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CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN 401k Plan overview

Plan NameCATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN
Plan identification number 015

CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • 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 GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0152012-01-01CHRISTINE CANDELA CHRISTINE CANDELA2013-10-04

Plan Statistics for CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN

401k plan membership statisitcs for CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN

Measure Date Value
2012: CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01825
Total number of active participants reported on line 7a of the Form 55002012-01-01794
Number of retired or separated participants receiving benefits2012-01-016
Number of other retired or separated participants entitled to future benefits2012-01-0144
Total of all active and inactive participants2012-01-01844
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-014
Total participants2012-01-01848
Number of participants with account balances2012-01-01837
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010

Financial Data on CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN

Measure Date Value
2012 : CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS 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$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$8,833,559
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$4,174,677
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$4,147,391
Value of total corrective distributions2012-12-31$7,864
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$5,174,592
Value of total assets at end of year2012-12-31$39,229,789
Value of total assets at beginning of year2012-12-31$34,570,907
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$19,422
Total interest from all sources2012-12-31$65,092
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$553,737
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$553,737
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$5,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
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
Contributions received from participants2012-12-31$3,764,469
Participant contributions at end of year2012-12-31$1,683,695
Participant contributions at beginning of year2012-12-31$1,497,257
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$125,418
Other income not declared elsewhere2012-12-31$570
Administrative expenses (other) incurred2012-12-31$10,550
Total non interest bearing cash at end of year2012-12-31$37,546,094
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$4,658,882
Value of net assets at end of year (total assets less liabilities)2012-12-31$39,229,789
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$34,570,907
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$5,372
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$24,694,674
Interest on participant loans2012-12-31$65,092
Value of interest in common/collective trusts at end of year2012-12-31$0
Value of interest in common/collective trusts at beginning of year2012-12-31$8,339,319
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$1,701
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$1,701
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$3,216,675
Net investment gain or loss from common/collective trusts2012-12-31$-177,107
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$1,284,705
Employer contributions (assets) at end of year2012-12-31$0
Employer contributions (assets) at beginning of year2012-12-31$37,956
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$4,147,391
Contract administrator fees2012-12-31$3,500
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)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2012-12-31390859910

Form 5500 Responses for CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS PLAN

2012: CATERPILLAR GLOBAL MINING LEGACY HOURLY EMPLOYEES' SAVINGS 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 planYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes

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