# Caterpillar INC. 401(k) Plan
Source: https://planprovider.pro/companies/caterpillar-inc-366668245-019

> 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:** 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.](https://planprovider.pro/provider/alight-solutions) — Recordkeeper

- [WILLIS TOWERS WATSON](https://planprovider.pro/provider/lincoln-financial-group) — Recordkeeper

- [JACKSON SQUARE PARTNERS LLC](https://planprovider.pro/provider/jackson-square-financial) — Investment Advisor

- [PRICEWATERHOUSECOOPERS LLP](https://planprovider.pro/provider/pricewaterhousecoopers-llp) — Auditor

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

- [INC MERCER INVESTMENT MANAGEMENT](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:** $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|

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[View full interactive plan profile on PlanProvider.Pro](https://planprovider.pro/companies/caterpillar-inc-366668245-019)

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