Caterpillar 401(K) Savings Plan — Form 5500 plan (Caterpillar Inc.)
Plain-English plan summary
According to public Form 5500 filings published through the U.S. Department of Labor (DOL) Employee Benefits Security Administration (EBSA) via the EFAST2 system, Caterpillar 401(K) Savings Plan is a benefit plan reported by Caterpillar Inc. under EIN 37-0602744 and plan number 035. The latest loaded filing year is 2023. The filing reports 57,635 participants and $16,496,476,432 in end-of-year plan assets, where available in the loaded dataset.
Key reported metrics
- Plan sponsor
- Caterpillar Inc.
- EIN
- 37-0602744
- Plan number
- 035
- Plan type
- 2
- Location
- Irving, TX
- Latest filing year
- 2023
- Participants
- 57,635
- End-of-year plan assets
- $16,496,476,432
Form 5500 filing history
| Filing year | Participants | Schedules | Filing |
|---|---|---|---|
| 2023 | 57,635 | H, C | 20240730193138NAL0013792691001 |
Reported financial statement (2023 · Schedule H)
Net assets
- Total assets (EOY)
- $16,496,476,432
- Total liabilities (EOY)
- $19,955,375
- Net assets (EOY)
- $16,476,521,057
- Net assets (BOY)
- $13,776,725,657
Income & contributions
- Employer contributions
- $442,923,590
- Participant contributions
- $419,086,846
- Total contributions
- $891,599,978
- Total income / additions
- $3,493,755,483
Expenses & distributions
- Benefits paid
- $786,775,751
- Administrative expenses
- $7,438,384
- Total expenses
- $793,960,083
- Net increase / (decrease)
- $2,699,795,400
Service provider compensation (Schedule C)
| Provider | Service | Direct comp. | Indirect comp. | Year |
|---|---|---|---|---|
| Alight Financial Advisors, LLC | NONE | $4,136,822 | not reported in the loaded dataset | 2023 |
| Alight Solutions LLC | NONE | $1,237,360 | $0 | 2023 |
| Strategic Benefit Advisors | NONE | $761,546 | not reported in the loaded dataset | 2023 |
| Northern Trust Company | TRUSTEE | $615,846 | not reported in the loaded dataset | 2023 |
| Pershing LLC | NONE | $0 | $601,659 | 2023 |
| Caterpillar Inc | NONE | $384,942 | not reported in the loaded dataset | 2023 |
| Alight Financial Solutions, LLC | NONE | $0 | $263,679 | 2023 |
| Russell Investments | NONE | $171,615 | not reported in the loaded dataset | 2023 |
| Pricewaterhousecoopers Llp | NONE | $96,273 | not reported in the loaded dataset | 2023 |
| Cem Benchmarking Inc | NONE | $30,811 | not reported in the loaded dataset | 2023 |
Related Form 5500 pages
- All Form 5500 plans for Caterpillar Inc.
- 2023 Form 5500 filing
- Form 5500 filings in TX
- 401(k) and benefit plan filings in Irving, TX
- Alight Financial Advisors, LLC — Schedule C compensation
- Alight Solutions LLC — Schedule C compensation
- Strategic Benefit Advisors — Schedule C compensation
- Northern Trust Company — Schedule C compensation
- Pershing LLC — Schedule C compensation
- Caterpillar Inc — Schedule C compensation
- Alight Financial Solutions, LLC — Schedule C compensation
- Russell Investments — Schedule C compensation
- Pricewaterhousecoopers Llp — Schedule C compensation
- Cem Benchmarking Inc — Schedule C compensation