Plan Snapshot
- Plan Sponsor: Caterpillar INC.
- Sponsor EIN: 320229540
- Sponsor Address: 5205 N. O'CONNOR BOULEVARD, IRVING, TX, 75039
- Plan Type: 401(k)
- Plan Number: 032
- Total Participants: 0
- Total Assets: $22.5B
Key Plan Design Features
- Auto-Enrollment: No
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- Participant-Directed Investments: No
- ERISA Section 404(c) Fiduciary Safe Harbor: No
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2025 | 0 | $22.5B | $0 | $0 |
| 2024 | 0 | $18.5B | $0 | $0 |
| 2023 | 0 | $16.4B | $0 | $0 |
| 2022 | 0 | $13.8B | $0 | $0 |
Service Providers (Schedule C)
Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).
| Provider Name | Role | Direct Compensation | Indirect Compensation | Total Fees |
|---|---|---|---|---|
| NORTHERN TRUST COMPANY | Custodian / Trustee | $2,224,363 | — | $2,224,363 |
| JP MORGAN INVESTMENT MANAGEMENT INC | Other Service Provider | $1,768,657 | — | $1,768,657 |
| ARROWSTREET CAPITAL LP | Other Service Provider | $1,441,804 | — | $1,441,804 |
| PZENA INVESTMENT MANAGEMENT | Other Service Provider | $1,253,762 | — | $1,253,762 |
| WILLIAM BLAIR & CO. | Other Service Provider | $1,219,705 | — | $1,219,705 |
| JACOBS LEVY EQUITY MANAGEMENT | Other Service Provider | $1,058,037 | — | $1,058,037 |
| JP MORGAN ASSET MANAGEMENT | Other Service Provider | $1,044,496 | — | $1,044,496 |
| MAN NUMERIC INVESTORS | Other Service Provider | $1,011,308 | — | $1,011,308 |
| NEUBERGER BERMAN LLC | Other Service Provider | $978,532 | — | $978,532 |
| WESTERN ASSET MANAGEMENT COMPANY | Other Service Provider | $831,872 | — | $831,872 |
| DODGE AND COX | Other Service Provider | $746,361 | — | $746,361 |
| MAR VISTA INVESTMENT PARTNERS | Other Service Provider | $534,346 | — | $534,346 |
| COPELAND CAPITAL MANAGEMENT, LLC | Other Service Provider | $470,805 | — | $470,805 |
| CEREDEX VALUE ADVISORS | Other Service Provider | $379,738 | — | $379,738 |
| BRANDYWINE GLOBAL INV MANAGEMENT | Other Service Provider | $360,459 | — | $360,459 |
| GQG PARTNERS LLC | Other Service Provider | $357,047 | — | $357,047 |
| BARINGS, LLC | Other Service Provider | $347,388 | — | $347,388 |
| JACKSON SQUARE PARTNERS LLC | Other Service Provider | $345,958 | — | $345,958 |
| STATE STREET GLOBAL ADVISORS TRUST | Other Service Provider | $300,205 | — | $300,205 |
| DDJ CAPITAL MANAGEMENT LLC | Other Service Provider | $281,372 | — | $281,372 |
| DCI, LLC | Other Service Provider | $264,245 | — | $264,245 |
| BROWN BROS. HARRIMAN AND CO. | Other Service Provider | $147,407 | — | $147,407 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $17,367,867
- Estimated Expense Ratio: 0.077% of plan assets
Historical Administrative Expenses
Breakdown of administrative expense categories reported on Form 5500 filings.
| Year | Total Admin Expenses | Investment Mgmt Fees | Contract Admin Fees | IQPA Audit Fees | Professional Fees |
|---|---|---|---|---|---|
| 2025 | $17,864,881 | $15,107,856 | — | — | — |
| 2024 | $16,550,942 | $13,229,664 | $1,929 | — | — |
| 2023 | $13,110,918 | $11,329,501 | $6,107 | — | — |
| 2022 | $13,879,269 | $10,116,593 | — | — | $2,810,213 |