CATERPILLAR INC. has sponsored the creation of one or more 401k plans.
Additional information about CATERPILLAR INC.
| Measure | Date | Value |
|---|
| 2011 : CATERPILLAR - UAW SUB PLAN 2011 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2011-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-09-30 | $45,400 |
| Total income from all sources (including contributions) | 2011-09-30 | $21,544 |
| Total loss/gain on sale of assets | 2011-09-30 | $0 |
| Total of all expenses incurred | 2011-09-30 | $7,365,519 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-09-30 | $7,364,501 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-09-30 | $21,043 |
| Value of total assets at end of year | 2011-09-30 | $0 |
| Value of total assets at beginning of year | 2011-09-30 | $7,389,375 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-09-30 | $1,018 |
| Total interest from all sources | 2011-09-30 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-09-30 | $501 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-09-30 | Yes |
| Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2011-09-30 | $0 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2011-09-30 | $501 |
| Administrative expenses professional fees incurred | 2011-09-30 | $1,018 |
| Was this plan covered by a fidelity bond | 2011-09-30 | Yes |
| Value of fidelity bond cover | 2011-09-30 | $50,000,000 |
| If this is an individual account plan, was there a blackout period | 2011-09-30 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2011-09-30 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-09-30 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-09-30 | $188 |
| Liabilities. Value of operating payables at end of year | 2011-09-30 | $0 |
| Liabilities. Value of operating payables at beginning of year | 2011-09-30 | $43,900 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-09-30 | No |
| Value of net income/loss | 2011-09-30 | $-7,343,975 |
| Value of net assets at end of year (total assets less liabilities) | 2011-09-30 | $0 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-09-30 | $7,343,975 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-09-30 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-09-30 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-09-30 | $7,389,187 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-09-30 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2011-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-09-30 | No |
| Contributions received in cash from employer | 2011-09-30 | $21,043 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-09-30 | $7,364,501 |
| Liabilities. Value of benefit claims payable at end of year | 2011-09-30 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2011-09-30 | $1,500 |
| Did the plan have assets held for investment | 2011-09-30 | No |
| 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 | 2011-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-09-30 | Yes |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-09-30 | No |
| Opinion of an independent qualified public accountant for this plan | 2011-09-30 | Unqualified |
| Accountancy firm name | 2011-09-30 | PRICEWATERHOUSECOOPERS LLP |
| Accountancy firm EIN | 2011-09-30 | 134008324 |
| 2010 : CATERPILLAR - UAW SUB 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 | $45,400 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $448,736 |
| Total income from all sources (including contributions) | 2010-12-31 | $14,311 |
| Total loss/gain on sale of assets | 2010-12-31 | $0 |
| Total of all expenses incurred | 2010-12-31 | $599,590 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $548,277 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $12,673 |
| Value of total assets at end of year | 2010-12-31 | $7,389,375 |
| Value of total assets at beginning of year | 2010-12-31 | $8,377,990 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $51,313 |
| Total interest from all sources | 2010-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $1,638 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $1,638 |
| Administrative expenses professional fees incurred | 2010-12-31 | $51,313 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $50,000,000 |
| If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $188 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2010-12-31 | $75 |
| Liabilities. Value of operating payables at end of year | 2010-12-31 | $43,900 |
| Liabilities. Value of operating payables at beginning of year | 2010-12-31 | $52,250 |
| Total non interest bearing cash at end of year | 2010-12-31 | $0 |
| Total non interest bearing cash at beginning of year | 2010-12-31 | $237 |
| 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 | $-585,279 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $7,343,975 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $7,929,254 |
| 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 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $7,389,187 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $8,377,678 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | Yes |
| 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 | $12,673 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $548,277 |
| Liabilities. Value of benefit claims payable at end of year | 2010-12-31 | $1,500 |
| Liabilities. Value of benefit claims payable at beginning of year | 2010-12-31 | $396,486 |
| 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 |
