$333,119
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-131,264,755
Value of net assets at end of year (total assets less liabilities)2021-12-31$3,628,644,059
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$3,759,908,814
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in master investment trust accounts at end of year2021-12-31$3,628,912,439
Value of interest in master investment trust accounts at beginning of year2021-12-31$3,760,241,933
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$255,667,976
Contract administrator fees2021-12-31$1,141,167
Did the plan have assets held for investment2021-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2021-12-31134008324
2020 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$333,119
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$266,521
Total income from all sources (including contributions)2020-12-31$551,581,828
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$270,666,460
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$266,282,867
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$0
Value of total assets at end of year2020-12-31$3,760,241,933
Value of total assets at beginning of year2020-12-31$3,479,259,967
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$4,383,593
Total interest from all sources2020-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$850,267
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Administrative expenses (other) incurred2020-12-31$2,370,397
Liabilities. Value of operating payables at end of year2020-12-31$333,119
Liabilities. Value of operating payables at beginning of year2020-12-31$266,521
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$280,915,368
Value of net assets at end of year (total assets less liabilities)2020-12-31$3,759,908,814
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$3,478,993,446
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in master investment trust accounts at end of year2020-12-31$3,760,241,933
Value of interest in master investment trust accounts at beginning of year2020-12-31$3,479,259,967
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$266,282,867
Contract administrator fees2020-12-31$1,162,929
Did the plan have assets held for investment2020-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2020-12-31134008324
2019 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$266,521
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$349,511
Total income from all sources (including contributions)2019-12-31$658,483,891
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$284,570,353
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$271,725,672
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$0
Value of total assets at end of year2019-12-31$3,479,259,967
Value of total assets at beginning of year2019-12-31$3,105,429,419
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$12,844,681
Total interest from all sources2019-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Administrative expenses professional fees incurred2019-12-31$809,140
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Administrative expenses (other) incurred2019-12-31$10,641,156
Liabilities. Value of operating payables at end of year2019-12-31$266,521
Liabilities. Value of operating payables at beginning of year2019-12-31$349,511
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$373,913,538
Value of net assets at end of year (total assets less liabilities)2019-12-31$3,478,993,446
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$3,105,079,908
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in master investment trust accounts at end of year2019-12-31$3,479,259,967
Value of interest in master investment trust accounts at beginning of year2019-12-31$3,105,429,419
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$271,725,672
Contract administrator fees2019-12-31$1,394,385
Did the plan have assets held for investment2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2019-12-31134008324
2018 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$349,511
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$291,953
Total income from all sources (including contributions)2018-12-31$-184,686,231
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$276,880,107
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$272,810,753
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$0
Value of total assets at end of year2018-12-31$3,105,429,419
Value of total assets at beginning of year2018-12-31$3,566,938,199
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$4,069,354
Total interest from all sources2018-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Administrative expenses professional fees incurred2018-12-31$654,561
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Administrative expenses (other) incurred2018-12-31$2,233,615
Liabilities. Value of operating payables at end of year2018-12-31$349,511
Liabilities. Value of operating payables at beginning of year2018-12-31$291,953
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-461,566,338
Value of net assets at end of year (total assets less liabilities)2018-12-31$3,105,079,908
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$3,566,646,246
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in master investment trust accounts at end of year2018-12-31$3,105,429,419
Value of interest in master investment trust accounts at beginning of year2018-12-31$3,366,938,199
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Employer contributions (assets) at end of year2018-12-31$0
Employer contributions (assets) at beginning of year2018-12-31$200,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$272,810,753
Contract administrator fees2018-12-31$1,181,178
Did the plan have assets held for investment2018-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2018-12-31134008324
2017 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$291,953
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$270,708
Total income from all sources (including contributions)2017-12-31$679,382,316
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$296,836,687
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$280,621,546
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$200,000,000
Value of total assets at end of year2017-12-31$3,566,938,199
Value of total assets at beginning of year2017-12-31$3,184,371,325
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$16,215,141
Total interest from all sources2017-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Administrative expenses professional fees incurred2017-12-31$697,014
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Administrative expenses (other) incurred2017-12-31$14,361,962
Liabilities. Value of operating payables at end of year2017-12-31$291,953
Liabilities. Value of operating payables at beginning of year2017-12-31$270,708
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$382,545,629
Value of net assets at end of year (total assets less liabilities)2017-12-31$3,566,646,246
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$3,184,100,617
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in master investment trust accounts at end of year2017-12-31$3,366,938,199
Value of interest in master investment trust accounts at beginning of year2017-12-31$3,184,371,325
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$200,000,000
Employer contributions (assets) at end of year2017-12-31$200,000,000
Employer contributions (assets) at beginning of year2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$280,621,546
Contract administrator fees2017-12-31$1,156,165
Did the plan have assets held for investment2017-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2017-12-31134008324
2016 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$270,708
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$281,754
Total income from all sources (including contributions)2016-12-31$256,383,474
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$307,749,663
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$290,728,308
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$0
Value of total assets at end of year2016-12-31$3,184,371,325
Value of total assets at beginning of year2016-12-31$3,235,748,560
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$17,021,355
Total interest from all sources2016-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$579,680
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$225,385
Administrative expenses (other) incurred2016-12-31$15,362,066
Liabilities. Value of operating payables at end of year2016-12-31$270,708
Liabilities. Value of operating payables at beginning of year2016-12-31$281,754
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-51,366,189
Value of net assets at end of year (total assets less liabilities)2016-12-31$3,184,100,617
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$3,235,466,806
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in master investment trust accounts at end of year2016-12-31$3,184,371,325
Value of interest in master investment trust accounts at beginning of year2016-12-31$3,235,523,175
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$290,728,308
Contract administrator fees2016-12-31$1,079,609
Did the plan have assets held for investment2016-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2016-12-31134008324
2015 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$281,754
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$277,574
Total income from all sources (including contributions)2015-12-31$-53,213,514
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$307,661,165
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$296,793,109
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$225,385
Value of total assets at end of year2015-12-31$3,235,748,560
Value of total assets at beginning of year2015-12-31$3,596,619,059
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$10,868,056
Total interest from all sources2015-12-31$0
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 year2015-12-31No
Administrative expenses professional fees incurred2015-12-31$546,192
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$225,385
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$225,385
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Administrative expenses (other) incurred2015-12-31$9,132,666
Liabilities. Value of operating payables at end of year2015-12-31$281,754
Liabilities. Value of operating payables at beginning of year2015-12-31$277,574
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-360,874,679
Value of net assets at end of year (total assets less liabilities)2015-12-31$3,235,466,806
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$3,596,341,485
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in master investment trust accounts at end of year2015-12-31$3,235,523,175
Value of interest in master investment trust accounts at beginning of year2015-12-31$3,596,619,059
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$296,793,109
Contract administrator fees2015-12-31$1,189,198
Did the plan have assets held for investment2015-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2015-12-31134008324
2014 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$277,574
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$537,718
Total income from all sources (including contributions)2014-12-31$248,008,741
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$307,599,774
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$302,677,221
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$0
Value of total assets at end of year2014-12-31$3,596,619,059
Value of total assets at beginning of year2014-12-31$3,656,470,236
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$4,922,553
Total interest from all sources2014-12-31$0
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 year2014-12-31No
Administrative expenses professional fees incurred2014-12-31$554,760
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Administrative expenses (other) incurred2014-12-31$3,153,977
Liabilities. Value of operating payables at end of year2014-12-31$277,574
Liabilities. Value of operating payables at beginning of year2014-12-31$537,718
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-59,591,033
Value of net assets at end of year (total assets less liabilities)2014-12-31$3,596,341,485
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$3,655,932,518
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$2,238
Value of interest in master investment trust accounts at end of year2014-12-31$3,596,619,059
Value of interest in master investment trust accounts at beginning of year2014-12-31$3,589,470,236
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Employer contributions (assets) at end of year2014-12-31$0
Employer contributions (assets) at beginning of year2014-12-31$67,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$302,677,221
Contract administrator fees2014-12-31$1,211,578
Did the plan have assets held for investment2014-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2014-12-31134008324
2013 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$537,718
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$306,140
Total income from all sources (including contributions)2013-12-31$666,570,187
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$318,521,330
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$309,813,890
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$148,000,000
Value of total assets at end of year2013-12-31$3,656,470,236
Value of total assets at beginning of year2013-12-31$3,308,189,801
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$8,707,440
Total interest from all sources2013-12-31$0
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 year2013-12-31No
Administrative expenses professional fees incurred2013-12-31$45,000
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Administrative expenses (other) incurred2013-12-31$6,824,273
Liabilities. Value of operating payables at end of year2013-12-31$537,718
Liabilities. Value of operating payables at beginning of year2013-12-31$306,140
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$348,048,857
Value of net assets at end of year (total assets less liabilities)2013-12-31$3,655,932,518
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$3,307,883,661
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$600,299
Value of interest in master investment trust accounts at end of year2013-12-31$3,589,470,236
Value of interest in master investment trust accounts at beginning of year2013-12-31$3,251,189,801
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$148,000,000
Employer contributions (assets) at end of year2013-12-31$67,000,000
Employer contributions (assets) at beginning of year2013-12-31$57,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$309,813,890
Contract administrator fees2013-12-31$1,237,868
Did the plan have assets held for investment2013-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2013-12-31134008324
2012 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$306,140
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$336,799
Total income from all sources (including contributions)2012-12-31$76,213,809
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$26,237,035
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$26,068,437
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$15,000,000
Value of total assets at end of year2012-12-31$3,308,189,801
Value of total assets at beginning of year2012-12-31$3,258,243,686
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$168,598
Total interest from all sources2012-12-31$0
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 year2012-12-31No
Administrative expenses professional fees incurred2012-12-31$20,000
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Liabilities. Value of operating payables at end of year2012-12-31$306,140
Liabilities. Value of operating payables at beginning of year2012-12-31$336,799
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$49,976,774
Value of net assets at end of year (total assets less liabilities)2012-12-31$3,307,883,661
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$3,257,906,887
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$41,561
Value of interest in master investment trust accounts at end of year2012-12-31$3,251,189,801
Value of interest in master investment trust accounts at beginning of year2012-12-31$3,184,243,686
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$15,000,000
Employer contributions (assets) at end of year2012-12-31$57,000,000
Employer contributions (assets) at beginning of year2012-12-31$74,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$26,068,437
Contract administrator fees2012-12-31$107,037
Did the plan have assets held for investment2012-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2012-12-31134008324
Total unrealized appreciation/depreciation of assets2012-11-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-11-30$336,799
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-11-30$569,973
Total income from all sources (including contributions)2012-11-30$478,960,410
Total loss/gain on sale of assets2012-11-30$0
Total of all expenses incurred2012-11-30$325,180,760
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-11-30$315,969,049
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-11-30$170,000,000
Value of total assets at end of year2012-11-30$3,258,243,686
Value of total assets at beginning of year2012-11-30$3,104,697,210
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-11-30$9,211,711
Total interest from all sources2012-11-30$0
Total dividends received (eg from common stock, registered investment company shares)2012-11-30$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-11-30No
Administrative expenses professional fees incurred2012-11-30$692,823
Was this plan covered by a fidelity bond2012-11-30Yes
Value of fidelity bond cover2012-11-30$45,000,000
If this is an individual account plan, was there a blackout period2012-11-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-11-30$0
Were there any nonexempt tranactions with any party-in-interest2012-11-30No
Administrative expenses (other) incurred2012-11-30$7,040,598
Liabilities. Value of operating payables at end of year2012-11-30$336,799
Liabilities. Value of operating payables at beginning of year2012-11-30$569,973
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-11-30No
Value of net income/loss2012-11-30$153,779,650
Value of net assets at end of year (total assets less liabilities)2012-11-30$3,257,906,887
Value of net assets at beginning of year (total assets less liabilities)2012-11-30$3,104,127,237
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-11-30No
Were any loans by the plan or fixed income obligations due to the plan in default2012-11-30No
Were any leases to which the plan was party in default or uncollectible2012-11-30No
Value of interest in master investment trust accounts at end of year2012-11-30$3,184,243,686
Value of interest in master investment trust accounts at beginning of year2012-11-30$3,053,353,749
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-11-30No
Was there a failure to transmit to the plan any participant contributions2012-11-30No
Has the plan failed to provide any benefit when due under the plan2012-11-30No
Contributions received in cash from employer2012-11-30$170,000,000
Employer contributions (assets) at end of year2012-11-30$74,000,000
Employer contributions (assets) at beginning of year2012-11-30$51,343,461
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-11-30$315,969,049
Contract administrator fees2012-11-30$1,478,290
Did the plan have assets held for investment2012-11-30No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-11-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-11-30No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-11-30No
Opinion of an independent qualified public accountant for this plan2012-11-30Unqualified
Accountancy firm name2012-11-30PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2012-11-30134008324
2011 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-11-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-11-30$569,973
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-11-30$603,375
Total income from all sources (including contributions)2011-11-30$213,867,788
Total loss/gain on sale of assets2011-11-30$0
Total of all expenses incurred2011-11-30$329,633,683
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-11-30$322,557,347
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-11-30$106,030,384
Value of total assets at end of year2011-11-30$3,104,697,210
Value of total assets at beginning of year2011-11-30$3,220,496,507
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-11-30$7,076,336
Total interest from all sources2011-11-30$0
Total dividends received (eg from common stock, registered investment company shares)2011-11-30$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-11-30No
Administrative expenses professional fees incurred2011-11-30$957,325
Was this plan covered by a fidelity bond2011-11-30Yes
Value of fidelity bond cover2011-11-30$45,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-11-30$0
Were there any nonexempt tranactions with any party-in-interest2011-11-30No
Administrative expenses (other) incurred2011-11-30$4,061,809
Liabilities. Value of operating payables at end of year2011-11-30$569,973
Liabilities. Value of operating payables at beginning of year2011-11-30$603,375
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-11-30No
Value of net income/loss2011-11-30$-115,765,895
Value of net assets at end of year (total assets less liabilities)2011-11-30$3,104,127,237
Value of net assets at beginning of year (total assets less liabilities)2011-11-30$3,219,893,132
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-11-30No
Were any loans by the plan or fixed income obligations due to the plan in default2011-11-30No
Were any leases to which the plan was party in default or uncollectible2011-11-30No
Value of interest in master investment trust accounts at end of year2011-11-30$3,053,353,749
Value of interest in master investment trust accounts at beginning of year2011-11-30$3,141,496,507
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-11-30No
Was there a failure to transmit to the plan any participant contributions2011-11-30No
Has the plan failed to provide any benefit when due under the plan2011-11-30No
Contributions received in cash from employer2011-11-30$106,030,384
Employer contributions (assets) at end of year2011-11-30$51,343,461
Employer contributions (assets) at beginning of year2011-11-30$79,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-11-30$322,557,347
Contract administrator fees2011-11-30$2,057,202
Did the plan have assets held for investment2011-11-30No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-11-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-11-30No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-11-30No
Opinion of an independent qualified public accountant for this plan2011-11-30Unqualified
Accountancy firm name2011-11-30PRICEWATHERHOUSECOOPERS LLP
Accountancy firm EIN2011-11-30134008324
2010 : CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-11-30$0

Form 5500 Responses for CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN

2022: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2012 form 5500 responses
2012-12-01Type of plan entitySingle employer plan
2012-12-01Submission has been amendedNo
2012-12-01This submission is the final filingNo
2012-12-01This return/report is a short plan year return/report (less than 12 months)Yes
2012-12-01Plan is a collectively bargained planYes
2012-12-01Plan funding arrangement – TrustYes
2012-12-01Plan benefit arrangement - TrustYes
2011: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2011 form 5500 responses
2011-12-01Type of plan entitySingle employer plan
2011-12-01Submission has been amendedNo
2011-12-01This submission is the final filingNo
2011-12-01This return/report is a short plan year return/report (less than 12 months)No
2011-12-01Plan is a collectively bargained planYes
2011-12-01Plan funding arrangement – TrustYes
2011-12-01Plan benefit arrangement - TrustYes
2010: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2010 form 5500 responses
2010-12-01Type of plan entitySingle employer plan
2010-12-01Submission has been amendedNo
2010-12-01This submission is the final filingNo
2010-12-01This return/report is a short plan year return/report (less than 12 months)No
2010-12-01Plan is a collectively bargained planYes
2010-12-01Plan funding arrangement – TrustYes
2010-12-01Plan benefit arrangement - TrustYes
2009: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2009 form 5500 responses
2009-12-01Type of plan entitySingle employer plan
2009-12-01Submission has been amendedNo
2009-12-01This submission is the final filingNo
2009-12-01This return/report is a short plan year return/report (less than 12 months)No
2009-12-01Plan is a collectively bargained planYes
2009-12-01Plan funding arrangement – TrustYes
2009-12-01Plan benefit arrangement - TrustYes
2008: CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN 2008 form 5500 responses
2008-12-01Type of plan entitySingle employer plan
2008-12-01Submission has been amendedNo
2008-12-01This submission is the final filingNo
2008-12-01This return/report is a short plan year return/report (less than 12 months)No
2008-12-01Plan is a collectively bargained planNo

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