401k Plan data: CATERPILLAR 401(K) RETIREMENT PLAN plan

CATERPILLAR 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	CATERPILLAR 401(K) RETIREMENT PLAN
Plan identification number	004

CATERPILLAR 401(K) RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2019-01-01 STEPHEN ROBERTSON 2020-08-03
004 2018-01-01
004 2017-01-01
004 2016-01-01
004 2015-01-01
004 2015-01-01 LEANNE MORITZ 2016-10-12
004 2014-01-01 LEANNE MORITZ
004 2014-01-01
004 2013-01-01
004 2012-01-01 FILED WITH AUTHORIZED SIGNATURE
004 2011-01-01 LEANNE K. MORITZ
004 2009-01-01 JONATHAN D GINZEL

Plan Statistics for CATERPILLAR 401(K) RETIREMENT PLAN

401k plan membership statisitcs for CATERPILLAR 401(K) RETIREMENT PLAN

Measure Date Value
2019: CATERPILLAR 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 13,055
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: CATERPILLAR 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 11,984
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 5,860
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 4,909
Total of all active and inactive participants 2018-01-01 10,769
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 296
Total participants 2018-01-01 11,065
Number of participants with account balances 2018-01-01 10,948
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: CATERPILLAR 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 15,729
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 7,838
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 6,250
Total of all active and inactive participants 2017-01-01 14,088
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 334
Total participants 2017-01-01 14,422
Number of participants with account balances 2017-01-01 13,917
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: CATERPILLAR 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 16,910
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 8,812
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 6,550
Total of all active and inactive participants 2016-01-01 15,362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 389
Total participants 2016-01-01 15,751
Number of participants with account balances 2016-01-01 15,044
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: CATERPILLAR 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 18,643
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 10,087
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 6,534
Total of all active and inactive participants 2015-01-01 16,621
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 305
Total participants 2015-01-01 16,926
Number of participants with account balances 2015-01-01 16,209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: CATERPILLAR 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 20,474
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 10,786
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 7,555
Total of all active and inactive participants 2014-01-01 18,341
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 309
Total participants 2014-01-01 18,650
Number of participants with account balances 2014-01-01 17,928
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 111
2013: CATERPILLAR 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 38,261
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 11,721
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 8,211
Total of all active and inactive participants 2013-01-01 19,932
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 302
Total participants 2013-01-01 20,234
Number of participants with account balances 2013-01-01 19,602
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 619
2012: CATERPILLAR 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 35,773
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 40,055
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 7,147
Total of all active and inactive participants 2012-01-01 47,202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 295
Total participants 2012-01-01 47,497
Number of participants with account balances 2012-01-01 37,279
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1,598
2011: CATERPILLAR 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 31,361
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 27,972
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 7,531
Total of all active and inactive participants 2011-01-01 35,503
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 270
Total participants 2011-01-01 35,773
Number of participants with account balances 2011-01-01 32,038
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: CATERPILLAR 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 43,373
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 31,838
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 8,904
Total of all active and inactive participants 2009-01-01 40,742
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 306
Total participants 2009-01-01 41,048
Number of participants with account balances 2009-01-01 39,887
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2019: CATERPILLAR 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	13,055
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: CATERPILLAR 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	11,984
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	5,860
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	4,909
Total of all active and inactive participants	2018-01-01	10,769
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	296
Total participants	2018-01-01	11,065
Number of participants with account balances	2018-01-01	10,948
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: CATERPILLAR 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	15,729
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	7,838
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	6,250
Total of all active and inactive participants	2017-01-01	14,088
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	334
Total participants	2017-01-01	14,422
Number of participants with account balances	2017-01-01	13,917
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: CATERPILLAR 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	16,910
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	8,812
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	6,550
Total of all active and inactive participants	2016-01-01	15,362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	389
Total participants	2016-01-01	15,751
Number of participants with account balances	2016-01-01	15,044
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: CATERPILLAR 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	18,643
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	10,087
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	6,534
Total of all active and inactive participants	2015-01-01	16,621
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	305
Total participants	2015-01-01	16,926
Number of participants with account balances	2015-01-01	16,209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: CATERPILLAR 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	20,474
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	10,786
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	7,555
Total of all active and inactive participants	2014-01-01	18,341
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	309
Total participants	2014-01-01	18,650
Number of participants with account balances	2014-01-01	17,928
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	111
2013: CATERPILLAR 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	38,261
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	11,721
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	8,211
Total of all active and inactive participants	2013-01-01	19,932
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	302
Total participants	2013-01-01	20,234
Number of participants with account balances	2013-01-01	19,602
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	619
2012: CATERPILLAR 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	35,773
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	40,055
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	7,147
Total of all active and inactive participants	2012-01-01	47,202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	295
Total participants	2012-01-01	47,497
Number of participants with account balances	2012-01-01	37,279
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1,598
2011: CATERPILLAR 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	31,361
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	27,972
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	7,531
Total of all active and inactive participants	2011-01-01	35,503
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	270
Total participants	2011-01-01	35,773
Number of participants with account balances	2011-01-01	32,038
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: CATERPILLAR 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	43,373
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	31,838
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	8,904
Total of all active and inactive participants	2009-01-01	40,742
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	306
Total participants	2009-01-01	41,048
Number of participants with account balances	2009-01-01	39,887
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CATERPILLAR 401(K) RETIREMENT PLAN

Measure	Date	Value
2019 : CATERPILLAR 401(K) RETIREMENT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets from this plan	2019-12-31	$3,501,172,796
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$846,020
Total income from all sources (including contributions)	2019-12-31	$709,653,200
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$222,232,493
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$222,476,357
Expenses. Certain deemed distributions of participant loans	2019-12-31	$-2,628,877
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$122,558,047
Value of total assets at end of year	2019-12-31	$0
Value of total assets at beginning of year	2019-12-31	$3,014,598,109
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$2,385,013
Total interest from all sources	2019-12-31	$5,687,993
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 year	2019-12-31	No
Administrative expenses professional fees incurred	2019-12-31	$347,842
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$56,733,110
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$38,922,966
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$87,891,087
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$527,269
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$846,020
Other income not declared elsewhere	2019-12-31	$16,660,661
Total non interest bearing cash at end of year	2019-12-31	$0
Total non interest bearing cash at beginning of year	2019-12-31	$334,519
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$487,420,707
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$3,013,752,089
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$1,706,821
Interest on participant loans	2019-12-31	$2,038,786
Interest earned on other investments	2019-12-31	$3,649,207
Value of interest in master investment trust accounts at end of year	2019-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2019-12-31	$2,855,620,301
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$65,824,937
Employer contributions (assets) at end of year	2019-12-31	$0
Employer contributions (assets) at beginning of year	2019-12-31	$31,301,967
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$222,476,357
Contract administrator fees	2019-12-31	$330,350
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Accountancy firm name	2019-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2019-12-31	134008324
2018 : CATERPILLAR 401(K) RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$22,837
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$846,020
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$679,507
Total income from all sources (including contributions)	2018-12-31	$-192,866,630
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$215,639,993
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$213,289,584
Expenses. Certain deemed distributions of participant loans	2018-12-31	$131,640
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$124,415,056
Value of total assets at end of year	2018-12-31	$3,014,598,109
Value of total assets at beginning of year	2018-12-31	$3,422,915,382
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,218,769
Total interest from all sources	2018-12-31	$5,674,429
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 year	2018-12-31	No
Administrative expenses professional fees incurred	2018-12-31	$476,178
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$57,230,545
Participant contributions at end of year	2018-12-31	$38,922,966
Participant contributions at beginning of year	2018-12-31	$41,452,648
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$297,282
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$87,891,087
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$93,087,070
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$527,269
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$1,300,865
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$846,020
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$679,507
Other income not declared elsewhere	2018-12-31	$-10,697,760
Total non interest bearing cash at end of year	2018-12-31	$334,519
Total non interest bearing cash at beginning of year	2018-12-31	$312,109
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-408,506,623
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$3,013,752,089
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$3,422,235,875
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$1,431,058
Interest on participant loans	2018-12-31	$2,024,150
Interest earned on other investments	2018-12-31	$3,650,279
Value of interest in master investment trust accounts at end of year	2018-12-31	$2,855,620,301
Value of interest in master investment trust accounts at beginning of year	2018-12-31	$3,261,671,340
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$67,184,511
Employer contributions (assets) at end of year	2018-12-31	$31,301,967
Employer contributions (assets) at beginning of year	2018-12-31	$24,794,068
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$213,289,584
Contract administrator fees	2018-12-31	$311,533
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2018-12-31	134008324
2017 : CATERPILLAR 401(K) RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$969,827
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$679,507
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$1,317,899
Total income from all sources (including contributions)	2017-12-31	$907,344,182
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$253,353,574
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$251,297,682
Expenses. Certain deemed distributions of participant loans	2017-12-31	$-19,312
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$110,056,393
Value of total assets at end of year	2017-12-31	$3,422,915,382
Value of total assets at beginning of year	2017-12-31	$2,770,532,993
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$2,075,204
Total interest from all sources	2017-12-31	$4,940,370
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 year	2017-12-31	No
Administrative expenses professional fees incurred	2017-12-31	$508,117
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$52,518,278
Participant contributions at end of year	2017-12-31	$41,452,648
Participant contributions at beginning of year	2017-12-31	$44,394,235
Participant contributions at end of year	2017-12-31	$297,282
Participant contributions at beginning of year	2017-12-31	$2,079,823
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$93,087,070
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$78,005,769
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$41,937
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$1,300,865
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$1,825,410
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$679,507
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$1,317,899
Other income not declared elsewhere	2017-12-31	$9,285,559
Total non interest bearing cash at end of year	2017-12-31	$312,109
Total non interest bearing cash at beginning of year	2017-12-31	$36,086
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$653,990,608
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$3,422,235,875
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$2,769,215,094
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$1,265,457
Interest on participant loans	2017-12-31	$1,939,201
Interest earned on other investments	2017-12-31	$3,001,169
Value of interest in master investment trust accounts at end of year	2017-12-31	$3,261,671,340
Value of interest in master investment trust accounts at beginning of year	2017-12-31	$2,617,010,510
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$57,496,178
Employer contributions (assets) at end of year	2017-12-31	$24,794,068
Employer contributions (assets) at beginning of year	2017-12-31	$27,181,160
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$251,297,682
Contract administrator fees	2017-12-31	$301,630
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2017-12-31	134008324
2016 : CATERPILLAR 401(K) RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$389,960
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$1,317,899
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$2,071,792
Total income from all sources (including contributions)	2016-12-31	$500,724,748
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$210,038,649
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$207,893,771
Expenses. Certain deemed distributions of participant loans	2016-12-31	$41,980
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$114,778,773
Value of total assets at end of year	2016-12-31	$2,770,532,993
Value of total assets at beginning of year	2016-12-31	$2,480,990,747
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$2,102,898
Total interest from all sources	2016-12-31	$3,894,778
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 year	2016-12-31	No
Administrative expenses professional fees incurred	2016-12-31	$257,978
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$54,497,899
Participant contributions at end of year	2016-12-31	$44,394,235
Participant contributions at beginning of year	2016-12-31	$45,706,870
Participant contributions at end of year	2016-12-31	$2,079,823
Participant contributions at beginning of year	2016-12-31	$2,161,868
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$78,005,769
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$67,398,125
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$1,825,410
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$2,634,249
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$1,317,899
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$2,071,792
Other income not declared elsewhere	2016-12-31	$3,567,593
Administrative expenses (other) incurred	2016-12-31	$50
Total non interest bearing cash at end of year	2016-12-31	$36,086
Total non interest bearing cash at beginning of year	2016-12-31	$175,369
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$290,686,099
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$2,769,215,094
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$2,478,918,955
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$1,428,596
Interest on participant loans	2016-12-31	$1,873,389
Interest earned on other investments	2016-12-31	$2,021,389
Value of interest in master investment trust accounts at end of year	2016-12-31	$2,617,010,510
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$2,331,787,215
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$60,280,874
Employer contributions (assets) at end of year	2016-12-31	$27,181,160
Employer contributions (assets) at beginning of year	2016-12-31	$31,127,051
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$207,893,771
Contract administrator fees	2016-12-31	$416,274
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2016-12-31	134008324
2015 : CATERPILLAR 401(K) RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$2,071,792
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$416,611
Total income from all sources (including contributions)	2015-12-31	$-88,346,270
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$207,662,750
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$205,299,666
Expenses. Certain deemed distributions of participant loans	2015-12-31	$11,069
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$132,409,079
Value of total assets at end of year	2015-12-31	$2,480,990,747
Value of total assets at beginning of year	2015-12-31	$2,775,344,586
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$2,352,015
Total interest from all sources	2015-12-31	$4,176,646
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$272,274
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$62,100,220
Participant contributions at end of year	2015-12-31	$45,706,870
Participant contributions at beginning of year	2015-12-31	$45,102,700
Participant contributions at end of year	2015-12-31	$2,161,868
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$67,398,125
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$64,224,930
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$556,970
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$2,634,249
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$276,838
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$2,071,792
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$416,611
Other income not declared elsewhere	2015-12-31	$-5,045,762
Administrative expenses (other) incurred	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$175,369
Total non interest bearing cash at beginning of year	2015-12-31	$111,646
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-296,009,020
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$2,478,918,955
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$2,774,927,975
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$1,617,371
Interest on participant loans	2015-12-31	$1,844,183
Interest earned on other investments	2015-12-31	$2,332,463
Value of interest in master investment trust accounts at end of year	2015-12-31	$2,331,787,215
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$2,640,077,050
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$69,751,889
Employer contributions (assets) at end of year	2015-12-31	$31,127,051
Employer contributions (assets) at beginning of year	2015-12-31	$25,551,422
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$205,299,666
Contract administrator fees	2015-12-31	$462,370
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2015-12-31	134008324
2014 : CATERPILLAR 401(K) RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$1,449,714
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$416,611
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$2,909,613
Total income from all sources (including contributions)	2014-12-31	$265,307,702
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$297,665,910
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$295,245,828
Expenses. Certain deemed distributions of participant loans	2014-12-31	$-274,785
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$125,231,254
Value of total assets at end of year	2014-12-31	$2,775,344,586
Value of total assets at beginning of year	2014-12-31	$2,811,645,510
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$2,694,867
Total interest from all sources	2014-12-31	$4,354,811
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$308,403
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2014-12-31	$65,373
Contributions received from participants	2014-12-31	$60,495,289
Participant contributions at end of year	2014-12-31	$45,102,700
Participant contributions at beginning of year	2014-12-31	$42,453,741
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$64,224,930
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$55,230,329
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$276,838
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$416,611
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$2,909,613
Other income not declared elsewhere	2014-12-31	$70,194
Administrative expenses (other) incurred	2014-12-31	$72,896
Total non interest bearing cash at end of year	2014-12-31	$111,646
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-32,358,208
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,774,927,975
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$2,808,735,897
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$1,615,836
Interest on participant loans	2014-12-31	$1,855,345
Interest earned on other investments	2014-12-31	$2,499,466
Value of interest in master investment trust accounts at end of year	2014-12-31	$2,640,077,050
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$2,687,793,110
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$64,735,965
Employer contributions (assets) at end of year	2014-12-31	$25,551,422
Employer contributions (assets) at beginning of year	2014-12-31	$26,168,330
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$295,245,828
Contract administrator fees	2014-12-31	$697,732
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2014-12-31	134008324
2013 : CATERPILLAR 401(K) RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$1,602,647,271
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$2,909,613
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$746,471,379
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$289,705,913
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$288,635,541
Expenses. Certain deemed distributions of participant loans	2013-12-31	$-2,316,012
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$325,812,807
Value of total assets at end of year	2013-12-31	$2,811,645,510
Value of total assets at beginning of year	2013-12-31	$3,954,617,702
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,386,384
Total interest from all sources	2013-12-31	$3,145,291
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Administrative expenses professional fees incurred	2013-12-31	$419,744
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2013-12-31	$65,373
Contributions received from participants	2013-12-31	$183,401,014
Participant contributions at end of year	2013-12-31	$42,453,741
Participant contributions at beginning of year	2013-12-31	$69,106,296
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$55,230,329
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$79,420,441
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$2,909,613
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$10,342,359
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$456,765,466
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$2,808,735,897
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$3,954,617,702
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$2,073,903
Interest on participant loans	2013-12-31	$3,145,291
Value of interest in master investment trust accounts at end of year	2013-12-31	$2,687,793,110
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$3,726,295,839
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$142,411,793
Employer contributions (assets) at end of year	2013-12-31	$26,168,330
Employer contributions (assets) at beginning of year	2013-12-31	$79,795,126
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$288,635,541
Contract administrator fees	2013-12-31	$892,737
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2013-12-31	134008324
2012 : CATERPILLAR 401(K) RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$83,053,198
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$618,998,274
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$239,208,975
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$235,388,369
Expenses. Certain deemed distributions of participant loans	2012-12-31	$522,583
Value of total corrective distributions	2012-12-31	$41,216
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$381,108,971
Value of total assets at end of year	2012-12-31	$3,954,617,702
Value of total assets at beginning of year	2012-12-31	$3,491,775,205
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,256,807
Total interest from all sources	2012-12-31	$2,844,435
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$326,886
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$182,633,437
Participant contributions at end of year	2012-12-31	$69,106,296
Participant contributions at beginning of year	2012-12-31	$59,895,097
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$6,389,868
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$79,420,441
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$64,284,616
Other income not declared elsewhere	2012-12-31	$5,734,297
Administrative expenses (other) incurred	2012-12-31	$63
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$379,789,299
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$3,954,617,702
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$3,491,775,205
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$1,440,177
Interest on participant loans	2012-12-31	$2,844,435
Value of interest in master investment trust accounts at end of year	2012-12-31	$3,726,295,839
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$3,300,042,241
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$198,475,534
Employer contributions (assets) at end of year	2012-12-31	$79,795,126
Employer contributions (assets) at beginning of year	2012-12-31	$61,163,383
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$235,388,369
Contract administrator fees	2012-12-31	$1,489,681
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2012-12-31	134008324
2011 : CATERPILLAR 401(K) RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$2,898,470,141
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$260,536,241
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$293,662,034
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$290,828,446
Expenses. Certain deemed distributions of participant loans	2011-12-31	$667,405
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$282,519,959
Value of total assets at end of year	2011-12-31	$3,491,775,205
Value of total assets at beginning of year	2011-12-31	$6,423,371,139
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,166,183
Total interest from all sources	2011-12-31	$2,466,606
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$266,397
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$136,955,157
Participant contributions at end of year	2011-12-31	$59,895,097
Participant contributions at beginning of year	2011-12-31	$78,273,677
Participant contributions at end of year	2011-12-31	$6,389,868
Participant contributions at beginning of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$64,284,616
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$174,452,256
Other income not declared elsewhere	2011-12-31	$-4,425,494
Administrative expenses (other) incurred	2011-12-31	$562
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-33,125,793
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$3,491,775,205
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$6,423,371,139
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$749,804
Interest on participant loans	2011-12-31	$2,466,606
Value of interest in master investment trust accounts at end of year	2011-12-31	$3,300,042,241
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$6,170,645,206
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$145,564,802
Employer contributions (assets) at end of year	2011-12-31	$61,163,383
Employer contributions (assets) at beginning of year	2011-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$290,828,446
Contract administrator fees	2011-12-31	$1,149,420
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2011-12-31	134008324
2010 : CATERPILLAR 401(K) RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$305,947
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,025,665,438
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$390,769,409
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$386,776,307
Expenses. Certain deemed distributions of participant loans	2010-12-31	$710,715
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$327,116,392
Value of total assets at end of year	2010-12-31	$6,423,371,139
Value of total assets at beginning of year	2010-12-31	$4,788,169,163
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$3,282,387
Total interest from all sources	2010-12-31	$3,708,311
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$444,249
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$195,466,488
Participant contributions at end of year	2010-12-31	$78,273,677
Participant contributions at beginning of year	2010-12-31	$64,928,006
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$9,445,431
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$174,452,256
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$153,534,049
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$5,637,216
Other income not declared elsewhere	2010-12-31	$20,925,581
Administrative expenses (other) incurred	2010-12-31	$35,071
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Income. Non cash contributions	2010-12-31	$101,994,184
Value of net income/loss	2010-12-31	$1,634,896,029
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$6,423,371,139
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,788,169,163
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$769,655
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$0
Interest on participant loans	2010-12-31	$3,708,311
Value of interest in master investment trust accounts at end of year	2010-12-31	$6,170,645,206
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$4,552,416,296
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$24,018,504
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$7,845,381
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$386,776,307
Contract administrator fees	2010-12-31	$2,033,412
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2010-12-31	134008324
2009 : CATERPILLAR 401(K) RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for CATERPILLAR 401(K) RETIREMENT PLAN

2019: CATERPILLAR 401(K) RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: CATERPILLAR 401(K) RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: CATERPILLAR 401(K) RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: CATERPILLAR 401(K) RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CATERPILLAR 401(K) RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CATERPILLAR 401(K) RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: CATERPILLAR 401(K) RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CATERPILLAR 401(K) RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CATERPILLAR 401(K) RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CATERPILLAR 401(K) RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CATERPILLAR INC.
Employer identification number (EIN):	370602744
NAIC Classification:	333100

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

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
004	2019-01-01	STEPHEN ROBERTSON	2020-08-03
004	2018-01-01
004	2017-01-01
004	2016-01-01
004	2015-01-01
004	2015-01-01	LEANNE MORITZ	2016-10-12
004	2014-01-01	LEANNE MORITZ
004	2014-01-01
004	2013-01-01
004	2012-01-01	FILED WITH AUTHORIZED SIGNATURE
004	2011-01-01	LEANNE K. MORITZ
004	2009-01-01	JONATHAN D GINZEL