# Caterpillar INC. 401(k) Plan
Source: https://planprovider.pro/companies/caterpillar-inc-320229540-032

> Caterpillar INC.'s 401(k) plan: 0 participants, plan year 2025 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2025.

## 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|

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