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Plan Name | CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN |
Plan identification number | 033 |
401k Plan Type | Defined Contribution Pension |
Plan Features/Benefits |
|
Company Name: | CATERPILLAR INC. |
Employer identification number (EIN): | 370602744 |
NAIC Classification: | 333100 |
Additional information about CATERPILLAR INC.
Jurisdiction of Incorporation: | Texas Secretary of State |
Incorporation Date: | 1986-05-07 |
Company Identification Number: | 0006917606 |
Legal Registered Office Address: |
100 NE ADAMS ST PEORIA United States of America (USA) 61629 |
More information about CATERPILLAR INC.
Plan id# | Filing Submission Date | Name of Administrator | Date Administrator Signed | Name of Company Sponsor | Date Sponsor Signed |
---|---|---|---|---|---|
033 | 2022-01-01 | STEPHEN ROBERTSON | 2023-08-11 | ||
033 | 2021-01-01 | STEPHEN ROBERTSON | 2022-07-06 | ||
033 | 2020-01-01 | STEPHEN ROBERTSON | 2021-07-21 | ||
033 | 2019-01-01 | STEPHEN ROBERTSON | 2020-08-03 | ||
033 | 2018-01-01 | ||||
033 | 2017-01-01 | ||||
033 | 2016-01-01 | ||||
033 | 2015-01-01 | ||||
033 | 2015-01-01 | LEANNE MORITZ | 2016-10-12 | ||
033 | 2014-01-01 | LEANNE MORITZ | |||
033 | 2014-01-01 | FILED WITH AUTHORIZED SIGNATURE | |||
033 | 2014-01-01 | ||||
033 | 2013-01-01 | ||||
033 | 2012-01-01 | FILED WITH AUTHORIZED SIGNATURE | |||
033 | 2011-01-01 | LEANNE K. MORITZ | |||
033 | 2009-01-01 | JONATHAN D GINZEL | JONATHAN D GINZEL | 2010-10-14 |
Measure | Date | Value |
---|---|---|
2022: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2022 401k membership | ||
Total participants, beginning-of-year | 2022-01-01 | 9,291 |
Total number of active participants reported on line 7a of the Form 5500 | 2022-01-01 | 7,079 |
Number of retired or separated participants receiving benefits | 2022-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2022-01-01 | 3,144 |
Total of all active and inactive participants | 2022-01-01 | 10,223 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2022-01-01 | 142 |
Total participants | 2022-01-01 | 10,365 |
Number of participants with account balances | 2022-01-01 | 10,274 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2022-01-01 | 746 |
2021: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2021 401k membership | ||
Total participants, beginning-of-year | 2021-01-01 | 8,435 |
Total number of active participants reported on line 7a of the Form 5500 | 2021-01-01 | 6,560 |
Number of retired or separated participants receiving benefits | 2021-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2021-01-01 | 3,148 |
Total of all active and inactive participants | 2021-01-01 | 9,708 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2021-01-01 | 123 |
Total participants | 2021-01-01 | 9,831 |
Number of participants with account balances | 2021-01-01 | 9,734 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2021-01-01 | 371 |
2020: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2020 401k membership | ||
Total participants, beginning-of-year | 2020-01-01 | 9,318 |
Total number of active participants reported on line 7a of the Form 5500 | 2020-01-01 | 6,240 |
Number of retired or separated participants receiving benefits | 2020-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2020-01-01 | 3,041 |
Total of all active and inactive participants | 2020-01-01 | 9,281 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2020-01-01 | 131 |
Total participants | 2020-01-01 | 9,412 |
Number of participants with account balances | 2020-01-01 | 9,296 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2020-01-01 | 491 |
2019: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2019 401k membership | ||
Total participants, beginning-of-year | 2019-01-01 | 10,797 |
Total number of active participants reported on line 7a of the Form 5500 | 2019-01-01 | 7,092 |
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 | 3,074 |
Total of all active and inactive participants | 2019-01-01 | 10,166 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2019-01-01 | 114 |
Total participants | 2019-01-01 | 10,280 |
Number of participants with account balances | 2019-01-01 | 10,259 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2019-01-01 | 627 |
2018: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2018 401k membership | ||
Total participants, beginning-of-year | 2018-01-01 | 7,901 |
Total number of active participants reported on line 7a of the Form 5500 | 2018-01-01 | 7,171 |
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 | 2,416 |
Total of all active and inactive participants | 2018-01-01 | 9,587 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2018-01-01 | 91 |
Total participants | 2018-01-01 | 9,678 |
Number of participants with account balances | 2018-01-01 | 8,713 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2018-01-01 | 307 |
2017: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2017 401k membership | ||
Total participants, beginning-of-year | 2017-01-01 | 8,470 |
Total number of active participants reported on line 7a of the Form 5500 | 2017-01-01 | 5,943 |
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 | 2,700 |
Total of all active and inactive participants | 2017-01-01 | 8,643 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2017-01-01 | 93 |
Total participants | 2017-01-01 | 8,736 |
Number of participants with account balances | 2017-01-01 | 9,465 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2017-01-01 | 88 |
2016: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2016 401k membership | ||
Total participants, beginning-of-year | 2016-01-01 | 9,369 |
Total number of active participants reported on line 7a of the Form 5500 | 2016-01-01 | 6,466 |
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 | 2,688 |
Total of all active and inactive participants | 2016-01-01 | 9,154 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2016-01-01 | 113 |
Total participants | 2016-01-01 | 9,267 |
Number of participants with account balances | 2016-01-01 | 9,103 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2016-01-01 | 28 |
2015: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2015 401k membership | ||
Total participants, beginning-of-year | 2015-01-01 | 8,067 |
Total number of active participants reported on line 7a of the Form 5500 | 2015-01-01 | 6,482 |
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 | 2,665 |
Total of all active and inactive participants | 2015-01-01 | 9,147 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-01-01 | 82 |
Total participants | 2015-01-01 | 9,229 |
Number of participants with account balances | 2015-01-01 | 9,431 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2015-01-01 | 21 |
2014: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2014 401k membership | ||
Total participants, beginning-of-year | 2014-01-01 | 7,839 |
Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 5,949 |
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 | 835 |
Total of all active and inactive participants | 2014-01-01 | 6,784 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-01-01 | 42 |
Total participants | 2014-01-01 | 6,826 |
Number of participants with account balances | 2014-01-01 | 6,517 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-01-01 | 161 |
2013: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2013 401k membership | ||
Total participants, beginning-of-year | 2013-01-01 | 8,079 |
Total number of active participants reported on line 7a of the Form 5500 | 2013-01-01 | 6,829 |
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 | 837 |
Total of all active and inactive participants | 2013-01-01 | 7,666 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-01-01 | 43 |
Total participants | 2013-01-01 | 7,709 |
Number of participants with account balances | 2013-01-01 | 7,164 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-01-01 | 243 |
2012: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2012 401k membership | ||
Total participants, beginning-of-year | 2012-01-01 | 6,827 |
Total number of active participants reported on line 7a of the Form 5500 | 2012-01-01 | 6,184 |
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 | 1,186 |
Total of all active and inactive participants | 2012-01-01 | 7,370 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-01-01 | 30 |
Total participants | 2012-01-01 | 7,400 |
Number of participants with account balances | 2012-01-01 | 7,252 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-01-01 | 315 |
2011: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2011 401k membership | ||
Total participants, beginning-of-year | 2011-01-01 | 6,821 |
Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 6,461 |
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 | 349 |
Total of all active and inactive participants | 2011-01-01 | 6,810 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-01-01 | 17 |
Total participants | 2011-01-01 | 6,827 |
Number of participants with account balances | 2011-01-01 | 6,616 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-01-01 | 11 |
2009: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2009 401k membership | ||
Total participants, beginning-of-year | 2009-01-01 | 8,014 |
Total number of active participants reported on line 7a of the Form 5500 | 2009-01-01 | 6,451 |
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 | 811 |
Total of all active and inactive participants | 2009-01-01 | 7,262 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-01-01 | 21 |
Total participants | 2009-01-01 | 7,283 |
Number of participants with account balances | 2009-01-01 | 7,240 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-01-01 | 560 |
Measure | Date | Value |
---|---|---|
2022 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2022 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2022-12-31 | $0 |
Total transfer of assets from this plan | 2022-12-31 | $5,050 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $124,869 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $305,642 |
Total income from all sources (including contributions) | 2022-12-31 | $-18,354,022 |
Total loss/gain on sale of assets | 2022-12-31 | $0 |
Total of all expenses incurred | 2022-12-31 | $47,156,785 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $46,336,703 |
Expenses. Certain deemed distributions of participant loans | 2022-12-31 | $83,219 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $32,943,009 |
Value of total assets at end of year | 2022-12-31 | $578,143,353 |
Value of total assets at beginning of year | 2022-12-31 | $643,839,983 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $736,863 |
Total interest from all sources | 2022-12-31 | $1,083,685 |
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 year | 2022-12-31 | No |
Administrative expenses professional fees incurred | 2022-12-31 | $258,929 |
Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
Value of fidelity bond cover | 2022-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
Contributions received from participants | 2022-12-31 | $18,424,237 |
Participant contributions at end of year | 2022-12-31 | $15,561,898 |
Participant contributions at beginning of year | 2022-12-31 | $16,151,058 |
Participant contributions at end of year | 2022-12-31 | $0 |
Participant contributions at beginning of year | 2022-12-31 | $64 |
Assets. Other investments not covered elsewhere at end of year | 2022-12-31 | $13,314,276 |
Assets. Other investments not covered elsewhere at beginning of year | 2022-12-31 | $19,614,159 |
Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $578,406 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2022-12-31 | $193,236 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2022-12-31 | $143,010 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2022-12-31 | $124,869 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2022-12-31 | $305,642 |
Other income not declared elsewhere | 2022-12-31 | $-6,807,835 |
Total non interest bearing cash at end of year | 2022-12-31 | $43,149 |
Total non interest bearing cash at beginning of year | 2022-12-31 | $64,604 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Value of net income/loss | 2022-12-31 | $-65,510,807 |
Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $578,018,484 |
Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $643,534,341 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
Investment advisory and management fees | 2022-12-31 | $344,815 |
Interest on participant loans | 2022-12-31 | $749,660 |
Interest earned on other investments | 2022-12-31 | $334,025 |
Value of interest in master investment trust accounts at end of year | 2022-12-31 | $541,488,556 |
Value of interest in master investment trust accounts at beginning of year | 2022-12-31 | $601,570,922 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
Contributions received in cash from employer | 2022-12-31 | $13,940,366 |
Employer contributions (assets) at end of year | 2022-12-31 | $7,542,238 |
Employer contributions (assets) at beginning of year | 2022-12-31 | $6,296,166 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $46,336,703 |
Contract administrator fees | 2022-12-31 | $133,119 |
Did the plan have assets held for investment | 2022-12-31 | 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 | 2022-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Unqualified |
Accountancy firm name | 2022-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2022-12-31 | 134008324 |
2021 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2021 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2021-12-31 | $0 |
Total transfer of assets from this plan | 2021-12-31 | $40,326 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $305,642 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $744,144 |
Total income from all sources (including contributions) | 2021-12-31 | $94,891,477 |
Total loss/gain on sale of assets | 2021-12-31 | $0 |
Total of all expenses incurred | 2021-12-31 | $58,734,927 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $58,078,550 |
Expenses. Certain deemed distributions of participant loans | 2021-12-31 | $-135,305 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $26,882,592 |
Value of total assets at end of year | 2021-12-31 | $643,839,983 |
Value of total assets at beginning of year | 2021-12-31 | $608,162,261 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $791,682 |
Total interest from all sources | 2021-12-31 | $1,222,186 |
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 year | 2021-12-31 | No |
Administrative expenses professional fees incurred | 2021-12-31 | $276,429 |
Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
Value of fidelity bond cover | 2021-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
Contributions received from participants | 2021-12-31 | $15,390,651 |
Participant contributions at end of year | 2021-12-31 | $16,151,058 |
Participant contributions at beginning of year | 2021-12-31 | $17,523,324 |
Participant contributions at end of year | 2021-12-31 | $64 |
Participant contributions at beginning of year | 2021-12-31 | $17 |
Assets. Other investments not covered elsewhere at end of year | 2021-12-31 | $19,614,159 |
Assets. Other investments not covered elsewhere at beginning of year | 2021-12-31 | $15,581,503 |
Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $254,105 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2021-12-31 | $143,010 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2021-12-31 | $862,825 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2021-12-31 | $305,642 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2021-12-31 | $744,144 |
Other income not declared elsewhere | 2021-12-31 | $2,383,232 |
Total non interest bearing cash at end of year | 2021-12-31 | $64,604 |
Total non interest bearing cash at beginning of year | 2021-12-31 | $144,921 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Value of net income/loss | 2021-12-31 | $36,156,550 |
Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $643,534,341 |
Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $607,418,117 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
Investment advisory and management fees | 2021-12-31 | $371,799 |
Interest on participant loans | 2021-12-31 | $844,614 |
Interest earned on other investments | 2021-12-31 | $377,572 |
Value of interest in master investment trust accounts at end of year | 2021-12-31 | $601,570,922 |
Value of interest in master investment trust accounts at beginning of year | 2021-12-31 | $568,021,244 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
Contributions received in cash from employer | 2021-12-31 | $11,237,836 |
Employer contributions (assets) at end of year | 2021-12-31 | $6,296,166 |
Employer contributions (assets) at beginning of year | 2021-12-31 | $6,028,427 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $58,078,550 |
Contract administrator fees | 2021-12-31 | $143,454 |
Did the plan have assets held for investment | 2021-12-31 | 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 | 2021-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Unqualified |
Accountancy firm name | 2021-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2021-12-31 | 134008324 |
2020 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2020 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2020-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $744,144 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $49,084 |
Total income from all sources (including contributions) | 2020-12-31 | $106,902,879 |
Total loss/gain on sale of assets | 2020-12-31 | $0 |
Total of all expenses incurred | 2020-12-31 | $85,816,055 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $85,153,777 |
Expenses. Certain deemed distributions of participant loans | 2020-12-31 | $-129,793 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $24,894,104 |
Value of total assets at end of year | 2020-12-31 | $608,162,261 |
Value of total assets at beginning of year | 2020-12-31 | $586,380,377 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $792,071 |
Total interest from all sources | 2020-12-31 | $1,258,802 |
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 year | 2020-12-31 | No |
Administrative expenses professional fees incurred | 2020-12-31 | $290,392 |
Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
Value of fidelity bond cover | 2020-12-31 | $45,000,000 |
If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2020-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
Contributions received from participants | 2020-12-31 | $14,827,845 |
Participant contributions at end of year | 2020-12-31 | $17,523,324 |
Participant contributions at beginning of year | 2020-12-31 | $19,769,148 |
Participant contributions at end of year | 2020-12-31 | $17 |
Participant contributions at beginning of year | 2020-12-31 | $0 |
Assets. Other investments not covered elsewhere at end of year | 2020-12-31 | $15,581,503 |
Assets. Other investments not covered elsewhere at beginning of year | 2020-12-31 | $12,035,235 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2020-12-31 | $862,825 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2020-12-31 | $66,634 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2020-12-31 | $744,144 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2020-12-31 | $49,084 |
Other income not declared elsewhere | 2020-12-31 | $3,576,937 |
Total non interest bearing cash at end of year | 2020-12-31 | $144,921 |
Total non interest bearing cash at beginning of year | 2020-12-31 | $7,449 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Value of net income/loss | 2020-12-31 | $21,086,824 |
Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $607,418,117 |
Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $586,331,293 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
Investment advisory and management fees | 2020-12-31 | $347,401 |
Interest on participant loans | 2020-12-31 | $1,024,864 |
Interest earned on other investments | 2020-12-31 | $233,938 |
Value of interest in master investment trust accounts at end of year | 2020-12-31 | $568,021,244 |
Value of interest in master investment trust accounts at beginning of year | 2020-12-31 | $547,199,557 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
Contributions received in cash from employer | 2020-12-31 | $10,066,259 |
Employer contributions (assets) at end of year | 2020-12-31 | $6,028,427 |
Employer contributions (assets) at beginning of year | 2020-12-31 | $7,302,354 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $85,153,777 |
Contract administrator fees | 2020-12-31 | $154,278 |
Did the plan have assets held for investment | 2020-12-31 | 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 | 2020-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Unqualified |
Accountancy firm name | 2020-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2020-12-31 | 134008324 |
2019 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2019 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2019-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $49,084 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $293,917 |
Total income from all sources (including contributions) | 2019-12-31 | $122,345,967 |
Total loss/gain on sale of assets | 2019-12-31 | $0 |
Total of all expenses incurred | 2019-12-31 | $64,809,179 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $63,890,775 |
Expenses. Certain deemed distributions of participant loans | 2019-12-31 | $-104,063 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $30,260,082 |
Value of total assets at end of year | 2019-12-31 | $586,380,377 |
Value of total assets at beginning of year | 2019-12-31 | $529,088,422 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $1,022,467 |
Total interest from all sources | 2019-12-31 | $1,305,776 |
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 | $377,031 |
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 | $17,521,995 |
Participant contributions at end of year | 2019-12-31 | $19,769,148 |
Participant contributions at beginning of year | 2019-12-31 | $20,697,159 |
Assets. Other investments not covered elsewhere at end of year | 2019-12-31 | $12,035,235 |
Assets. Other investments not covered elsewhere at beginning of year | 2019-12-31 | $9,995,998 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2019-12-31 | $66,634 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2019-12-31 | $186,666 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2019-12-31 | $49,084 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2019-12-31 | $293,917 |
Other income not declared elsewhere | 2019-12-31 | $1,868,223 |
Total non interest bearing cash at end of year | 2019-12-31 | $7,449 |
Total non interest bearing cash at beginning of year | 2019-12-31 | $110,091 |
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 | $57,536,788 |
Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $586,331,293 |
Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $528,794,505 |
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 | $407,982 |
Interest on participant loans | 2019-12-31 | $1,040,763 |
Interest earned on other investments | 2019-12-31 | $265,013 |
Value of interest in master investment trust accounts at end of year | 2019-12-31 | $547,199,557 |
Value of interest in master investment trust accounts at beginning of year | 2019-12-31 | $490,473,904 |
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 | $12,738,087 |
Employer contributions (assets) at end of year | 2019-12-31 | $7,302,354 |
Employer contributions (assets) at beginning of year | 2019-12-31 | $7,624,604 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $63,890,775 |
Contract administrator fees | 2019-12-31 | $237,454 |
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 | No |
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 INC. TAX DEFERRED RETIREMENT PLAN 2018 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2018-12-31 | $0 |
Total transfer of assets from this plan | 2018-12-31 | $14,860 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $293,917 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $324,820 |
Total income from all sources (including contributions) | 2018-12-31 | $-12,883,277 |
Total loss/gain on sale of assets | 2018-12-31 | $0 |
Total of all expenses incurred | 2018-12-31 | $56,563,781 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $55,675,393 |
Expenses. Certain deemed distributions of participant loans | 2018-12-31 | $-29,741 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $32,407,122 |
Value of total assets at end of year | 2018-12-31 | $529,088,422 |
Value of total assets at beginning of year | 2018-12-31 | $598,581,243 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $918,129 |
Total interest from all sources | 2018-12-31 | $1,364,495 |
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 | $340,277 |
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 | $18,539,573 |
Participant contributions at end of year | 2018-12-31 | $20,697,159 |
Participant contributions at beginning of year | 2018-12-31 | $21,995,233 |
Participant contributions at end of year | 2018-12-31 | $0 |
Participant contributions at beginning of year | 2018-12-31 | $592,946 |
Assets. Other investments not covered elsewhere at end of year | 2018-12-31 | $9,995,998 |
Assets. Other investments not covered elsewhere at beginning of year | 2018-12-31 | $11,242,306 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2018-12-31 | $186,666 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2018-12-31 | $224,674 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2018-12-31 | $293,917 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2018-12-31 | $324,820 |
Other income not declared elsewhere | 2018-12-31 | $-1,714,411 |
Total non interest bearing cash at end of year | 2018-12-31 | $110,091 |
Total non interest bearing cash at beginning of year | 2018-12-31 | $17,620 |
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 | $-69,447,058 |
Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $528,794,505 |
Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $598,256,423 |
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 | $350,552 |
Interest on participant loans | 2018-12-31 | $1,063,651 |
Interest earned on other investments | 2018-12-31 | $300,844 |
Value of interest in master investment trust accounts at end of year | 2018-12-31 | $490,473,904 |
Value of interest in master investment trust accounts at beginning of year | 2018-12-31 | $557,692,310 |
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 | $13,867,549 |
Employer contributions (assets) at end of year | 2018-12-31 | $7,624,604 |
Employer contributions (assets) at beginning of year | 2018-12-31 | $6,816,154 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $55,675,393 |
Contract administrator fees | 2018-12-31 | $227,300 |
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 INC. TAX DEFERRED RETIREMENT PLAN 2017 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2017-12-31 | $0 |
Total transfer of assets to this plan | 2017-12-31 | $71 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $324,820 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $170,816 |
Total income from all sources (including contributions) | 2017-12-31 | $144,646,011 |
Total loss/gain on sale of assets | 2017-12-31 | $0 |
Total of all expenses incurred | 2017-12-31 | $52,730,377 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $51,709,170 |
Expenses. Certain deemed distributions of participant loans | 2017-12-31 | $128,820 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $26,597,396 |
Value of total assets at end of year | 2017-12-31 | $598,581,243 |
Value of total assets at beginning of year | 2017-12-31 | $506,511,534 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $892,387 |
Total interest from all sources | 2017-12-31 | $1,280,347 |
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 | $356,000 |
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 | $14,913,768 |
Participant contributions at end of year | 2017-12-31 | $21,995,233 |
Participant contributions at beginning of year | 2017-12-31 | $21,481,642 |
Participant contributions at end of year | 2017-12-31 | $592,946 |
Participant contributions at beginning of year | 2017-12-31 | $472,980 |
Assets. Other investments not covered elsewhere at end of year | 2017-12-31 | $11,242,306 |
Assets. Other investments not covered elsewhere at beginning of year | 2017-12-31 | $9,314,410 |
Income. Received or receivable in cash from other sources (including rollovers) | 2017-12-31 | $11,128 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2017-12-31 | $224,674 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2017-12-31 | $224,247 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2017-12-31 | $324,820 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2017-12-31 | $170,816 |
Other income not declared elsewhere | 2017-12-31 | $849,401 |
Total non interest bearing cash at end of year | 2017-12-31 | $17,620 |
Total non interest bearing cash at beginning of year | 2017-12-31 | $18,351 |
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 | $91,915,634 |
Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $598,256,423 |
Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $506,340,718 |
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 | $313,596 |
Interest on participant loans | 2017-12-31 | $934,108 |
Interest earned on other investments | 2017-12-31 | $346,239 |
Value of interest in master investment trust accounts at end of year | 2017-12-31 | $557,692,310 |
Value of interest in master investment trust accounts at beginning of year | 2017-12-31 | $468,726,424 |
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 | $11,672,500 |
Employer contributions (assets) at end of year | 2017-12-31 | $6,816,154 |
Employer contributions (assets) at beginning of year | 2017-12-31 | $6,273,480 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $51,709,170 |
Contract administrator fees | 2017-12-31 | $222,791 |
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 INC. TAX DEFERRED RETIREMENT PLAN 2016 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2016-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $170,816 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $224,561 |
Total income from all sources (including contributions) | 2016-12-31 | $82,179,127 |
Total loss/gain on sale of assets | 2016-12-31 | $0 |
Total of all expenses incurred | 2016-12-31 | $53,680,391 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $52,814,102 |
Expenses. Certain deemed distributions of participant loans | 2016-12-31 | $86,875 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $23,501,538 |
Value of total assets at end of year | 2016-12-31 | $506,511,534 |
Value of total assets at beginning of year | 2016-12-31 | $478,066,543 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $779,414 |
Total interest from all sources | 2016-12-31 | $1,078,634 |
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 | $162,372 |
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 | $13,194,097 |
Participant contributions at end of year | 2016-12-31 | $21,481,642 |
Participant contributions at beginning of year | 2016-12-31 | $22,345,852 |
Participant contributions at end of year | 2016-12-31 | $472,980 |
Participant contributions at beginning of year | 2016-12-31 | $278,450 |
Assets. Other investments not covered elsewhere at end of year | 2016-12-31 | $9,314,410 |
Assets. Other investments not covered elsewhere at beginning of year | 2016-12-31 | $7,900,494 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2016-12-31 | $224,247 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2016-12-31 | $359,087 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2016-12-31 | $170,816 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2016-12-31 | $224,561 |
Other income not declared elsewhere | 2016-12-31 | $362,312 |
Administrative expenses (other) incurred | 2016-12-31 | $9 |
Total non interest bearing cash at end of year | 2016-12-31 | $18,351 |
Total non interest bearing cash at beginning of year | 2016-12-31 | $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 | 2016-12-31 | No |
Value of net income/loss | 2016-12-31 | $28,498,736 |
Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $506,340,718 |
Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $477,841,982 |
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 | $423,728 |
Interest on participant loans | 2016-12-31 | $890,992 |
Interest earned on other investments | 2016-12-31 | $187,642 |
Value of interest in master investment trust accounts at end of year | 2016-12-31 | $468,726,424 |
Value of interest in master investment trust accounts at beginning of year | 2016-12-31 | $434,626,384 |
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 | $10,307,441 |
Employer contributions (assets) at end of year | 2016-12-31 | $6,273,480 |
Employer contributions (assets) at beginning of year | 2016-12-31 | $12,556,276 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $52,814,102 |
Contract administrator fees | 2016-12-31 | $193,305 |
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 INC. TAX DEFERRED RETIREMENT PLAN 2015 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2015-12-31 | $0 |
Total transfer of assets to this plan | 2015-12-31 | $279,139,896 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $224,561 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $32,857 |
Total income from all sources (including contributions) | 2015-12-31 | $6,183,056 |
Total loss/gain on sale of assets | 2015-12-31 | $0 |
Total of all expenses incurred | 2015-12-31 | $19,432,885 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $18,467,523 |
Expenses. Certain deemed distributions of participant loans | 2015-12-31 | $489,983 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $16,215,039 |
Value of total assets at end of year | 2015-12-31 | $478,066,543 |
Value of total assets at beginning of year | 2015-12-31 | $211,984,772 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $475,379 |
Total interest from all sources | 2015-12-31 | $776,940 |
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 | $88,434 |
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 | $8,545,493 |
Participant contributions at end of year | 2015-12-31 | $22,345,852 |
Participant contributions at beginning of year | 2015-12-31 | $18,253,305 |
Participant contributions at end of year | 2015-12-31 | $278,450 |
Participant contributions at beginning of year | 2015-12-31 | $0 |
Assets. Other investments not covered elsewhere at end of year | 2015-12-31 | $7,900,494 |
Assets. Other investments not covered elsewhere at beginning of year | 2015-12-31 | $1,289,532 |
Income. Received or receivable in cash from other sources (including rollovers) | 2015-12-31 | $108,641 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2015-12-31 | $359,087 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-12-31 | $31,837 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2015-12-31 | $224,561 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2015-12-31 | $32,857 |
Other income not declared elsewhere | 2015-12-31 | $-388,496 |
Administrative expenses (other) incurred | 2015-12-31 | $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 | 2015-12-31 | No |
Value of net income/loss | 2015-12-31 | $-13,249,829 |
Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $477,841,982 |
Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $211,951,915 |
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 | $246,987 |
Interest on participant loans | 2015-12-31 | $714,055 |
Interest earned on other investments | 2015-12-31 | $62,885 |
Value of interest in master investment trust accounts at end of year | 2015-12-31 | $434,626,384 |
Value of interest in master investment trust accounts at beginning of year | 2015-12-31 | $179,311,840 |
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 | $7,560,905 |
Employer contributions (assets) at end of year | 2015-12-31 | $12,556,276 |
Employer contributions (assets) at beginning of year | 2015-12-31 | $13,098,258 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $18,467,523 |
Contract administrator fees | 2015-12-31 | $139,958 |
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 INC. TAX DEFERRED RETIREMENT PLAN 2014 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $32,857 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
Total income from all sources (including contributions) | 2014-12-31 | $28,155,242 |
Total loss/gain on sale of assets | 2014-12-31 | $0 |
Total of all expenses incurred | 2014-12-31 | $21,801,376 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $21,471,947 |
Expenses. Certain deemed distributions of participant loans | 2014-12-31 | $-200,919 |
Value of total corrective distributions | 2014-12-31 | $8,274 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $17,691,279 |
Value of total assets at end of year | 2014-12-31 | $211,984,772 |
Value of total assets at beginning of year | 2014-12-31 | $205,598,049 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $522,074 |
Total interest from all sources | 2014-12-31 | $728,954 |
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 | $90,683 |
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 | $11,829 |
Contributions received from participants | 2014-12-31 | $9,400,180 |
Participant contributions at end of year | 2014-12-31 | $18,253,305 |
Participant contributions at beginning of year | 2014-12-31 | $16,065,699 |
Assets. Other investments not covered elsewhere at end of year | 2014-12-31 | $1,289,532 |
Assets. Other investments not covered elsewhere at beginning of year | 2014-12-31 | $611,509 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-12-31 | $31,837 |
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 | $32,857 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2014-12-31 | $0 |
Other income not declared elsewhere | 2014-12-31 | $-95,301 |
Administrative expenses (other) incurred | 2014-12-31 | $19,139 |
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 | $6,353,866 |
Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $211,951,915 |
Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $205,598,049 |
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 | $254,593 |
Interest on participant loans | 2014-12-31 | $691,441 |
Interest earned on other investments | 2014-12-31 | $37,513 |
Value of interest in master investment trust accounts at end of year | 2014-12-31 | $179,311,840 |
Value of interest in master investment trust accounts at beginning of year | 2014-12-31 | $176,006,353 |
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 | $8,291,099 |
Employer contributions (assets) at end of year | 2014-12-31 | $13,098,258 |
Employer contributions (assets) at beginning of year | 2014-12-31 | $12,914,488 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $21,471,947 |
Contract administrator fees | 2014-12-31 | $157,659 |
Did the plan have assets held for investment | 2014-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Unqualified |
Accountancy firm name | 2014-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2014-12-31 | 134008324 |
2013 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2013 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
Total transfer of assets to this plan | 2013-12-31 | $58,946,155 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
Total income from all sources (including contributions) | 2013-12-31 | $37,227,075 |
Total loss/gain on sale of assets | 2013-12-31 | $0 |
Total of all expenses incurred | 2013-12-31 | $16,732,434 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $16,608,019 |
Expenses. Certain deemed distributions of participant loans | 2013-12-31 | $-280,252 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $17,779,249 |
Value of total assets at end of year | 2013-12-31 | $205,598,049 |
Value of total assets at beginning of year | 2013-12-31 | $126,157,253 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $404,667 |
Total interest from all sources | 2013-12-31 | $551,471 |
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 | $80,834 |
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 | $11,829 |
Contributions received from participants | 2013-12-31 | $9,700,320 |
Participant contributions at end of year | 2013-12-31 | $16,065,699 |
Participant contributions at beginning of year | 2013-12-31 | $11,599,831 |
Assets. Other investments not covered elsewhere at end of year | 2013-12-31 | $611,509 |
Assets. Other investments not covered elsewhere at beginning of year | 2013-12-31 | $280,202 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2013-12-31 | $0 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2013-12-31 | $3,216,103 |
Other income not declared elsewhere | 2013-12-31 | $-12,093 |
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 | $20,494,641 |
Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $205,598,049 |
Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $126,157,253 |
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 | $209,486 |
Interest on participant loans | 2013-12-31 | $551,471 |
Value of interest in master investment trust accounts at end of year | 2013-12-31 | $176,006,353 |
Value of interest in master investment trust accounts at beginning of year | 2013-12-31 | $97,135,620 |
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 | $8,078,929 |
Employer contributions (assets) at end of year | 2013-12-31 | $12,914,488 |
Employer contributions (assets) at beginning of year | 2013-12-31 | $13,925,497 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $16,608,019 |
Contract administrator fees | 2013-12-31 | $114,347 |
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 INC. TAX DEFERRED RETIREMENT PLAN 2012 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2012-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total income from all sources (including contributions) | 2012-12-31 | $32,437,458 |
Total loss/gain on sale of assets | 2012-12-31 | $0 |
Total of all expenses incurred | 2012-12-31 | $6,975,685 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $6,444,870 |
Expenses. Certain deemed distributions of participant loans | 2012-12-31 | $280,809 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $25,082,669 |
Value of total assets at end of year | 2012-12-31 | $126,157,253 |
Value of total assets at beginning of year | 2012-12-31 | $100,695,480 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $250,006 |
Total interest from all sources | 2012-12-31 | $426,995 |
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 | $51,733 |
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 | $11,135,257 |
Participant contributions at end of year | 2012-12-31 | $11,599,831 |
Participant contributions at beginning of year | 2012-12-31 | $8,779,786 |
Participant contributions at end of year | 2012-12-31 | $0 |
Participant contributions at beginning of year | 2012-12-31 | $3,453 |
Assets. Other investments not covered elsewhere at end of year | 2012-12-31 | $280,202 |
Assets. Other investments not covered elsewhere at beginning of year | 2012-12-31 | $75,850 |
Income. Received or receivable in cash from other sources (including rollovers) | 2012-12-31 | $3,216,103 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-12-31 | $3,216,103 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-12-31 | $0 |
Other income not declared elsewhere | 2012-12-31 | $-67,986 |
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 | $25,461,773 |
Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $126,157,253 |
Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $100,695,480 |
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 | $136,963 |
Interest on participant loans | 2012-12-31 | $426,995 |
Value of interest in master investment trust accounts at end of year | 2012-12-31 | $97,135,620 |
Value of interest in master investment trust accounts at beginning of year | 2012-12-31 | $78,384,884 |
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 | $10,731,309 |
Employer contributions (assets) at end of year | 2012-12-31 | $13,925,497 |
Employer contributions (assets) at beginning of year | 2012-12-31 | $13,451,507 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $6,444,870 |
Contract administrator fees | 2012-12-31 | $61,310 |
Did the plan have assets held for investment | 2012-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Unqualified |
Accountancy firm name | 2012-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2012-12-31 | 134008324 |
2011 : CATERPILLAR INC. TAX DEFERRED 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 | $15,601 |
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 | $27,673,821 |
Total loss/gain on sale of assets | 2011-12-31 | $0 |
Total of all expenses incurred | 2011-12-31 | $5,456,405 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $4,852,894 |
Expenses. Certain deemed distributions of participant loans | 2011-12-31 | $550,047 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $27,974,999 |
Value of total assets at end of year | 2011-12-31 | $100,695,480 |
Value of total assets at beginning of year | 2011-12-31 | $78,493,665 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $53,464 |
Total interest from all sources | 2011-12-31 | $330,126 |
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 | $9,629 |
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 | $10,400,709 |
Participant contributions at end of year | 2011-12-31 | $8,779,786 |
Participant contributions at beginning of year | 2011-12-31 | $6,455,694 |
Participant contributions at end of year | 2011-12-31 | $3,453 |
Participant contributions at beginning of year | 2011-12-31 | $0 |
Assets. Other investments not covered elsewhere at end of year | 2011-12-31 | $75,850 |
Assets. Other investments not covered elsewhere at beginning of year | 2011-12-31 | $67,480 |
Other income not declared elsewhere | 2011-12-31 | $-19,121 |
Administrative expenses (other) incurred | 2011-12-31 | $0 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Value of net income/loss | 2011-12-31 | $22,217,416 |
Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $100,695,480 |
Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $78,493,665 |
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 | $35,183 |
Interest on participant loans | 2011-12-31 | $330,126 |
Value of interest in master investment trust accounts at end of year | 2011-12-31 | $78,384,884 |
Value of interest in master investment trust accounts at beginning of year | 2011-12-31 | $67,614,085 |
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 | $17,574,290 |
Employer contributions (assets) at end of year | 2011-12-31 | $13,451,507 |
Employer contributions (assets) at beginning of year | 2011-12-31 | $4,356,406 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $4,852,894 |
Contract administrator fees | 2011-12-31 | $8,652 |
Did the plan have assets held for investment | 2011-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Unqualified |
Accountancy firm name | 2011-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2011-12-31 | 134008324 |
2010 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2010 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total income from all sources (including contributions) | 2010-12-31 | $29,255,012 |
Total loss/gain on sale of assets | 2010-12-31 | $0 |
Total of all expenses incurred | 2010-12-31 | $6,865,122 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $6,531,723 |
Expenses. Certain deemed distributions of participant loans | 2010-12-31 | $293,361 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $15,100,922 |
Value of total assets at end of year | 2010-12-31 | $78,493,665 |
Value of total assets at beginning of year | 2010-12-31 | $56,103,775 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $40,038 |
Total interest from all sources | 2010-12-31 | $222,934 |
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 | $18,783 |
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 | $7,317,441 |
Participant contributions at end of year | 2010-12-31 | $6,455,694 |
Participant contributions at beginning of year | 2010-12-31 | $4,059,890 |
Participant contributions at end of year | 2010-12-31 | $0 |
Participant contributions at beginning of year | 2010-12-31 | $771 |
Assets. Other investments not covered elsewhere at end of year | 2010-12-31 | $67,480 |
Assets. Other investments not covered elsewhere at beginning of year | 2010-12-31 | $51,600 |
Income. Received or receivable in cash from other sources (including rollovers) | 2010-12-31 | $398,571 |
Other income not declared elsewhere | 2010-12-31 | $8,571 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Value of net income/loss | 2010-12-31 | $22,389,890 |
Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $78,493,665 |
Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $56,103,775 |
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 | $13,663 |
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 | $222,934 |
Value of interest in master investment trust accounts at end of year | 2010-12-31 | $67,614,085 |
Value of interest in master investment trust accounts at beginning of year | 2010-12-31 | $49,253,652 |
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 | $7,384,910 |
Employer contributions (assets) at end of year | 2010-12-31 | $4,356,406 |
Employer contributions (assets) at beginning of year | 2010-12-31 | $2,737,862 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $6,531,723 |
Contract administrator fees | 2010-12-31 | $7,592 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2010-12-31 | No |
Did the plan have assets held for investment | 2010-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Unqualified |
Accountancy firm name | 2010-12-31 | PRICEWATERHOUSECOOPERS LLP |
Accountancy firm EIN | 2010-12-31 | 134008324 |
2009 : CATERPILLAR INC. TAX DEFERRED 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 |
2022: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2022 form 5500 responses | ||
---|---|---|
2022-01-01 | Type of plan entity | Single employer plan |
2022-01-01 | Submission has been amended | No |
2022-01-01 | This submission is the final filing | No |
2022-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2022-01-01 | Plan is a collectively bargained plan | Yes |
2022-01-01 | Plan funding arrangement – Trust | Yes |
2022-01-01 | Plan benefit arrangement - Trust | Yes |
2021: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2021 form 5500 responses | ||
2021-01-01 | Type of plan entity | Single employer plan |
2021-01-01 | Submission has been amended | No |
2021-01-01 | This submission is the final filing | No |
2021-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2021-01-01 | Plan is a collectively bargained plan | Yes |
2021-01-01 | Plan funding arrangement – Trust | Yes |
2021-01-01 | Plan benefit arrangement - Trust | Yes |
2020: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2020 form 5500 responses | ||
2020-01-01 | Type of plan entity | Single employer plan |
2020-01-01 | Submission has been amended | No |
2020-01-01 | This submission is the final filing | No |
2020-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2020-01-01 | Plan is a collectively bargained plan | Yes |
2020-01-01 | Plan funding arrangement – Trust | Yes |
2020-01-01 | Plan benefit arrangement - Trust | Yes |
2019: CATERPILLAR INC. TAX DEFERRED 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 | No |
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 | Yes |
2019-01-01 | Plan funding arrangement – Trust | Yes |
2019-01-01 | Plan benefit arrangement - Trust | Yes |
2018: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2018-01-01 | Plan funding arrangement – Trust | Yes |
2018-01-01 | Plan benefit arrangement - Trust | Yes |
2017: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2017-01-01 | Plan funding arrangement – Trust | Yes |
2017-01-01 | Plan benefit arrangement - Trust | Yes |
2016: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2016-01-01 | Plan funding arrangement – Trust | Yes |
2016-01-01 | Plan benefit arrangement - Trust | Yes |
2015: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2015-01-01 | Plan funding arrangement – Trust | Yes |
2015-01-01 | Plan benefit arrangement - Trust | Yes |
2014: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2014 form 5500 responses | ||
2014-01-01 | Type of plan entity | Single employer plan |
2014-01-01 | Submission has been amended | No |
2014-01-01 | This submission is the final filing | No |
2014-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2014-01-01 | Plan is a collectively bargained plan | Yes |
2014-01-01 | Plan funding arrangement – Trust | Yes |
2014-01-01 | Plan benefit arrangement - Trust | Yes |
2013: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2013-01-01 | Plan funding arrangement – Trust | Yes |
2013-01-01 | Plan benefit arrangement - Trust | Yes |
2012: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2012-01-01 | Plan funding arrangement – Trust | Yes |
2012-01-01 | Plan benefit arrangement - Trust | Yes |
2011: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2011-01-01 | Plan funding arrangement – Trust | Yes |
2011-01-01 | Plan benefit arrangement - Trust | Yes |
2009: CATERPILLAR INC. TAX DEFERRED 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 | Yes |
2009-01-01 | Plan funding arrangement – Trust | Yes |
2009-01-01 | Plan benefit arrangement - Trust | Yes |