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CATERPILLAR INC. RETIREMENT INCOME PLAN 401k Plan overview

Plan NameCATERPILLAR INC. RETIREMENT INCOME PLAN
Plan identification number 002

CATERPILLAR INC. RETIREMENT INCOME PLAN Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily pay related
  • Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
  • Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
  • 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).
  • 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. RETIREMENT INCOME PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01STEPHEN ROBERTSON2023-09-29
0022021-01-01STEPHEN ROBERTSON2022-10-04
0022021-01-01STEPHEN ROBERTSON2023-06-09
0022020-01-01STEPHEN ROBERTSON2021-07-21
0022019-01-01STEPHEN ROBERTSON2020-10-07
0022018-01-01STEPHEN ROBERTSON2019-09-30
0022017-01-01
0022016-01-01
0022015-01-01
0022014-01-01LEANNE MORITZ
0022013-01-01FILED WITH AUTHORIZED SIGNATURE
0022012-01-01FILED WITH AUTHORIZED SIGNATURE
0022011-01-01LEANNE MORITZ
0022010-01-01JONATHAN D GINZEL
0022009-01-01JONATHAN D GINZEL JONATHAN D GINZEL2010-10-15

Plan Statistics for CATERPILLAR INC. RETIREMENT INCOME PLAN

401k plan membership statisitcs for CATERPILLAR INC. RETIREMENT INCOME PLAN

Measure Date Value
2022: CATERPILLAR INC. RETIREMENT INCOME PLAN 2022 401k membership
Market value of plan assets2022-12-3113,145,216,379
Acturial value of plan assets2022-12-3112,751,682,438
Funding target for retired participants and beneficiaries receiving payment2022-12-317,002,493,650
Number of terminated vested participants2022-12-316,385
Fundng target for terminated vested participants2022-12-31443,845,554
Active participant vested funding target2022-12-311,883,756,816
Number of active participants2022-12-3112,362
Total funding liabilities for active participants2022-12-311,999,572,970
Total participant count2022-12-3142,156
Total funding target for all participants2022-12-319,445,912,174
Balance at beginning of prior year after applicable adjustments2022-12-310
Prefunding balance at beginning of prior year after applicable adjustments2022-12-312,139,254,137
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 balance2022-12-312,139,254,137
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 year2022-12-312,215,839,435
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 cost2022-12-318,747,000
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-year2022-01-0141,595
Total number of active participants reported on line 7a of the Form 55002022-01-0112,211
Number of retired or separated participants receiving benefits2022-01-0117,658
Number of other retired or separated participants entitled to future benefits2022-01-016,054
Total of all active and inactive participants2022-01-0135,923
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-014,287
Total participants2022-01-0140,210
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-012
2021: CATERPILLAR INC. RETIREMENT INCOME PLAN 2021 401k membership
Market value of plan assets2021-12-3113,300,382,557
Acturial value of plan assets2021-12-3111,970,344,301
Funding target for retired participants and beneficiaries receiving payment2021-12-316,880,922,681
Number of terminated vested participants2021-12-315,860
Fundng target for terminated vested participants2021-12-31411,640,566
Active participant vested funding target2021-12-311,972,515,034
Number of active participants2021-12-3112,813
Total funding liabilities for active participants2021-12-312,097,729,250
Total participant count2021-12-3141,847
Total funding target for all participants2021-12-319,390,292,497
Balance at beginning of prior year after applicable adjustments2021-12-310
Prefunding balance at beginning of prior year after applicable adjustments2021-12-311,873,090,309
Carryover balanced portion elected for use to offset prior years funding requirement2021-12-310
Prefunding balanced used to offset prior years funding requirement2021-12-3137,923,339
Amount remaining of carryover balance2021-12-310
Amount remaining of prefunding balance2021-12-311,835,166,970
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 year2021-12-312,139,254,137
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
Liquidity shortfalls end of Q12021-12-310
Liquidity shortfalls end of Q22021-12-310
Liquidity shortfalls end of Q32021-12-310
Liquidity shortfalls end of Q42021-12-310
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 cost2021-12-318,760,000
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-year2021-01-0141,230
Total number of active participants reported on line 7a of the Form 55002021-01-0112,614
Number of retired or separated participants receiving benefits2021-01-0117,642
Number of other retired or separated participants entitled to future benefits2021-01-015,553
Total of all active and inactive participants2021-01-0135,809
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-014,134
Total participants2021-01-0139,943
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-012
2020: CATERPILLAR INC. RETIREMENT INCOME PLAN 2020 401k membership
Market value of plan assets2020-12-3112,032,845,543
Acturial value of plan assets2020-12-3111,443,055,260
Funding target for retired participants and beneficiaries receiving payment2020-12-316,982,640,649
Number of terminated vested participants2020-12-315,689
Fundng target for terminated vested participants2020-12-31389,575,921
Active participant vested funding target2020-12-312,241,257,288
Number of active participants2020-12-3113,676
Total funding liabilities for active participants2020-12-312,385,828,120
Total participant count2020-12-3142,492
Total funding target for all participants2020-12-319,758,044,690
Balance at beginning of prior year after applicable adjustments2020-12-310
Prefunding balance at beginning of prior year after applicable adjustments2020-12-311,541,130,746
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 balance2020-12-311,541,130,746
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 year2020-12-311,873,090,309
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 cost2020-12-317,460,000
Net shortfall amortization installment of oustanding balance2020-12-31188,079,739
Waiver amortization installment2020-12-310
Total funding amount beforereflecting carryover/prefunding balances2020-12-3137,923,339
Carryover balance elected to use to offset funding requirement2020-12-310
Prefunding balance elected to use to offset funding requirement2020-12-3137,923,339
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-year2020-01-0141,916
Total number of active participants reported on line 7a of the Form 55002020-01-0113,279
Number of retired or separated participants receiving benefits2020-01-0117,836
Number of other retired or separated participants entitled to future benefits2020-01-015,513
Total of all active and inactive participants2020-01-0136,628
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-014,111
Total participants2020-01-0140,739
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-013
2019: CATERPILLAR INC. RETIREMENT INCOME PLAN 2019 401k membership
Market value of plan assets2019-12-3110,623,946,209
Acturial value of plan assets2019-12-3111,146,820,667
Funding target for retired participants and beneficiaries receiving payment2019-12-316,775,637,347
Number of terminated vested participants2019-12-315,632
Fundng target for terminated vested participants2019-12-31365,527,523
Active participant vested funding target2019-12-312,127,472,670
Number of active participants2019-12-3114,701
Total funding liabilities for active participants2019-12-312,331,794,739
Total participant count2019-12-3143,396
Total funding target for all participants2019-12-319,472,959,609
Balance at beginning of prior year after applicable adjustments2019-12-310
Prefunding balance at beginning of prior year after applicable adjustments2019-12-311,246,000,000
Carryover balanced portion elected for use to offset prior years funding requirement2019-12-310
Prefunding balanced used to offset prior years funding requirement2019-12-31210,647,066
Amount remaining of carryover balance2019-12-310
Amount remaining of prefunding balance2019-12-311,035,352,934
Present value of excess contributions2019-12-311,365,527,320
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2019-12-311,419,190,994
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2019-12-31565,000,000
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 year2019-12-311,541,130,746
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
Liquidity shortfalls end of Q12019-12-310
Liquidity shortfalls end of Q22019-12-310
Liquidity shortfalls end of Q32019-12-310
Liquidity shortfalls end of Q42019-12-310
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 cost2019-12-31127,975,926
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-year2019-01-0142,844
Total number of active participants reported on line 7a of the Form 55002019-01-0114,323
Number of retired or separated participants receiving benefits2019-01-0117,923
Number of other retired or separated participants entitled to future benefits2019-01-015,514
Total of all active and inactive participants2019-01-0137,760
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-014,012
Total participants2019-01-0141,772
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-013
2018: CATERPILLAR INC. RETIREMENT INCOME PLAN 2018 401k membership
Market value of plan assets2018-12-3110,356,136,635
Acturial value of plan assets2018-12-319,841,216,071
Funding target for retired participants and beneficiaries receiving payment2018-12-316,499,981,067
Number of terminated vested participants2018-12-315,643
Fundng target for terminated vested participants2018-12-31348,279,444
Active participant vested funding target2018-12-311,887,439,134
Number of active participants2018-12-3115,411
Total funding liabilities for active participants2018-12-312,094,832,167
Total participant count2018-12-3144,132
Total funding target for all participants2018-12-318,943,092,678
Balance at beginning of prior year after applicable adjustments2018-12-310
Prefunding balance at beginning of prior year after applicable adjustments2018-12-3136,726,935
Carryover balanced portion elected for use to offset prior years funding requirement2018-12-310
Prefunding balanced used to offset prior years funding requirement2018-12-3136,726,935
Amount remaining of carryover balance2018-12-310
Amount remaining of prefunding balance2018-12-310
Present value of excess contributions2018-12-311,487,575,656
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2018-12-311,578,826,156
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2018-12-311,246,000,000
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 year2018-12-311,246,000,000
Total employer contributions2018-12-311,500,000,000
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 date2018-12-311,365,527,320
Liquidity shortfalls end of Q12018-12-310
Liquidity shortfalls end of Q22018-12-310
Liquidity shortfalls end of Q32018-12-310
Liquidity shortfalls end of Q42018-12-310
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 cost2018-12-31136,889,390
Net shortfall amortization installment of oustanding balance2018-12-31347,876,607
Waiver amortization installment2018-12-310
Total funding amount beforereflecting carryover/prefunding balances2018-12-31210,647,066
Carryover balance elected to use to offset funding requirement2018-12-310
Prefunding balance elected to use to offset funding requirement2018-12-31210,647,066
Additional cash requirement2018-12-310
Contributions allocatedtoward minimum required contributions for current year2018-12-311,365,527,320
Unpaid minimum required contributions for current year2018-12-310
Unpaid minimum required contributions for all years2018-12-310
Total participants, beginning-of-year2018-01-0143,655
Total number of active participants reported on line 7a of the Form 55002018-01-0115,279
Number of retired or separated participants receiving benefits2018-01-0118,027
Number of other retired or separated participants entitled to future benefits2018-01-015,358
Total of all active and inactive participants2018-01-0138,664
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-013,958
Total participants2018-01-0142,622
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: CATERPILLAR INC. RETIREMENT INCOME PLAN 2017 401k membership
Market value of plan assets2017-12-318,030,169,487
Acturial value of plan assets2017-12-318,178,587,677
Funding target for retired participants and beneficiaries receiving payment2017-12-316,424,553,159
Number of terminated vested participants2017-12-315,380
Fundng target for terminated vested participants2017-12-31347,302,019
Active participant vested funding target2017-12-311,748,911,309
Number of active participants2017-12-3116,615
Total funding liabilities for active participants2017-12-311,960,286,794
Total participant count2017-12-3145,239
Total funding target for all participants2017-12-318,732,141,972
Balance at beginning of prior year after applicable adjustments2017-12-310
Prefunding balance at beginning of prior year after applicable adjustments2017-12-3133,909,090
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 balance2017-12-3133,909,090
Present value of excess contributions2017-12-3160,825
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2017-12-3164,523
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 year2017-12-3136,726,935
Total employer contributions2017-12-311,812,037,000
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 date2017-12-311,686,205,420
Liquidity shortfalls end of Q12017-12-310
Liquidity shortfalls end of Q22017-12-310
Liquidity shortfalls end of Q32017-12-310
Liquidity shortfalls end of Q42017-12-310
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 cost2017-12-31133,758,491
Net shortfall amortization installment of oustanding balance2017-12-31590,281,230
Waiver amortization installment2017-12-310
Total funding amount beforereflecting carryover/prefunding balances2017-12-31235,356,699
Carryover balance elected to use to offset funding requirement2017-12-310
Prefunding balance elected to use to offset funding requirement2017-12-3136,726,935
Additional cash requirement2017-12-31198,629,764
Contributions allocatedtoward minimum required contributions for current year2017-12-311,686,205,420
Unpaid minimum required contributions for current year2017-12-310
Unpaid minimum required contributions for all years2017-12-310
Total participants, beginning-of-year2017-01-0144,871
Total number of active participants reported on line 7a of the Form 55002017-01-0115,933
Number of retired or separated participants receiving benefits2017-01-0118,191
Number of other retired or separated participants entitled to future benefits2017-01-015,557
Total of all active and inactive participants2017-01-0139,681
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-013,866
Total participants2017-01-0143,547
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: CATERPILLAR INC. RETIREMENT INCOME PLAN 2016 401k membership
Market value of plan assets2016-12-317,861,742,993
Acturial value of plan assets2016-12-318,321,727,827
Funding target for retired participants and beneficiaries receiving payment2016-12-316,146,624,405
Number of terminated vested participants2016-12-314,767
Fundng target for terminated vested participants2016-12-31379,202,838
Active participant vested funding target2016-12-311,779,665,691
Number of active participants2016-12-3118,615
Total funding liabilities for active participants2016-12-312,002,154,116
Total participant count2016-12-3146,340
Total funding target for all participants2016-12-318,527,981,359
Balance at beginning of prior year after applicable adjustments2016-12-3110,547,868
Prefunding balance at beginning of prior year after applicable adjustments2016-12-3169,628,000
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 balance2016-12-3110,547,868
Amount remaining of prefunding balance2016-12-3169,628,000
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 elections2016-12-3110,381,212
Reductions in prefunding balances due to elections or deemed elections2016-12-3134,618,788
Balance of carryovers at beginning of current year2016-12-310
Balance of prefunding at beginning of current year2016-12-3133,909,090
Total employer contributions2016-12-31203,990,000
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 date2016-12-31184,515,098
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 cost2016-12-31144,773,778
Net shortfall amortization installment of oustanding balance2016-12-31240,162,622
Waiver amortization installment2016-12-310
Total funding amount beforereflecting carryover/prefunding balances2016-12-31184,454,273
Carryover balance elected to use to offset funding requirement2016-12-310
Prefunding balance elected to use to offset funding requirement2016-12-310
Additional cash requirement2016-12-31184,454,273
Contributions allocatedtoward minimum required contributions for current year2016-12-31184,515,098
Unpaid minimum required contributions for current year2016-12-310
Unpaid minimum required contributions for all years2016-12-310
Total participants, beginning-of-year2016-01-0145,143
Total number of active participants reported on line 7a of the Form 55002016-01-0117,328
Number of retired or separated participants receiving benefits2016-01-0118,260
Number of other retired or separated participants entitled to future benefits2016-01-015,447
Total of all active and inactive participants2016-01-0141,035
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-013,811
Total participants2016-01-0144,846
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0113
2015: CATERPILLAR INC. RETIREMENT INCOME PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0147,174
Total number of active participants reported on line 7a of the Form 55002015-01-0121,245
Number of retired or separated participants receiving benefits2015-01-0117,046
Number of other retired or separated participants entitled to future benefits2015-01-014,015
Total of all active and inactive participants2015-01-0142,306
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-013,807
Total participants2015-01-0146,113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0113
2014: CATERPILLAR INC. RETIREMENT INCOME PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0148,610
Total number of active participants reported on line 7a of the Form 55002014-01-0122,440
Number of retired or separated participants receiving benefits2014-01-0115,935
Number of other retired or separated participants entitled to future benefits2014-01-013,901
Total of all active and inactive participants2014-01-0142,276
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-013,689
Total participants2014-01-0145,965
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-014
2013: CATERPILLAR INC. RETIREMENT INCOME PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0149,041
Total number of active participants reported on line 7a of the Form 55002013-01-0123,787
Number of retired or separated participants receiving benefits2013-01-0115,659
Number of other retired or separated participants entitled to future benefits2013-01-015,229
Total of all active and inactive participants2013-01-0144,675
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-013,448
Total participants2013-01-0148,123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0171
2012: CATERPILLAR INC. RETIREMENT INCOME PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0150,531
Total number of active participants reported on line 7a of the Form 55002012-01-0125,271
Number of retired or separated participants receiving benefits2012-01-0115,395
Number of other retired or separated participants entitled to future benefits2012-01-015,138
Total of all active and inactive participants2012-01-0145,804
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-013,342
Total participants2012-01-0149,146
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-01123
2011: CATERPILLAR INC. RETIREMENT INCOME PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0146,632
Total number of active participants reported on line 7a of the Form 55002011-01-0126,545
Number of retired or separated participants receiving benefits2011-01-0115,280
Number of other retired or separated participants entitled to future benefits2011-01-015,421
Total of all active and inactive participants2011-01-0147,246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-013,292
Total participants2011-01-0150,538
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-01234
2010: CATERPILLAR INC. RETIREMENT INCOME PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-0147,341
Total number of active participants reported on line 7a of the Form 55002010-01-0127,541
Number of retired or separated participants receiving benefits2010-01-0115,308
Number of other retired or separated participants entitled to future benefits2010-01-015,458
Total of all active and inactive participants2010-01-0148,307
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-013,216
Total participants2010-01-0151,523
Number of participants with account balances2010-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-01355
2009: CATERPILLAR INC. RETIREMENT INCOME PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0153,462
Total number of active participants reported on line 7a of the Form 55002009-01-0127,871
Number of retired or separated participants receiving benefits2009-01-0114,933
Number of other retired or separated participants entitled to future benefits2009-01-018,136
Total of all active and inactive participants2009-01-0150,940
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-013,147
Total participants2009-01-0154,087
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011,216

Financial Data on CATERPILLAR INC. RETIREMENT INCOME PLAN

Measure Date Value
2022 : CATERPILLAR INC. RETIREMENT INCOME 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$220,452
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$420,275
Total income from all sources (including contributions)2022-12-31$-2,915,550,814
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$688,278,462
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$682,278,924
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$0
Value of total assets at end of year2022-12-31$9,541,187,279
Value of total assets at beginning of year2022-12-31$13,145,216,378
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$5,999,538
Total interest from all sources2022-12-31$7,471
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$605,794
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
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$1,414
Administrative expenses (other) incurred2022-12-31$3,623,930
Liabilities. Value of operating payables at end of year2022-12-31$220,452
Liabilities. Value of operating payables at beginning of year2022-12-31$420,275
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-3,603,829,276
Value of net assets at end of year (total assets less liabilities)2022-12-31$9,540,966,827
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$13,144,796,103
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
Interest earned on other investments2022-12-31$7,471
Value of interest in master investment trust accounts at end of year2022-12-31$9,540,936,249
Value of interest in master investment trust accounts at beginning of year2022-12-31$13,144,964,657
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$251,030
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$250,307
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$682,278,924
Contract administrator fees2022-12-31$1,769,814
Did the plan have assets held for investment2022-12-31Yes
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. RETIREMENT INCOME PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets to this plan2021-12-31$62,964,704
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$420,275
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$467,206
Total income from all sources (including contributions)2021-12-31$463,764,427
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$681,848,379
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$675,670,251
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$13,145,216,378
Value of total assets at beginning of year2021-12-31$13,300,382,557
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$6,178,128
Total interest from all sources2021-12-31$7,376
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$1,036,181
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
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$1,414
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$0
Administrative expenses (other) incurred2021-12-31$3,515,459
Liabilities. Value of operating payables at end of year2021-12-31$420,275
Liabilities. Value of operating payables at beginning of year2021-12-31$467,206
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-218,083,952
Value of net assets at end of year (total assets less liabilities)2021-12-31$13,144,796,103
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$13,299,915,351
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
Interest earned on other investments2021-12-31$7,376
Value of interest in master investment trust accounts at end of year2021-12-31$13,144,964,657
Value of interest in master investment trust accounts at beginning of year2021-12-31$13,300,132,543
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$250,307
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$250,014
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$675,670,251
Contract administrator fees2021-12-31$1,626,488
Did the plan have assets held for investment2021-12-31Yes
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. RETIREMENT INCOME 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$467,206
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$411,284
Total income from all sources (including contributions)2020-12-31$1,938,730,784
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$671,249,692
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$664,878,511
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$13,300,382,557
Value of total assets at beginning of year2020-12-31$12,032,845,543
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$6,371,181
Total interest from all sources2020-12-31$7,282
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$1,232,360
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$3,448,644
Liabilities. Value of operating payables at end of year2020-12-31$467,206
Liabilities. Value of operating payables at beginning of year2020-12-31$411,284
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$1,267,481,092
Value of net assets at end of year (total assets less liabilities)2020-12-31$13,299,915,351
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$12,032,434,259
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
Interest earned on other investments2020-12-31$7,282
Value of interest in master investment trust accounts at end of year2020-12-31$13,300,132,543
Value of interest in master investment trust accounts at beginning of year2020-12-31$12,032,595,922
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$250,014
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$249,621
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$664,878,511
Contract administrator fees2020-12-31$1,690,177
Did the plan have assets held for investment2020-12-31Yes
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. RETIREMENT INCOME 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$411,284
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$560,711
Total income from all sources (including contributions)2019-12-31$2,005,370,570
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$653,095,985
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$646,823,749
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$12,032,845,543
Value of total assets at beginning of year2019-12-31$10,680,720,385
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$6,272,236
Total interest from all sources2019-12-31$7,224
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$1,071,423
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$3,398,865
Liabilities. Value of operating payables at end of year2019-12-31$411,284
Liabilities. Value of operating payables at beginning of year2019-12-31$560,711
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$1,352,274,585
Value of net assets at end of year (total assets less liabilities)2019-12-31$12,032,434,259
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$10,680,159,674
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
Interest earned on other investments2019-12-31$7,224
Value of interest in master investment trust accounts at end of year2019-12-31$12,032,595,922
Value of interest in master investment trust accounts at beginning of year2019-12-31$9,180,470,624
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$249,621
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$249,761
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
Employer contributions (assets) at end of year2019-12-31$0
Employer contributions (assets) at beginning of year2019-12-31$1,500,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$646,823,749
Contract administrator fees2019-12-31$1,801,948
Did the plan have assets held for investment2019-12-31Yes
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. RETIREMENT INCOME 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$560,711
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$432,233
Total income from all sources (including contributions)2018-12-31$956,380,212
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$663,116,716
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$637,263,121
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,500,000,000
Value of total assets at end of year2018-12-31$10,680,720,385
Value of total assets at beginning of year2018-12-31$10,387,328,411
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$25,853,595
Total interest from all sources2018-12-31$7,216
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$1,302,260
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$22,605,866
Liabilities. Value of operating payables at end of year2018-12-31$560,711
Liabilities. Value of operating payables at beginning of year2018-12-31$432,233
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$293,263,496
Value of net assets at end of year (total assets less liabilities)2018-12-31$10,680,159,674
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$10,386,896,178
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
Interest earned on other investments2018-12-31$7,216
Value of interest in master investment trust accounts at end of year2018-12-31$9,180,470,624
Value of interest in master investment trust accounts at beginning of year2018-12-31$9,589,678,377
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$249,761
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$250,034
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
Contributions received in cash from employer2018-12-31$1,500,000,000
Employer contributions (assets) at end of year2018-12-31$1,500,000,000
Employer contributions (assets) at beginning of year2018-12-31$797,400,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$637,263,121
Contract administrator fees2018-12-31$1,945,469
Did the plan have assets held for investment2018-12-31Yes
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. RETIREMENT INCOME 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$432,233
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$432,525
Total income from all sources (including contributions)2017-12-31$3,017,877,034
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$668,974,202
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$639,831,711
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,812,037,000
Value of total assets at end of year2017-12-31$10,387,328,411
Value of total assets at beginning of year2017-12-31$8,038,425,871
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$29,142,491
Total interest from all sources2017-12-31$7,034
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$1,239,114
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$25,994,463
Liabilities. Value of operating payables at end of year2017-12-31$432,233
Liabilities. Value of operating payables at beginning of year2017-12-31$432,525
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$2,348,902,832
Value of net assets at end of year (total assets less liabilities)2017-12-31$10,386,896,178
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$8,037,993,346
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
Interest earned on other investments2017-12-31$7,034
Value of interest in master investment trust accounts at end of year2017-12-31$9,589,678,377
Value of interest in master investment trust accounts at beginning of year2017-12-31$7,834,183,859
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$250,034
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$252,012
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$1,812,037,000
Employer contributions (assets) at end of year2017-12-31$797,400,000
Employer contributions (assets) at beginning of year2017-12-31$203,990,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$639,831,711
Contract administrator fees2017-12-31$1,908,914
Did the plan have assets held for investment2017-12-31Yes
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. RETIREMENT INCOME 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$432,525
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$445,261
Total income from all sources (including contributions)2016-12-31$830,292,958
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$654,087,185
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$625,102,599
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$203,990,000
Value of total assets at end of year2016-12-31$8,038,425,871
Value of total assets at beginning of year2016-12-31$7,862,232,834
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$28,984,586
Total interest from all sources2016-12-31$7,082
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$1,372,554
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$489,841
Administrative expenses (other) incurred2016-12-31$25,694,975
Liabilities. Value of operating payables at end of year2016-12-31$432,525
Liabilities. Value of operating payables at beginning of year2016-12-31$445,261
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$176,205,773
Value of net assets at end of year (total assets less liabilities)2016-12-31$8,037,993,346
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$7,861,787,573
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
Interest earned on other investments2016-12-31$7,082
Value of interest in master investment trust accounts at end of year2016-12-31$7,834,183,859
Value of interest in master investment trust accounts at beginning of year2016-12-31$7,861,485,300
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$252,012
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$257,693
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
Contributions received in cash from employer2016-12-31$203,990,000
Employer contributions (assets) at end of year2016-12-31$203,990,000
Employer contributions (assets) at beginning of year2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$625,102,599
Contract administrator fees2016-12-31$1,917,057
Did the plan have assets held for investment2016-12-31Yes
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. RETIREMENT INCOME 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$445,261
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$794,576
Total income from all sources (including contributions)2015-12-31$-130,497,069
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$569,484,626
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$544,460,932
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$489,841
Value of total assets at end of year2015-12-31$7,862,232,834
Value of total assets at beginning of year2015-12-31$8,562,563,844
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$25,023,694
Total interest from all sources2015-12-31$7,105
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$871,397
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$489,841
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$489,841
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Administrative expenses (other) incurred2015-12-31$22,099,264
Liabilities. Value of operating payables at end of year2015-12-31$445,261
Liabilities. Value of operating payables at beginning of year2015-12-31$794,576
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-699,981,695
Value of net assets at end of year (total assets less liabilities)2015-12-31$7,861,787,573
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$8,561,769,268
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
Interest earned on other investments2015-12-31$7,105
Value of interest in master investment trust accounts at end of year2015-12-31$7,861,485,300
Value of interest in master investment trust accounts at beginning of year2015-12-31$8,562,299,404
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$257,693
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$264,440
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$544,460,932
Contract administrator fees2015-12-31$2,053,033
Did the plan have assets held for investment2015-12-31Yes
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. RETIREMENT INCOME PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$297,242,677
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$794,576
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$840,491
Total income from all sources (including contributions)2014-12-31$568,469,994
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$602,972,519
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$590,521,074
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$8,562,563,844
Value of total assets at beginning of year2014-12-31$8,299,869,607
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$12,451,445
Total interest from all sources2014-12-31$7,447
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$1,198,399
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$8,550,669
Liabilities. Value of operating payables at end of year2014-12-31$794,576
Liabilities. Value of operating payables at beginning of year2014-12-31$840,491
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-34,502,525
Value of net assets at end of year (total assets less liabilities)2014-12-31$8,561,769,268
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$8,299,029,116
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$1,128
Interest earned on other investments2014-12-31$7,447
Value of interest in master investment trust accounts at end of year2014-12-31$8,562,299,404
Value of interest in master investment trust accounts at beginning of year2014-12-31$8,154,598,329
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$264,440
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$271,278
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$145,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$590,521,074
Contract administrator fees2014-12-31$2,701,249
Did the plan have assets held for investment2014-12-31Yes
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. RETIREMENT INCOME 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$840,491
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$830,048
Total income from all sources (including contributions)2013-12-31$1,628,182,486
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$490,844,949
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$473,706,529
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$495,000,000
Value of total assets at end of year2013-12-31$8,299,869,607
Value of total assets at beginning of year2013-12-31$7,162,521,627
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$17,138,420
Total interest from all sources2013-12-31$7,362
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$14,168,410
Liabilities. Value of operating payables at end of year2013-12-31$840,491
Liabilities. Value of operating payables at beginning of year2013-12-31$830,048
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$1,137,337,537
Value of net assets at end of year (total assets less liabilities)2013-12-31$8,299,029,116
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$7,161,691,579
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$922,576
Interest earned on other investments2013-12-31$7,362
Value of interest in master investment trust accounts at end of year2013-12-31$8,154,598,329
Value of interest in master investment trust accounts at beginning of year2013-12-31$7,162,242,362
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$271,278
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$279,265
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$495,000,000
Employer contributions (assets) at end of year2013-12-31$145,000,000
Employer contributions (assets) at beginning of year2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$473,706,529
Contract administrator fees2013-12-31$2,002,434
Did the plan have assets held for investment2013-12-31Yes
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. RETIREMENT INCOME 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$830,048
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$933,395
Total income from all sources (including contributions)2012-12-31$1,186,787,042
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$471,324,228
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$454,993,017
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$365,000,000
Value of total assets at end of year2012-12-31$7,162,521,627
Value of total assets at beginning of year2012-12-31$6,447,162,160
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$16,331,211
Total interest from all sources2012-12-31$8,110
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$636,194
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
Administrative expenses (other) incurred2012-12-31$12,704,732
Liabilities. Value of operating payables at end of year2012-12-31$830,048
Liabilities. Value of operating payables at beginning of year2012-12-31$933,395
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$715,462,814
Value of net assets at end of year (total assets less liabilities)2012-12-31$7,161,691,579
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$6,446,228,765
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$925,023
Interest earned on other investments2012-12-31$8,110
Value of interest in master investment trust accounts at end of year2012-12-31$7,162,242,362
Value of interest in master investment trust accounts at beginning of year2012-12-31$6,446,874,618
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$279,265
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$287,542
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$365,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$454,993,017
Contract administrator fees2012-12-31$2,065,262
Did the plan have assets held for investment2012-12-31Yes
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
2011 : CATERPILLAR INC. RETIREMENT INCOME PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$933,395
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$594,422
Total income from all sources (including contributions)2011-12-31$-169,165,321
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$452,761,243
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$447,002,939
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$0
Value of total assets at end of year2011-12-31$6,447,162,160
Value of total assets at beginning of year2011-12-31$7,068,749,751
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$5,758,304
Total interest from all sources2011-12-31$8,211
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$1,336,956
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$45,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Administrative expenses (other) incurred2011-12-31$1,773,247
Liabilities. Value of operating payables at end of year2011-12-31$933,395
Liabilities. Value of operating payables at beginning of year2011-12-31$594,422
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-621,926,564
Value of net assets at end of year (total assets less liabilities)2011-12-31$6,446,228,765
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$7,068,155,329
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Interest earned on other investments2011-12-31$8,211
Value of interest in master investment trust accounts at end of year2011-12-31$6,446,874,618
Value of interest in master investment trust accounts at beginning of year2011-12-31$7,068,454,067
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$287,542
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$295,684
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$447,002,939
Contract administrator fees2011-12-31$2,648,101
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2011-12-31134008324
2010 : CATERPILLAR INC. RETIREMENT INCOME PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$594,422
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$824,699
Total income from all sources (including contributions)2010-12-31$1,212,864,617
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$450,443,269
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$442,548,649
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$150,000,000
Value of total assets at end of year2010-12-31$7,068,749,751
Value of total assets at beginning of year2010-12-31$6,306,558,680
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$7,894,620
Total interest from all sources2010-12-31$9,669
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Administrative expenses professional fees incurred2010-12-31$1,934,058
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$45,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Administrative expenses (other) incurred2010-12-31$2,890,906
Liabilities. Value of operating payables at end of year2010-12-31$594,422
Liabilities. Value of operating payables at beginning of year2010-12-31$824,699
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$762,421,348
Value of net assets at end of year (total assets less liabilities)2010-12-31$7,068,155,329
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$6,305,733,981
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31Yes
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Interest earned on other investments2010-12-31$9,669
Value of interest in master investment trust accounts at end of year2010-12-31$7,068,454,067
Value of interest in master investment trust accounts at beginning of year2010-12-31$5,576,254,605
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$295,684
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$304,075
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$150,000,000
Employer contributions (assets) at end of year2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$730,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$442,548,649
Contract administrator fees2010-12-31$3,069,656
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2010-12-31134008324
2009 : CATERPILLAR INC. RETIREMENT INCOME PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for CATERPILLAR INC. RETIREMENT INCOME PLAN

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

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Number of Individuals Covered1
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Number of Individuals Covered3
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Number of Individuals Covered3
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Number of Individuals Covered4
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Number of Individuals Covered4
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Number of Individuals Covered5
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Number of Individuals Covered9
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract numberAC 1523
Policy instance 1
Insurance contract or identification numberAC 1523
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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