Plan Snapshot
- Plan Sponsor: Caterpillar INC.
- Sponsor EIN: 366426495
- Sponsor Address: 5205 N. O'CONNOR BOULEVARD, IRVING, TX, 75039
- Plan Type: 401(k)
- Plan Number: 020
- Total Participants: 0
- Total Assets: $88.0M
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. |
|---|---|---|---|---|
| 2024 | 0 | $88.0M | $0 | $0 |
| 2023 | 0 | $144.1M | $0 | $0 |
| 2022 | 0 | $102.4M | $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 |
|---|---|---|---|---|
| BSWIFT LLC | Other Service Provider | $4,055,640 | — | $4,055,640 |
| UNITED HEALTHCARE INSURANCE COMPANY | Other Service Provider | $154,720 | — | $154,720 |
| JACOBS LEVY EQUITY MANAGEMENT | Other Service Provider | $137,656 | — | $137,656 |
| NORTHERN TRUST COMPANY | Custodian / Trustee | $125,384 | — | $125,384 |
| CATERPILLAR INC. | Recordkeeper | $114,982 | — | $114,982 |
| NEUBERGER & BERMAN | Other Service Provider | $92,097 | — | $92,097 |
| MAR VISTA INVESTMENT PARTNERS | Other Service Provider | $77,870 | — | $77,870 |
| WESTERN ASSET MANAGEMENT CO | Other Service Provider | $45,108 | — | $45,108 |
| RUSSELL INVESTMENTS | Investment Advisor | $18,236 | — | $18,236 |
| MERCER INVESTMENT MANAGEMENT INC | Investment Advisor | $10,000 | — | $10,000 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- RUSSELL INVESTMENTS — Investment Advisor
- MERCER INVESTMENT MANAGEMENT INC — Investment Advisor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $4,831,693
- Estimated Expense Ratio: 5.488% 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 |
|---|---|---|---|---|---|
| 2024 | $4,839,829 | $380,967 | $161,337 | — | — |
| 2023 | $4,507,060 | $4,110,110 | $90,782 | — | — |
| 2022 | $4,537,687 | $342,467 | $114,241 | — | $140,837 |