401k Plan data: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN plan

CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 401k Plan overview

Plan Name	CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN
Plan identification number	511

CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Supplemental unemployment Severance pay

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 IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
511 2013-01-01 FILED WITH AUTHORIZED SIGNATURE
511 2012-01-01 FILED WITH AUTHORIZED SIGNATURE
511 2011-01-01 JONATHAN D GINZEL JONATHAN D GINZEL 2012-04-24
511 2010-01-01 JONATHAN D GINZEL
511 2009-01-01 JONATHAN D GINZEL

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
511	2013-01-01	FILED WITH AUTHORIZED SIGNATURE
511	2012-01-01	FILED WITH AUTHORIZED SIGNATURE
511	2011-01-01	JONATHAN D GINZEL	JONATHAN D GINZEL	2012-04-24
511	2010-01-01	JONATHAN D GINZEL
511	2009-01-01	JONATHAN D GINZEL

Plan Statistics for CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN

401k plan membership statisitcs for CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN

Measure Date Value
2013: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
2012: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 272
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
2011: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 303
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 272
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 272
2010: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 339
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 303
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 303
2009: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 354
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 339
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 339

Measure	Date	Value
2013: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
2012: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	272
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
2011: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	303
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	272
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	272
2010: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	339
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	303
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	303
2009: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	354
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	339
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	339

Financial Data on CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN

Measure	Date	Value
2013 : CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-03-19	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-03-19	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-03-19	$5,719,825
Total income from all sources (including contributions)	2013-03-19	$3,750
Total loss/gain on sale of assets	2013-03-19	$0
Total of all expenses incurred	2013-03-19	$3,750
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-03-19	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-03-19	$3,674
Value of total assets at end of year	2013-03-19	$0
Value of total assets at beginning of year	2013-03-19	$5,719,825
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-03-19	$3,750
Total interest from all sources	2013-03-19	$0
Total dividends received (eg from common stock, registered investment company shares)	2013-03-19	$76
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-03-19	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-03-19	$0
Total dividends received from registered investment company shares (eg mutual funds)	2013-03-19	$76
Administrative expenses professional fees incurred	2013-03-19	$3,750
Was this plan covered by a fidelity bond	2013-03-19	Yes
Value of fidelity bond cover	2013-03-19	$50,000,000
If this is an individual account plan, was there a blackout period	2013-03-19	No
Were there any nonexempt tranactions with any party-in-interest	2013-03-19	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-03-19	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-03-19	$110
Total non interest bearing cash at end of year	2013-03-19	$0
Total non interest bearing cash at beginning of year	2013-03-19	$18,868
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-03-19	No
Value of net income/loss	2013-03-19	$0
Value of net assets at end of year (total assets less liabilities)	2013-03-19	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-03-19	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-03-19	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-03-19	No
Were any leases to which the plan was party in default or uncollectible	2013-03-19	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-03-19	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-03-19	$5,700,847
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-03-19	Yes
Was there a failure to transmit to the plan any participant contributions	2013-03-19	No
Has the plan failed to provide any benefit when due under the plan	2013-03-19	No
Contributions received in cash from employer	2013-03-19	$3,674
Liabilities. Value of benefit claims payable at end of year	2013-03-19	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-03-19	$5,719,825
Did the plan have assets held for investment	2013-03-19	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	2013-03-19	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-03-19	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-03-19	No
Opinion of an independent qualified public accountant for this plan	2013-03-19	Unqualified
Accountancy firm name	2013-03-19	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2013-03-19	134008324
2012 : CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$5,719,825
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$25,375
Total income from all sources (including contributions)	2012-12-31	$3,234
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$7,847,133
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$7,832,157
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$0
Value of total assets at end of year	2012-12-31	$5,719,825
Value of total assets at beginning of year	2012-12-31	$7,869,274
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$14,976
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$809
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$809
Administrative expenses professional fees incurred	2012-12-31	$14,976
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$110
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$67
Other income not declared elsewhere	2012-12-31	$2,425
Liabilities. Value of operating payables at end of year	2012-12-31	$0
Liabilities. Value of operating payables at beginning of year	2012-12-31	$25,375
Total non interest bearing cash at end of year	2012-12-31	$18,868
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-7,843,899
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$7,843,899
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$5,700,847
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,869,207
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$7,832,157
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$5,719,825
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2012-12-31	134008324
2011 : CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$25,375
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$25,410
Total income from all sources (including contributions)	2011-12-31	$1,055
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$34,144
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$0
Value of total assets at end of year	2011-12-31	$7,869,274
Value of total assets at beginning of year	2011-12-31	$7,902,398
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$34,144
Total interest from all sources	2011-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,055
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$1,055
Administrative expenses professional fees incurred	2011-12-31	$34,144
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$67
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$202
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$0
Liabilities. Value of operating payables at end of year	2011-12-31	$25,375
Liabilities. Value of operating payables at beginning of year	2011-12-31	$25,410
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-33,089
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$7,843,899
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$7,876,988
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$7,869,207
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$7,902,196
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2011-12-31	134008324
2010 : CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT 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	$25,410
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$21,016
Total income from all sources (including contributions)	2010-12-31	$1,731
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$35,357
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,363
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$0
Value of total assets at end of year	2010-12-31	$7,902,398
Value of total assets at beginning of year	2010-12-31	$7,931,630
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$32,994
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$1,731
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	$1,731
Administrative expenses professional fees incurred	2010-12-31	$32,994
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	$202
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$70
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$1,506
Liabilities. Value of operating payables at end of year	2010-12-31	$25,410
Liabilities. Value of operating payables at beginning of year	2010-12-31	$19,510
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	$-33,626
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$7,876,988
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$7,910,614
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	$7,902,196
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$7,931,560
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,363
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

Form 5500 Responses for CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN

2013: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-01-01	Plan is a collectively bargained plan	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CATERPILLAR IAM LODGE 851 SUPPLEMENTAL UNEMPLOYMENT BENEFIT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1986-05-07
Company Identification Number:	0006917606
Legal Registered Office Address:	100 NE ADAMS ST PEORIA United States of America (USA) 61629