# Caterpillar INC. 401(k) Plan
Source: https://planprovider.pro/companies/caterpillar-inc-366426495-020

> Caterpillar INC.'s 401(k) plan: 0 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## 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](https://planprovider.pro/provider/russell-investments) — Investment Advisor

- [MERCER INVESTMENT MANAGEMENT INC](https://planprovider.pro/provider/mercer-advisors) — 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|

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