401k Plan data: EMPLOYEE ASSISTANCE PROGRAM plan

EMPLOYEE ASSISTANCE PROGRAM 401k Plan overview

Plan Name	EMPLOYEE ASSISTANCE PROGRAM
Plan identification number	535

EMPLOYEE ASSISTANCE PROGRAM Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Other welfare benefit cover

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 EMPLOYEE ASSISTANCE PROGRAM

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
535 2022-01-01 TODD BISPING 2023-05-30
535 2021-01-01 TODD BISPING 2022-06-07
535 2020-01-01 TODD BISPING 2021-06-30
535 2019-01-01 TODD BISPING 2020-06-26
535 2018-01-01
535 2017-01-01
535 2016-01-01
535 2015-01-01
535 2014-01-01 JOHN POMPE
535 2013-01-01 FILED WITH AUTHORIZED SIGNATURE
535 2012-01-01 FILED WITH AUTHORIZED SIGNATURE
535 2011-01-01 LEANNE MORITZ
535 2010-01-01 JONATHAN D GINZEL
535 2009-01-01 JONATHAN D GINZEL

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
535	2022-01-01	TODD BISPING	2023-05-30
535	2021-01-01	TODD BISPING	2022-06-07
535	2020-01-01	TODD BISPING	2021-06-30
535	2019-01-01	TODD BISPING	2020-06-26
535	2018-01-01
535	2017-01-01
535	2016-01-01
535	2015-01-01
535	2014-01-01	JOHN POMPE
535	2013-01-01	FILED WITH AUTHORIZED SIGNATURE
535	2012-01-01	FILED WITH AUTHORIZED SIGNATURE
535	2011-01-01	LEANNE MORITZ
535	2010-01-01	JONATHAN D GINZEL
535	2009-01-01	JONATHAN D GINZEL

Plan Statistics for EMPLOYEE ASSISTANCE PROGRAM

401k plan membership statisitcs for EMPLOYEE ASSISTANCE PROGRAM

Measure Date Value
2022: EMPLOYEE ASSISTANCE PROGRAM 2022 401k membership
Total participants, beginning-of-year 2022-01-01 40,834
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 43,966
Number of retired or separated participants receiving benefits 2022-01-01 101
Number of other retired or separated participants entitled to future benefits 2022-01-01 2,084
Total of all active and inactive participants 2022-01-01 46,151
2021: EMPLOYEE ASSISTANCE PROGRAM 2021 401k membership
Total participants, beginning-of-year 2021-01-01 36,791
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 40,781
Number of retired or separated participants receiving benefits 2021-01-01 225
Number of other retired or separated participants entitled to future benefits 2021-01-01 38
Total of all active and inactive participants 2021-01-01 41,044
2020: EMPLOYEE ASSISTANCE PROGRAM 2020 401k membership
Total participants, beginning-of-year 2020-01-01 39,410
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 36,989
Number of retired or separated participants receiving benefits 2020-01-01 244
Number of other retired or separated participants entitled to future benefits 2020-01-01 48
Total of all active and inactive participants 2020-01-01 37,281
2019: EMPLOYEE ASSISTANCE PROGRAM 2019 401k membership
Total participants, beginning-of-year 2019-01-01 40,413
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 39,303
Number of retired or separated participants receiving benefits 2019-01-01 302
Number of other retired or separated participants entitled to future benefits 2019-01-01 39
Total of all active and inactive participants 2019-01-01 39,644
2018: EMPLOYEE ASSISTANCE PROGRAM 2018 401k membership
Total participants, beginning-of-year 2018-01-01 38,340
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 40,588
Number of retired or separated participants receiving benefits 2018-01-01 197
Number of other retired or separated participants entitled to future benefits 2018-01-01 61
Total of all active and inactive participants 2018-01-01 40,846
2017: EMPLOYEE ASSISTANCE PROGRAM 2017 401k membership
Total participants, beginning-of-year 2017-01-01 33,433
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 38,490
Number of retired or separated participants receiving benefits 2017-01-01 275
Number of other retired or separated participants entitled to future benefits 2017-01-01 79
Total of all active and inactive participants 2017-01-01 38,844
2016: EMPLOYEE ASSISTANCE PROGRAM 2016 401k membership
Total participants, beginning-of-year 2016-01-01 37,253
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 33,094
Number of retired or separated participants receiving benefits 2016-01-01 817
Number of other retired or separated participants entitled to future benefits 2016-01-01 68
Total of all active and inactive participants 2016-01-01 33,979
2015: EMPLOYEE ASSISTANCE PROGRAM 2015 401k membership
Total participants, beginning-of-year 2015-01-01 39,800
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 37,318
Number of retired or separated participants receiving benefits 2015-01-01 391
Number of other retired or separated participants entitled to future benefits 2015-01-01 134
Total of all active and inactive participants 2015-01-01 37,843
2014: EMPLOYEE ASSISTANCE PROGRAM 2014 401k membership
Total participants, beginning-of-year 2014-01-01 41,566
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 41,214
Number of retired or separated participants receiving benefits 2014-01-01 318
Number of other retired or separated participants entitled to future benefits 2014-01-01 38
Total of all active and inactive participants 2014-01-01 41,570
2013: EMPLOYEE ASSISTANCE PROGRAM 2013 401k membership
Total participants, beginning-of-year 2013-01-01 44,130
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 42,959
Number of retired or separated participants receiving benefits 2013-01-01 370
Number of other retired or separated participants entitled to future benefits 2013-01-01 140
Total of all active and inactive participants 2013-01-01 43,469
2012: EMPLOYEE ASSISTANCE PROGRAM 2012 401k membership
Total participants, beginning-of-year 2012-01-01 39,765
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 41,118
Number of retired or separated participants receiving benefits 2012-01-01 80
Number of other retired or separated participants entitled to future benefits 2012-01-01 94
Total of all active and inactive participants 2012-01-01 41,292
2011: EMPLOYEE ASSISTANCE PROGRAM 2011 401k membership
Total participants, beginning-of-year 2011-01-01 36,258
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 39,396
Number of retired or separated participants receiving benefits 2011-01-01 15
Number of other retired or separated participants entitled to future benefits 2011-01-01 31
Total of all active and inactive participants 2011-01-01 39,442
2010: EMPLOYEE ASSISTANCE PROGRAM 2010 401k membership
Total participants, beginning-of-year 2010-01-01 39,887
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 36,258
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 36,258
2009: EMPLOYEE ASSISTANCE PROGRAM 2009 401k membership
Total participants, beginning-of-year 2009-01-01 45,028
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 39,887
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 39,887

Measure	Date	Value
2022: EMPLOYEE ASSISTANCE PROGRAM 2022 401k membership
Total participants, beginning-of-year	2022-01-01	40,834
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	43,966
Number of retired or separated participants receiving benefits	2022-01-01	101
Number of other retired or separated participants entitled to future benefits	2022-01-01	2,084
Total of all active and inactive participants	2022-01-01	46,151
2021: EMPLOYEE ASSISTANCE PROGRAM 2021 401k membership
Total participants, beginning-of-year	2021-01-01	36,791
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	40,781
Number of retired or separated participants receiving benefits	2021-01-01	225
Number of other retired or separated participants entitled to future benefits	2021-01-01	38
Total of all active and inactive participants	2021-01-01	41,044
2020: EMPLOYEE ASSISTANCE PROGRAM 2020 401k membership
Total participants, beginning-of-year	2020-01-01	39,410
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	36,989
Number of retired or separated participants receiving benefits	2020-01-01	244
Number of other retired or separated participants entitled to future benefits	2020-01-01	48
Total of all active and inactive participants	2020-01-01	37,281
2019: EMPLOYEE ASSISTANCE PROGRAM 2019 401k membership
Total participants, beginning-of-year	2019-01-01	40,413
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	39,303
Number of retired or separated participants receiving benefits	2019-01-01	302
Number of other retired or separated participants entitled to future benefits	2019-01-01	39
Total of all active and inactive participants	2019-01-01	39,644
2018: EMPLOYEE ASSISTANCE PROGRAM 2018 401k membership
Total participants, beginning-of-year	2018-01-01	38,340
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	40,588
Number of retired or separated participants receiving benefits	2018-01-01	197
Number of other retired or separated participants entitled to future benefits	2018-01-01	61
Total of all active and inactive participants	2018-01-01	40,846
2017: EMPLOYEE ASSISTANCE PROGRAM 2017 401k membership
Total participants, beginning-of-year	2017-01-01	33,433
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	38,490
Number of retired or separated participants receiving benefits	2017-01-01	275
Number of other retired or separated participants entitled to future benefits	2017-01-01	79
Total of all active and inactive participants	2017-01-01	38,844
2016: EMPLOYEE ASSISTANCE PROGRAM 2016 401k membership
Total participants, beginning-of-year	2016-01-01	37,253
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	33,094
Number of retired or separated participants receiving benefits	2016-01-01	817
Number of other retired or separated participants entitled to future benefits	2016-01-01	68
Total of all active and inactive participants	2016-01-01	33,979
2015: EMPLOYEE ASSISTANCE PROGRAM 2015 401k membership
Total participants, beginning-of-year	2015-01-01	39,800
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	37,318
Number of retired or separated participants receiving benefits	2015-01-01	391
Number of other retired or separated participants entitled to future benefits	2015-01-01	134
Total of all active and inactive participants	2015-01-01	37,843
2014: EMPLOYEE ASSISTANCE PROGRAM 2014 401k membership
Total participants, beginning-of-year	2014-01-01	41,566
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	41,214
Number of retired or separated participants receiving benefits	2014-01-01	318
Number of other retired or separated participants entitled to future benefits	2014-01-01	38
Total of all active and inactive participants	2014-01-01	41,570
2013: EMPLOYEE ASSISTANCE PROGRAM 2013 401k membership
Total participants, beginning-of-year	2013-01-01	44,130
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	42,959
Number of retired or separated participants receiving benefits	2013-01-01	370
Number of other retired or separated participants entitled to future benefits	2013-01-01	140
Total of all active and inactive participants	2013-01-01	43,469
2012: EMPLOYEE ASSISTANCE PROGRAM 2012 401k membership
Total participants, beginning-of-year	2012-01-01	39,765
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	41,118
Number of retired or separated participants receiving benefits	2012-01-01	80
Number of other retired or separated participants entitled to future benefits	2012-01-01	94
Total of all active and inactive participants	2012-01-01	41,292
2011: EMPLOYEE ASSISTANCE PROGRAM 2011 401k membership
Total participants, beginning-of-year	2011-01-01	36,258
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	39,396
Number of retired or separated participants receiving benefits	2011-01-01	15
Number of other retired or separated participants entitled to future benefits	2011-01-01	31
Total of all active and inactive participants	2011-01-01	39,442
2010: EMPLOYEE ASSISTANCE PROGRAM 2010 401k membership
Total participants, beginning-of-year	2010-01-01	39,887
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	36,258
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	36,258
2009: EMPLOYEE ASSISTANCE PROGRAM 2009 401k membership
Total participants, beginning-of-year	2009-01-01	45,028
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	39,887
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	39,887

Form 5500 Responses for EMPLOYEE ASSISTANCE PROGRAM

2022: EMPLOYEE ASSISTANCE PROGRAM 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2022-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2021: EMPLOYEE ASSISTANCE PROGRAM 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2021-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2020: EMPLOYEE ASSISTANCE PROGRAM 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2020-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2019: EMPLOYEE ASSISTANCE PROGRAM 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2019-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2018: EMPLOYEE ASSISTANCE PROGRAM 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2018-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2017: EMPLOYEE ASSISTANCE PROGRAM 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2017-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2016: EMPLOYEE ASSISTANCE PROGRAM 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2016-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2015: EMPLOYEE ASSISTANCE PROGRAM 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2015-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2014: EMPLOYEE ASSISTANCE PROGRAM 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2014-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2013: EMPLOYEE ASSISTANCE PROGRAM 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	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2013-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2012: EMPLOYEE ASSISTANCE PROGRAM 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	No
2012-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2012-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2011: EMPLOYEE ASSISTANCE PROGRAM 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	No
2011-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2011-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2010: EMPLOYEE ASSISTANCE PROGRAM 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	No
2010-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2010-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2009: EMPLOYEE ASSISTANCE PROGRAM 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	No
2009-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2009-01-01	Plan benefit arrangement – General assets of the sponsor	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