# Caterpillar INC. 401(k) Plan
Source: https://planprovider.pro/companies/caterpillar-inc-401k-plan-037

> Caterpillar INC.'s 401(k) plan: 295 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:** 370602744

- **Sponsor Address:** 5205 N. O'CONNOR BOULEVARD, IRVING, TX, 75039

- **Plan Type:** 401(k)

- **Total Participants:** 295

- **Total Assets:** $51.5M

## Key Plan Design Features

- **Auto-Enrollment:** Yes

- **Auto-Escalation:** No

- **Allows Roth Contributions:** Yes

- **Participant Loans:** Yes

- **Participant-Directed Investments:** Yes

- **ERISA Section 404(c) Fiduciary Safe Harbor:** Yes

## Plan Financials by Year

| Year|Participants|Total Assets|Employer Contrib.|Employee Contrib.|

| 2024|295|$51.5M|$1.2M|$1.9M|

| 2023|300|$47.7M|$1.5M|$1.8M|

| 2022|288|$41.2M|$942,596|$1.6M|

## 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|

| ALIGHT FINANCIAL ADVISORS, LLC|N0NE|$17,785|—|$17,785|

| ALIGHT SOLUTIONS LLC|NONE|$9,420|—|$9,420|

| STRATEGIC BENEFIT ADVISORS|NONE|$5,140|—|$5,140|

| PRICEWATERHOUSECOOPERS LLP|NONE|$5,090|—|$5,090|

### Verified Provider Profiles

Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:

- [ALIGHT FINANCIAL ADVISORS, LLC](https://planprovider.pro/provider/alight-solutions) — N0NE

- [ALIGHT SOLUTIONS LLC](https://planprovider.pro/provider/alight-solutions) — NONE

- [PRICEWATERHOUSECOOPERS LLP](https://planprovider.pro/provider/pricewaterhousecoopers-llp) — NONE

## Plan Fees & Expenses

Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.

- **Total Service Provider Fees:** $37,435

- **Estimated Expense Ratio:** 0.073% 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|$44,437|$18,267|$5,140|$5,090|—|

| 2023|$40,819|$15,794|$2,274|$3,383|—|

| 2022|$42,208|$22,678|$7,262|—|$12,268|

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