Plan Snapshot
- Plan Sponsor: Caterpillar INC.
- Sponsor EIN: 366668245
- Sponsor Address: 5205 N. O'CONNOR BOULEVARD, IRVING, TX, 75039
- Plan Type: 401(k)
- Plan Number: 019
- Total Participants: 0
- Total Assets: $12.0B
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 | $12.0B | $0 | $0 |
| 2023 | 0 | $12.8B | $0 | $0 |
| 2022 | 0 | $12.5B | $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 |
|---|---|---|---|---|
| NISA INVESTMENT ADVISORS LLC | Other Service Provider | $3,823,050 | — | $3,823,050 |
| ALIGHT SOLUTIONS INC. | Recordkeeper | $3,053,361 | $11,879 | $3,065,240 |
| PACIFIC INVESTMENT MANAGEMENT CO. | Other Service Provider | $3,035,269 | — | $3,035,269 |
| METLIFE INVESTMENT MANAGEMENT | Other Service Provider | $2,404,858 | — | $2,404,858 |
| NORTHERN TRUST COMPANY | Custodian / Trustee | $1,627,977 | — | $1,627,977 |
| WESTERN ASSET MANAGEMENT COMPANY | Other Service Provider | $1,614,887 | — | $1,614,887 |
| STRATEGIC BENEFITS ADVISORS, INC. | Other Service Provider | $1,422,807 | — | $1,422,807 |
| DDJ CAPITAL MANAGEMENT,LLC | Other Service Provider | $1,298,117 | — | $1,298,117 |
| ARROWSTREET CAPITAL, L.P. | Other Service Provider | $1,244,054 | — | $1,244,054 |
| LOOMIS, SAYLES & COMPANY | Other Service Provider | $1,232,471 | — | $1,232,471 |
| DODGE AND COX | Other Service Provider | $1,065,470 | — | $1,065,470 |
| WILLIAM BLAIR INVESTMENT MANAGEMENT | Other Service Provider | $1,051,666 | — | $1,051,666 |
| CAPITAL INTERNATIONAL INC | Other Service Provider | $1,003,003 | — | $1,003,003 |
| PZENA INVESTMENT MANAGEMENT | Other Service Provider | $988,028 | — | $988,028 |
| JACOBS LEVY EQUITY MANAGEMENT | Other Service Provider | $908,521 | — | $908,521 |
| NEUBERGER & BERMAN | Other Service Provider | $773,777 | — | $773,777 |
| WILLIS TOWERS WATSON | Recordkeeper | $745,885 | — | $745,885 |
| WELLINGTON MANAGEMENT COMPANY LLP | Other Service Provider | $711,782 | — | $711,782 |
| BLACKSTONE CREDIT SYST STRAT, LLC | Other Service Provider | $671,826 | — | $671,826 |
| MAR VISTA INVESTMENT PARTNERS | Other Service Provider | $626,103 | — | $626,103 |
| MAN NUMERIC INVESTORS | Other Service Provider | $612,499 | — | $612,499 |
| CEREDEX VALUE ADVISORS | Other Service Provider | $537,221 | — | $537,221 |
| BARING, LLC | Other Service Provider | $476,363 | — | $476,363 |
| BRANDYWINE GLOBAL INVESTMENT, LLC | Other Service Provider | $397,077 | — | $397,077 |
| JACKSON SQUARE PARTNERS LLC | Investment Advisor | $369,380 | — | $369,380 |
| PRICEWATERHOUSECOOPERS LLP | Auditor | $358,700 | — | $358,700 |
| CATERPILLAR INC. | Recordkeeper | $296,419 | — | $296,419 |
| COPELAND CAPITAL MANAGEMENT, LLC | Other Service Provider | $169,790 | — | $169,790 |
| RUSSELL INVESTMENTS | Investment Advisor | $140,738 | — | $140,738 |
| DELOITTE TAX LLP | Other Service Provider | $110,725 | — | $110,725 |
| COST EFFECTIVENESS MEASUREMENT INC. | Other Service Provider | $34,000 | — | $34,000 |
| INC MERCER INVESTMENT MANAGEMENT | Investment Advisor | $30,000 | — | $30,000 |
| DECKER CAPITAL MANAGEMENT LLC | Other Service Provider | $16,761 | — | $16,761 |
| GQG PARTNERS LLC | Other Service Provider | $13,143 | — | $13,143 |
| PATHWAY CAPITAL MANAGEMENT | Other Service Provider | $6,821 | — | $6,821 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- ALIGHT SOLUTIONS INC. — Recordkeeper
- WILLIS TOWERS WATSON — Recordkeeper
- JACKSON SQUARE PARTNERS LLC — Investment Advisor
- PRICEWATERHOUSECOOPERS LLP — Auditor
- RUSSELL INVESTMENTS — Investment Advisor
- INC MERCER INVESTMENT MANAGEMENT — Investment Advisor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $32,884,428
- Estimated Expense Ratio: 0.274% 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 | $40,467,459 | $31,651,252 | $4,631,319 | — | — |
| 2023 | $42,975,215 | $29,914,830 | $4,500,293 | — | — |
| 2022 | $47,228,475 | $26,350,922 | $3,311,527 | — | $4,075,878 |