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CATERPILLAR 401(K) SAVINGS PLAN 401k Plan overview

Plan NameCATERPILLAR 401(K) SAVINGS PLAN
Plan identification number 035

CATERPILLAR 401(K) SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

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

Additional information about CATERPILLAR INC.

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 1986-05-07
Company Identification Number: 0006917606
Legal Registered Office Address: 100 NE ADAMS ST

PEORIA
United States of America (USA)
61629

More information about CATERPILLAR INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CATERPILLAR 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0352023-01-01STEPHEN ROBERTSON2024-07-30
0352022-01-01STEPHEN ROBERTSON2023-08-11
0352021-01-01STEPHEN ROBERTSON2022-07-06
0352020-01-01STEPHEN ROBERTSON2021-07-21
0352019-01-01STEPHEN ROBERTSON2020-08-03
0352018-01-01
0352017-01-01
0352016-01-01
0352015-01-01
0352015-01-01LEANNE MORITZ2016-10-12
0352014-01-01LEANNE MORITZ
0352014-01-01
0352013-01-01
0352012-01-01FILED WITH AUTHORIZED SIGNATURE
0352011-01-01LEANNE K. MORITZ

Plan Statistics for CATERPILLAR 401(K) SAVINGS PLAN

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

Measure Date Value
2023: CATERPILLAR 401(K) SAVINGS PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-0157,635
Total number of active participants reported on line 7a of the Form 55002023-01-0143,798
Number of retired or separated participants receiving benefits2023-01-0122
Number of other retired or separated participants entitled to future benefits2023-01-0115,460
Total of all active and inactive participants2023-01-0159,280
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-01796
Total participants2023-01-0160,076
Number of participants with account balances2023-01-0158,566
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-01788
2022: CATERPILLAR 401(K) SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-0154,148
Total number of active participants reported on line 7a of the Form 55002022-01-0141,360
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0115,131
Total of all active and inactive participants2022-01-0156,491
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-01724
Total participants2022-01-0157,215
Number of participants with account balances2022-01-0155,883
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-01646
2021: CATERPILLAR 401(K) SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-0149,413
Total number of active participants reported on line 7a of the Form 55002021-01-0138,643
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0114,543
Total of all active and inactive participants2021-01-0153,186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-01672
Total participants2021-01-0153,858
Number of participants with account balances2021-01-0152,531
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-01473
2020: CATERPILLAR 401(K) SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-0150,949
Total number of active participants reported on line 7a of the Form 55002020-01-0134,996
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0113,559
Total of all active and inactive participants2020-01-0148,555
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-01578
Total participants2020-01-0149,133
Number of participants with account balances2020-01-0148,305
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-01687
2019: CATERPILLAR 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-0138,038
Total number of active participants reported on line 7a of the Form 55002019-01-0137,384
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0113,003
Total of all active and inactive participants2019-01-0150,387
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-01541
Total participants2019-01-0150,928
Number of participants with account balances2019-01-0150,339
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-01599
2018: CATERPILLAR 401(K) SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-0130,969
Total number of active participants reported on line 7a of the Form 55002018-01-0127,530
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-015,752
Total of all active and inactive participants2018-01-0133,282
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-01135
Total participants2018-01-0133,417
Number of participants with account balances2018-01-0130,663
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-01262
2017: CATERPILLAR 401(K) SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-0134,931
Total number of active participants reported on line 7a of the Form 55002017-01-0130,149
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-016,624
Total of all active and inactive participants2017-01-0136,773
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-01144
Total participants2017-01-0136,917
Number of participants with account balances2017-01-0134,186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-01470
2016: CATERPILLAR 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-0136,435
Total number of active participants reported on line 7a of the Form 55002016-01-0128,516
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-015,972
Total of all active and inactive participants2016-01-0134,488
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-01167
Total participants2016-01-0134,655
Number of participants with account balances2016-01-0132,587
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-01776
2015: CATERPILLAR 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0136,496
Total number of active participants reported on line 7a of the Form 55002015-01-0132,876
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-013,342
Total of all active and inactive participants2015-01-0136,218
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0188
Total participants2015-01-0136,306
Number of participants with account balances2015-01-0134,684
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-01446
2014: CATERPILLAR 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0134,238
Total number of active participants reported on line 7a of the Form 55002014-01-0133,035
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-013,347
Total of all active and inactive participants2014-01-0136,382
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-0177
Total participants2014-01-0136,459
Number of participants with account balances2014-01-0134,343
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-01479
2013: CATERPILLAR 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-019,084
Total number of active participants reported on line 7a of the Form 55002013-01-0127,541
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01767
Total of all active and inactive participants2013-01-0128,308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-0137
Total participants2013-01-0128,345
Number of participants with account balances2013-01-0126,582
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0112
2012: CATERPILLAR 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-019,131
Total number of active participants reported on line 7a of the Form 55002012-01-018,443
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01374
Total of all active and inactive participants2012-01-018,817
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-0127
Total participants2012-01-018,844
Number of participants with account balances2012-01-018,655
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: CATERPILLAR 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-019,279
Total number of active participants reported on line 7a of the Form 55002011-01-018,931
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01187
Total of all active and inactive participants2011-01-019,118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0113
Total participants2011-01-019,131
Number of participants with account balances2011-01-018,864
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013

Financial Data on CATERPILLAR 401(K) SAVINGS PLAN

Measure Date Value
2023 : CATERPILLAR 401(K) SAVINGS PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$19,955,375
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$18,232,359
Total income from all sources (including contributions)2023-12-31$3,493,755,483
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$793,960,083
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$786,775,751
Expenses. Certain deemed distributions of participant loans2023-12-31$-254,052
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$891,599,978
Value of total assets at end of year2023-12-31$16,496,476,432
Value of total assets at beginning of year2023-12-31$13,794,958,016
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$7,438,384
Total interest from all sources2023-12-31$29,831,079
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$45,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$419,086,846
Participant contributions at end of year2023-12-31$118,706,562
Participant contributions at beginning of year2023-12-31$105,265,254
Participant contributions at end of year2023-12-31$1,753,740
Participant contributions at beginning of year2023-12-31$1,300,219
Assets. Other investments not covered elsewhere at end of year2023-12-31$997,408,696
Assets. Other investments not covered elsewhere at beginning of year2023-12-31$770,195,464
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$29,589,542
Value of other receiveables (less allowance for doubtful accounts) at end of year2023-12-31$9,735,543
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2023-12-31$10,271,140
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2023-12-31$19,955,375
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2023-12-31$18,232,359
Other income not declared elsewhere2023-12-31$163,427,264
Administrative expenses (other) incurred2023-12-31$33,980
Total non interest bearing cash at end of year2023-12-31$9,786,298
Total non interest bearing cash at beginning of year2023-12-31$9,335,147
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$2,699,795,400
Value of net assets at end of year (total assets less liabilities)2023-12-31$16,476,521,057
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$13,776,725,657
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$4,308,437
Interest on participant loans2023-12-31$6,704,348
Interest earned on other investments2023-12-31$23,126,731
Value of interest in master investment trust accounts at end of year2023-12-31$15,161,631,550
Value of interest in master investment trust accounts at beginning of year2023-12-31$12,715,378,105
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31Yes
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$442,923,590
Employer contributions (assets) at end of year2023-12-31$197,454,043
Employer contributions (assets) at beginning of year2023-12-31$183,212,687
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$786,775,751
Contract administrator fees2023-12-31$761,546
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2023-12-31134008324
2022 : CATERPILLAR 401(K) SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets to this plan2022-12-31$5,684
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$18,232,359
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$16,269,013
Total income from all sources (including contributions)2022-12-31$-834,454,061
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$717,109,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$708,470,826
Expenses. Certain deemed distributions of participant loans2022-12-31$699,221
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$799,324,369
Value of total assets at end of year2022-12-31$13,794,958,016
Value of total assets at beginning of year2022-12-31$15,344,552,640
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$7,939,546
Total interest from all sources2022-12-31$25,892,758
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Administrative expenses professional fees incurred2022-12-31$1,346,390
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$45,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$377,386,245
Participant contributions at end of year2022-12-31$105,265,254
Participant contributions at beginning of year2022-12-31$107,611,607
Participant contributions at end of year2022-12-31$1,300,219
Participant contributions at beginning of year2022-12-31$1,276,404
Assets. Other investments not covered elsewhere at end of year2022-12-31$770,195,464
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$997,573,452
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$16,869,042
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$10,271,140
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$20,998,695
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$18,232,359
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$16,269,013
Other income not declared elsewhere2022-12-31$-267,212,840
Total non interest bearing cash at end of year2022-12-31$9,335,147
Total non interest bearing cash at beginning of year2022-12-31$6,610,114
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-1,551,563,654
Value of net assets at end of year (total assets less liabilities)2022-12-31$13,776,725,657
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$15,328,283,627
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$5,652,226
Interest on participant loans2022-12-31$4,983,007
Interest earned on other investments2022-12-31$20,909,751
Value of interest in master investment trust accounts at end of year2022-12-31$12,715,378,105
Value of interest in master investment trust accounts at beginning of year2022-12-31$14,083,601,722
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$405,069,082
Employer contributions (assets) at end of year2022-12-31$183,212,687
Employer contributions (assets) at beginning of year2022-12-31$126,880,646
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$708,470,826
Contract administrator fees2022-12-31$940,930
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2022-12-31134008324
2021 : CATERPILLAR 401(K) SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets to this plan2021-12-31$5,262,488
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$16,269,013
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$21,051,511
Total income from all sources (including contributions)2021-12-31$2,489,668,753
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$863,825,784
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$855,338,960
Expenses. Certain deemed distributions of participant loans2021-12-31$-149,059
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$680,752,616
Value of total assets at end of year2021-12-31$15,344,552,640
Value of total assets at beginning of year2021-12-31$13,718,229,681
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$8,635,883
Total interest from all sources2021-12-31$35,559,796
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Administrative expenses professional fees incurred2021-12-31$1,709,978
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$45,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$321,112,177
Participant contributions at end of year2021-12-31$107,611,607
Participant contributions at beginning of year2021-12-31$112,910,758
Participant contributions at end of year2021-12-31$1,276,404
Participant contributions at beginning of year2021-12-31$1,305,812
Assets. Other investments not covered elsewhere at end of year2021-12-31$997,573,452
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$827,913,172
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$48,780,101
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$20,998,695
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$21,312,634
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$16,269,013
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$21,051,511
Other income not declared elsewhere2021-12-31$84,385,585
Total non interest bearing cash at end of year2021-12-31$6,610,114
Total non interest bearing cash at beginning of year2021-12-31$6,149,879
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$1,625,842,969
Value of net assets at end of year (total assets less liabilities)2021-12-31$15,328,283,627
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$13,697,178,170
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$5,979,836
Interest on participant loans2021-12-31$5,555,962
Interest earned on other investments2021-12-31$30,003,834
Value of interest in master investment trust accounts at end of year2021-12-31$14,083,601,722
Value of interest in master investment trust accounts at beginning of year2021-12-31$12,605,219,507
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$310,860,338
Employer contributions (assets) at end of year2021-12-31$126,880,646
Employer contributions (assets) at beginning of year2021-12-31$143,417,919
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$855,338,960
Contract administrator fees2021-12-31$946,069
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2021-12-31134008324
2020 : CATERPILLAR 401(K) SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$1,242,682
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$21,051,511
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$6,982,860
Total income from all sources (including contributions)2020-12-31$2,592,122,313
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$906,872,903
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$899,629,112
Expenses. Certain deemed distributions of participant loans2020-12-31$-34,631
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$661,329,800
Value of total assets at end of year2020-12-31$13,718,229,681
Value of total assets at beginning of year2020-12-31$12,017,668,938
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$7,278,422
Total interest from all sources2020-12-31$23,220,529
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$1,205,755
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$45,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$334,535,680
Participant contributions at end of year2020-12-31$112,910,758
Participant contributions at beginning of year2020-12-31$123,443,147
Participant contributions at end of year2020-12-31$1,305,812
Participant contributions at beginning of year2020-12-31$169,777
Assets. Other investments not covered elsewhere at end of year2020-12-31$827,913,172
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$574,798,664
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$21,312,634
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$7,880,865
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$21,051,511
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$6,982,860
Other income not declared elsewhere2020-12-31$147,672,774
Total non interest bearing cash at end of year2020-12-31$6,149,879
Total non interest bearing cash at beginning of year2020-12-31$1,002,270
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$1,685,249,410
Value of net assets at end of year (total assets less liabilities)2020-12-31$13,697,178,170
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$12,010,686,078
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$5,178,305
Interest on participant loans2020-12-31$6,550,970
Interest earned on other investments2020-12-31$16,669,559
Value of interest in master investment trust accounts at end of year2020-12-31$12,605,219,507
Value of interest in master investment trust accounts at beginning of year2020-12-31$11,187,052,284
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$326,794,120
Employer contributions (assets) at end of year2020-12-31$143,417,919
Employer contributions (assets) at beginning of year2020-12-31$123,321,931
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$899,629,112
Contract administrator fees2020-12-31$894,362
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2020-12-31134008324
2019 : CATERPILLAR 401(K) SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets to this plan2019-12-31$3,501,172,439
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$6,982,860
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$6,088,144
Total income from all sources (including contributions)2019-12-31$1,985,764,023
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$462,386,766
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$454,090,444
Expenses. Certain deemed distributions of participant loans2019-12-31$2,324,998
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$525,038,958
Value of total assets at end of year2019-12-31$12,017,668,938
Value of total assets at beginning of year2019-12-31$6,992,224,526
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$5,971,324
Total interest from all sources2019-12-31$16,790,951
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Administrative expenses professional fees incurred2019-12-31$887,072
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$45,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$284,651,602
Participant contributions at end of year2019-12-31$123,443,147
Participant contributions at beginning of year2019-12-31$84,095,625
Participant contributions at end of year2019-12-31$169,777
Participant contributions at beginning of year2019-12-31$160,046
Assets. Other investments not covered elsewhere at end of year2019-12-31$574,798,664
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$365,138,060
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$7,880,865
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$6,413,376
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$6,982,860
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$6,088,144
Other income not declared elsewhere2019-12-31$71,980,661
Total non interest bearing cash at end of year2019-12-31$1,002,270
Total non interest bearing cash at beginning of year2019-12-31$1,886,624
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$1,523,377,257
Value of net assets at end of year (total assets less liabilities)2019-12-31$12,010,686,078
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$6,986,136,382
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$4,121,259
Interest on participant loans2019-12-31$4,588,688
Interest earned on other investments2019-12-31$12,202,263
Value of interest in master investment trust accounts at end of year2019-12-31$11,187,052,284
Value of interest in master investment trust accounts at beginning of year2019-12-31$6,447,761,478
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$240,387,356
Employer contributions (assets) at end of year2019-12-31$123,321,931
Employer contributions (assets) at beginning of year2019-12-31$86,769,317
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$454,090,444
Contract administrator fees2019-12-31$962,993
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2019-12-31134008324
2018 : CATERPILLAR 401(K) SAVINGS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$19,362,253
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$6,088,144
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$5,234,713
Total income from all sources (including contributions)2018-12-31$-155,273,434
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$373,911,216
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$368,220,433
Expenses. Certain deemed distributions of participant loans2018-12-31$425,188
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$487,675,985
Value of total assets at end of year2018-12-31$6,992,224,526
Value of total assets at beginning of year2018-12-31$7,501,193,492
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$5,265,595
Total interest from all sources2018-12-31$17,847,630
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Administrative expenses professional fees incurred2018-12-31$1,113,909
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$45,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$262,000,938
Participant contributions at end of year2018-12-31$84,095,625
Participant contributions at beginning of year2018-12-31$84,338,404
Participant contributions at end of year2018-12-31$160,046
Participant contributions at beginning of year2018-12-31$801,155
Assets. Other investments not covered elsewhere at end of year2018-12-31$365,138,060
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$369,090,309
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$6,413,376
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$4,072,340
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$6,088,144
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$5,234,713
Other income not declared elsewhere2018-12-31$-45,224,109
Total non interest bearing cash at end of year2018-12-31$1,886,624
Total non interest bearing cash at beginning of year2018-12-31$1,493,774
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-529,184,650
Value of net assets at end of year (total assets less liabilities)2018-12-31$6,986,136,382
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$7,495,958,779
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$3,324,878
Interest on participant loans2018-12-31$4,143,432
Interest earned on other investments2018-12-31$13,704,198
Value of interest in master investment trust accounts at end of year2018-12-31$6,447,761,478
Value of interest in master investment trust accounts at beginning of year2018-12-31$6,982,205,947
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$225,675,047
Employer contributions (assets) at end of year2018-12-31$86,769,317
Employer contributions (assets) at beginning of year2018-12-31$59,191,563
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$368,220,433
Contract administrator fees2018-12-31$826,808
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2018-12-31134008324
2017 : CATERPILLAR 401(K) SAVINGS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$31,253,108
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$5,234,713
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$3,964,096
Total income from all sources (including contributions)2017-12-31$1,873,963,197
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$455,677,040
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$450,324,575
Expenses. Certain deemed distributions of participant loans2017-12-31$471,222
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$394,151,062
Value of total assets at end of year2017-12-31$7,501,193,492
Value of total assets at beginning of year2017-12-31$6,050,383,610
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$4,881,243
Total interest from all sources2017-12-31$15,483,740
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Administrative expenses professional fees incurred2017-12-31$1,232,392
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$45,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$221,403,868
Participant contributions at end of year2017-12-31$84,338,404
Participant contributions at beginning of year2017-12-31$84,225,343
Participant contributions at end of year2017-12-31$801,155
Participant contributions at beginning of year2017-12-31$9,322,096
Assets. Other investments not covered elsewhere at end of year2017-12-31$369,090,309
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$298,927,380
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$170,545
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$4,072,340
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$3,618,501
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-12-31$5,234,713
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$3,964,096
Other income not declared elsewhere2017-12-31$35,453,976
Total non interest bearing cash at end of year2017-12-31$1,493,774
Total non interest bearing cash at beginning of year2017-12-31$855,844
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$1,418,286,157
Value of net assets at end of year (total assets less liabilities)2017-12-31$7,495,958,779
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$6,046,419,514
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$2,944,928
Interest on participant loans2017-12-31$3,800,439
Interest earned on other investments2017-12-31$11,683,301
Value of interest in master investment trust accounts at end of year2017-12-31$6,982,205,947
Value of interest in master investment trust accounts at beginning of year2017-12-31$5,586,796,499
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$172,576,649
Employer contributions (assets) at end of year2017-12-31$59,191,563
Employer contributions (assets) at beginning of year2017-12-31$66,637,947
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$450,324,575
Contract administrator fees2017-12-31$703,923
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2017-12-31134008324
2016 : CATERPILLAR 401(K) SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets to this plan2016-12-31$5,659,215
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$3,964,096
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$2,260,161
Total income from all sources (including contributions)2016-12-31$1,120,478,408
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$619,316,478
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$614,742,512
Expenses. Certain deemed distributions of participant loans2016-12-31$73,230
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$413,701,915
Value of total assets at end of year2016-12-31$6,050,383,610
Value of total assets at beginning of year2016-12-31$5,541,858,530
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$4,500,736
Total interest from all sources2016-12-31$8,196,127
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$472,656
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$45,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$233,282,888
Participant contributions at end of year2016-12-31$84,225,343
Participant contributions at beginning of year2016-12-31$88,372,857
Participant contributions at end of year2016-12-31$9,322,096
Participant contributions at beginning of year2016-12-31$10,569,333
Assets. Other investments not covered elsewhere at end of year2016-12-31$298,927,380
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$271,718,547
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$3,618,501
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$2,940,232
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$3,964,096
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$2,260,161
Other income not declared elsewhere2016-12-31$11,966,525
Administrative expenses (other) incurred2016-12-31$106
Total non interest bearing cash at end of year2016-12-31$855,844
Total non interest bearing cash at beginning of year2016-12-31$430,425
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$501,161,930
Value of net assets at end of year (total assets less liabilities)2016-12-31$6,046,419,514
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$5,539,598,369
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$3,157,042
Interest on participant loans2016-12-31$3,487,758
Interest earned on other investments2016-12-31$4,708,369
Value of interest in master investment trust accounts at end of year2016-12-31$5,586,796,499
Value of interest in master investment trust accounts at beginning of year2016-12-31$5,084,793,857
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$180,419,027
Employer contributions (assets) at end of year2016-12-31$66,637,947
Employer contributions (assets) at beginning of year2016-12-31$83,033,279
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$614,742,512
Contract administrator fees2016-12-31$870,932
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2016-12-31134008324
2015 : CATERPILLAR 401(K) SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$1,658,011
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$2,260,161
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$3,363,854
Total income from all sources (including contributions)2015-12-31$138,495,326
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$342,437,977
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$336,340,586
Expenses. Certain deemed distributions of participant loans2015-12-31$926,962
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$497,575,263
Value of total assets at end of year2015-12-31$5,541,858,530
Value of total assets at beginning of year2015-12-31$5,745,246,863
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$5,170,429
Total interest from all sources2015-12-31$12,277,110
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Administrative expenses professional fees incurred2015-12-31$467,212
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$45,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$282,301,586
Participant contributions at end of year2015-12-31$88,372,857
Participant contributions at beginning of year2015-12-31$86,009,505
Participant contributions at end of year2015-12-31$10,569,333
Participant contributions at beginning of year2015-12-31$618,025
Assets. Other investments not covered elsewhere at end of year2015-12-31$271,718,547
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$264,520,347
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$956,874
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$2,940,232
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$2,066,655
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$2,260,161
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$3,363,854
Other income not declared elsewhere2015-12-31$-21,673,962
Administrative expenses (other) incurred2015-12-31$48
Total non interest bearing cash at end of year2015-12-31$430,425
Total non interest bearing cash at beginning of year2015-12-31$436,835
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-203,942,651
Value of net assets at end of year (total assets less liabilities)2015-12-31$5,539,598,369
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$5,741,883,009
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$3,807,024
Interest on participant loans2015-12-31$3,420,490
Interest earned on other investments2015-12-31$8,856,620
Value of interest in master investment trust accounts at end of year2015-12-31$5,084,793,857
Value of interest in master investment trust accounts at beginning of year2015-12-31$5,333,876,003
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$214,316,803
Employer contributions (assets) at end of year2015-12-31$83,033,279
Employer contributions (assets) at beginning of year2015-12-31$57,719,493
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$336,340,586
Contract administrator fees2015-12-31$896,145
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2015-12-31134008324
2014 : CATERPILLAR 401(K) SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$837,920
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$3,363,854
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$713,308,151
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$348,539,554
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$343,871,046
Expenses. Certain deemed distributions of participant loans2014-12-31$149,090
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$429,674,503
Value of total assets at end of year2014-12-31$5,745,246,863
Value of total assets at beginning of year2014-12-31$5,376,276,492
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$4,519,418
Total interest from all sources2014-12-31$13,223,775
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Administrative expenses professional fees incurred2014-12-31$415,839
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$45,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31Yes
Amount of non-exempt transactions with any party-in-interest2014-12-31$5,468
Contributions received from participants2014-12-31$247,242,159
Participant contributions at end of year2014-12-31$86,009,505
Participant contributions at beginning of year2014-12-31$77,875,694
Participant contributions at end of year2014-12-31$618,025
Participant contributions at beginning of year2014-12-31$0
Assets. Other investments not covered elsewhere at end of year2014-12-31$264,520,347
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$210,258,327
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$2,066,655
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$5,552,434
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$3,363,854
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Other income not declared elsewhere2014-12-31$-3,197,631
Administrative expenses (other) incurred2014-12-31$127,180
Total non interest bearing cash at end of year2014-12-31$436,835
Total non interest bearing cash at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$364,768,597
Value of net assets at end of year (total assets less liabilities)2014-12-31$5,741,883,009
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$5,376,276,492
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$3,249,545
Interest on participant loans2014-12-31$3,496,746
Interest earned on other investments2014-12-31$9,727,029
Value of interest in master investment trust accounts at end of year2014-12-31$5,333,876,003
Value of interest in master investment trust accounts at beginning of year2014-12-31$5,025,708,224
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$182,432,344
Employer contributions (assets) at end of year2014-12-31$57,719,493
Employer contributions (assets) at beginning of year2014-12-31$56,881,813
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$343,871,046
Contract administrator fees2014-12-31$726,854
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2014-12-31134008324
2013 : CATERPILLAR 401(K) SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$1,903,922,667
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$599,335,957
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$190,128,567
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$188,200,703
Expenses. Certain deemed distributions of participant loans2013-12-31$107,771
Value of total corrective distributions2013-12-31$9,228
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$195,380,427
Value of total assets at end of year2013-12-31$5,376,276,492
Value of total assets at beginning of year2013-12-31$3,063,146,435
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$1,810,865
Total interest from all sources2013-12-31$1,280,330
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Administrative expenses professional fees incurred2013-12-31$238,094
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$45,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31Yes
Amount of non-exempt transactions with any party-in-interest2013-12-31$5,468
Contributions received from participants2013-12-31$107,567,032
Participant contributions at end of year2013-12-31$77,875,694
Participant contributions at beginning of year2013-12-31$27,749,929
Assets. Other investments not covered elsewhere at end of year2013-12-31$210,258,327
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$119,921,797
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$5,552,434
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Other income not declared elsewhere2013-12-31$21,149,251
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$409,207,390
Value of net assets at end of year (total assets less liabilities)2013-12-31$5,376,276,492
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$3,063,146,435
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$1,370,719
Interest on participant loans2013-12-31$1,280,330
Value of interest in master investment trust accounts at end of year2013-12-31$5,025,708,224
Value of interest in master investment trust accounts at beginning of year2013-12-31$2,909,667,790
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$87,813,395
Employer contributions (assets) at end of year2013-12-31$56,881,813
Employer contributions (assets) at beginning of year2013-12-31$5,806,919
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$188,200,703
Contract administrator fees2013-12-31$202,052
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2013-12-31134008324
2012 : CATERPILLAR 401(K) SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total transfer of assets from this plan2012-12-31$16,207,240
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$335,371,997
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$156,391,628
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$154,475,656
Expenses. Certain deemed distributions of participant loans2012-12-31$67,843
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$139,236,271
Value of total assets at end of year2012-12-31$3,063,146,435
Value of total assets at beginning of year2012-12-31$2,900,373,306
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,848,129
Total interest from all sources2012-12-31$1,240,228
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Administrative expenses professional fees incurred2012-12-31$289,432
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$45,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$105,577,041
Participant contributions at end of year2012-12-31$27,749,929
Participant contributions at beginning of year2012-12-31$30,339,384
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$3,339,133
Assets. Other investments not covered elsewhere at end of year2012-12-31$119,921,797
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$103,869,708
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$591,645
Other income not declared elsewhere2012-12-31$10,658,669
Administrative expenses (other) incurred2012-12-31$45
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$178,980,369
Value of net assets at end of year (total assets less liabilities)2012-12-31$3,063,146,435
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$2,900,373,306
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$1,135,028
Interest on participant loans2012-12-31$1,240,228
Value of interest in master investment trust accounts at end of year2012-12-31$2,909,667,790
Value of interest in master investment trust accounts at beginning of year2012-12-31$2,756,210,196
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$33,659,230
Employer contributions (assets) at end of year2012-12-31$5,806,919
Employer contributions (assets) at beginning of year2012-12-31$6,023,240
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$154,475,656
Contract administrator fees2012-12-31$423,624
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2012-12-31134008324
2011 : CATERPILLAR 401(K) SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets to this plan2011-12-31$2,898,466,737
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$111,730,324
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$109,823,755
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$108,408,740
Expenses. Certain deemed distributions of participant loans2011-12-31$124,172
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$132,987,408
Value of total assets at end of year2011-12-31$2,900,373,306
Value of total assets at beginning of year2011-12-31$0
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,290,843
Total interest from all sources2011-12-31$1,386,099
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$193,760
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$45,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$101,257,317
Participant contributions at end of year2011-12-31$30,339,384
Participant contributions at beginning of year2011-12-31$0
Participant contributions at end of year2011-12-31$3,339,133
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$103,869,708
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$591,645
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$0
Other income not declared elsewhere2011-12-31$-6,439,427
Administrative expenses (other) incurred2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$1,906,569
Value of net assets at end of year (total assets less liabilities)2011-12-31$2,900,373,306
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$657,725
Interest on participant loans2011-12-31$1,386,099
Value of interest in master investment trust accounts at end of year2011-12-31$2,756,210,196
Value of interest in master investment trust accounts at beginning of year2011-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$31,730,091
Employer contributions (assets) at end of year2011-12-31$6,023,240
Employer contributions (assets) at beginning of year2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$108,408,740
Contract administrator fees2011-12-31$439,358
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2011-12-31134008324

Form 5500 Responses for CATERPILLAR 401(K) SAVINGS PLAN

2023: CATERPILLAR 401(K) SAVINGS PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: CATERPILLAR 401(K) SAVINGS PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: CATERPILLAR 401(K) SAVINGS PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: CATERPILLAR 401(K) SAVINGS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: CATERPILLAR 401(K) SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CATERPILLAR 401(K) SAVINGS PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: CATERPILLAR 401(K) SAVINGS PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: CATERPILLAR 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CATERPILLAR 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedYes
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CATERPILLAR 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CATERPILLAR 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CATERPILLAR 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: CATERPILLAR 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01First time form 5500 has been submittedYes
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes

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