401k Plan data: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN plan

CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 401k Plan overview

Plan Name	CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN
Plan identification number	016

CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CATERPILLAR INC. has sponsored the creation of one or more 401k plans.

Company Name: CATERPILLAR INC.

Employer identification number (EIN): 370602744

NAIC Classification: 333100

Additional information about CATERPILLAR INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 1986-05-07

Company Identification Number: 0006917606

Legal Registered Office Address: 100 NE ADAMS ST

PEORIA
United States of America (USA)
61629

More information about CATERPILLAR INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
016 2015-01-01
016 2015-01-01
016 2014-01-01 LEANNE MORITZ
016 2014-01-01
016 2013-01-01
016 2012-01-01 FILED WITH AUTHORIZED SIGNATURE
016 2011-01-01 LEANNE K. MORITZ
016 2010-01-01 JONATHAN D GINZEL
016 2009-01-01 JONATHAN D GINZEL JONATHAN D GINZEL 2010-10-15

Plan Statistics for CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN

401k plan membership statisitcs for CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN

Measure Date Value
2015: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4,299
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 4,570
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 2,239
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 2,004
Total of all active and inactive participants 2014-01-01 4,243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 45
Total participants 2014-01-01 4,288
Number of participants with account balances 2014-01-01 3,892
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 5,370
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2,330
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 2,128
Total of all active and inactive participants 2013-01-01 4,458
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 38
Total participants 2013-01-01 4,496
Number of participants with account balances 2013-01-01 4,175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 6,828
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 3,443
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 2,622
Total of all active and inactive participants 2012-01-01 6,065
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 52
Total participants 2012-01-01 6,117
Number of participants with account balances 2012-01-01 5,299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 6,812
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 4,030
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 2,724
Total of all active and inactive participants 2011-01-01 6,754
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 50
Total participants 2011-01-01 6,804
Number of participants with account balances 2011-01-01 5,504
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 6,391
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 4,567
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 2,798
Total of all active and inactive participants 2010-01-01 7,365
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 52
Total participants 2010-01-01 7,417
Number of participants with account balances 2010-01-01 5,881
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 9,426
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 5,013
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 2,947
Total of all active and inactive participants 2009-01-01 7,960
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 92
Total participants 2009-01-01 8,052
Number of participants with account balances 2009-01-01 6,391
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4,299
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	4,570
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	2,239
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	2,004
Total of all active and inactive participants	2014-01-01	4,243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	45
Total participants	2014-01-01	4,288
Number of participants with account balances	2014-01-01	3,892
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	5,370
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2,330
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	2,128
Total of all active and inactive participants	2013-01-01	4,458
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	38
Total participants	2013-01-01	4,496
Number of participants with account balances	2013-01-01	4,175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	6,828
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	3,443
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	2,622
Total of all active and inactive participants	2012-01-01	6,065
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	52
Total participants	2012-01-01	6,117
Number of participants with account balances	2012-01-01	5,299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	6,812
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	4,030
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	2,724
Total of all active and inactive participants	2011-01-01	6,754
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	50
Total participants	2011-01-01	6,804
Number of participants with account balances	2011-01-01	5,504
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	6,391
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	4,567
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	2,798
Total of all active and inactive participants	2010-01-01	7,365
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	52
Total participants	2010-01-01	7,417
Number of participants with account balances	2010-01-01	5,881
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	9,426
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	5,013
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	2,947
Total of all active and inactive participants	2009-01-01	7,960
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	92
Total participants	2009-01-01	8,052
Number of participants with account balances	2009-01-01	6,391
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN

Measure	Date	Value
2015 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$279,139,896
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$423,652
Total income from all sources (including contributions)	2015-12-31	$-17,588,725
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$36,064,916
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$36,585,263
Expenses. Certain deemed distributions of participant loans	2015-12-31	$-901,489
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$5,244,401
Value of total assets at end of year	2015-12-31	$0
Value of total assets at beginning of year	2015-12-31	$333,217,189
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$381,142
Total interest from all sources	2015-12-31	$328,843
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$85,557
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$5,244,401
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$4,636,983
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$7,316,622
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$480,247
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$423,652
Other income not declared elsewhere	2015-12-31	$-730,176
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$41,756
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-53,653,641
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$332,793,537
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$211,391
Interest on participant loans	2015-12-31	$187,029
Interest earned on other investments	2015-12-31	$141,814
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$320,741,581
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$36,585,263
Contract administrator fees	2015-12-31	$84,194
Did the plan have assets held for investment	2015-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	PRICEWATERHOUSECOOPERS LLC
Accountancy firm EIN	2015-12-31	134008324
2014 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$423,652
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$21,657,156
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$39,890,084
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$39,509,960
Expenses. Certain deemed distributions of participant loans	2014-12-31	$-5,070
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$6,077,841
Value of total assets at end of year	2014-12-31	$333,217,189
Value of total assets at beginning of year	2014-12-31	$351,026,465
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$385,194
Total interest from all sources	2014-12-31	$388,574
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$82,435
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2014-12-31	$9,301
Contributions received from participants	2014-12-31	$6,077,841
Participant contributions at end of year	2014-12-31	$4,636,983
Participant contributions at beginning of year	2014-12-31	$4,691,397
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$7,316,622
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$6,052,799
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$480,247
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$423,652
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$-340,038
Administrative expenses (other) incurred	2014-12-31	$12,397
Total non interest bearing cash at end of year	2014-12-31	$41,756
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-18,232,928
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$332,793,537
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$351,026,465
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$190,961
Interest on participant loans	2014-12-31	$202,386
Interest earned on other investments	2014-12-31	$186,188
Value of interest in master investment trust accounts at end of year	2014-12-31	$320,741,581
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$340,282,269
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$39,509,960
Contract administrator fees	2014-12-31	$99,401
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2014-12-31	134008324
2013 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$58,940,182
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$38,426,035
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$34,662,845
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$35,093,346
Expenses. Certain deemed distributions of participant loans	2013-12-31	$-781,710
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$6,020,848
Value of total assets at end of year	2013-12-31	$351,026,465
Value of total assets at beginning of year	2013-12-31	$406,203,457
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$351,209
Total interest from all sources	2013-12-31	$213,215
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Administrative expenses professional fees incurred	2013-12-31	$87,146
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2013-12-31	$9,301
Contributions received from participants	2013-12-31	$6,020,848
Participant contributions at end of year	2013-12-31	$4,691,397
Participant contributions at beginning of year	2013-12-31	$5,339,295
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$6,052,799
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$5,044,436
Other income not declared elsewhere	2013-12-31	$1,056,965
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,763,190
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$351,026,465
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$406,203,457
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$182,182
Interest on participant loans	2013-12-31	$213,215
Value of interest in master investment trust accounts at end of year	2013-12-31	$340,282,269
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$395,819,726
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$35,093,346
Contract administrator fees	2013-12-31	$81,881
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	PRICEWATERHOUSECOOPERS LLC
Accountancy firm EIN	2013-12-31	134008324
2012 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$33,309,920
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$38,219,454
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$37,689,887
Expenses. Certain deemed distributions of participant loans	2012-12-31	$99,440
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$8,966,812
Value of total assets at end of year	2012-12-31	$406,203,457
Value of total assets at beginning of year	2012-12-31	$411,112,991
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$430,127
Total interest from all sources	2012-12-31	$230,869
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$75,517
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$8,966,812
Participant contributions at end of year	2012-12-31	$5,339,295
Participant contributions at beginning of year	2012-12-31	$4,925,311
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$3,203
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$5,044,436
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$4,327,561
Other income not declared elsewhere	2012-12-31	$490,203
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-4,909,534
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$406,203,457
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$411,112,991
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$147,419
Interest on participant loans	2012-12-31	$230,869
Value of interest in master investment trust accounts at end of year	2012-12-31	$395,819,726
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$401,856,916
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$37,689,887
Contract administrator fees	2012-12-31	$207,191
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2012-12-31	134008324
2011 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$19,132
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$10,625,701
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$47,541,727
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$47,031,446
Expenses. Certain deemed distributions of participant loans	2011-12-31	$241,008
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$11,032,403
Value of total assets at end of year	2011-12-31	$411,112,991
Value of total assets at beginning of year	2011-12-31	$448,009,885
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$269,273
Total interest from all sources	2011-12-31	$250,887
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$41,077
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$11,032,403
Participant contributions at end of year	2011-12-31	$4,925,311
Participant contributions at beginning of year	2011-12-31	$5,004,319
Participant contributions at end of year	2011-12-31	$3,203
Participant contributions at beginning of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$4,327,561
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$5,158,990
Other income not declared elsewhere	2011-12-31	$-506,801
Administrative expenses (other) incurred	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-36,916,026
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$411,112,991
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$448,009,885
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$104,290
Interest on participant loans	2011-12-31	$250,887
Value of interest in master investment trust accounts at end of year	2011-12-31	$401,856,916
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$437,846,576
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$47,031,446
Contract administrator fees	2011-12-31	$123,906
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2011-12-31	134008324
2010 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$119,050,737
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$35,052,142
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$34,615,296
Expenses. Certain deemed distributions of participant loans	2010-12-31	$184,550
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$12,787,103
Value of total assets at end of year	2010-12-31	$448,009,885
Value of total assets at beginning of year	2010-12-31	$364,011,290
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$252,296
Total interest from all sources	2010-12-31	$308,748
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$68,238
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$11,563,571
Participant contributions at end of year	2010-12-31	$5,004,319
Participant contributions at beginning of year	2010-12-31	$5,423,208
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$2,852
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$5,158,990
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$5,035,573
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,223,532
Other income not declared elsewhere	2010-12-31	$676,508
Administrative expenses (other) incurred	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$83,998,595
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$448,009,885
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$364,011,290
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$46,301
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$0
Interest on participant loans	2010-12-31	$308,748
Value of interest in master investment trust accounts at end of year	2010-12-31	$437,846,576
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$353,549,657
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$34,615,296
Contract administrator fees	2010-12-31	$137,757
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2010-12-31	134008324
2009 : CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN

2015: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CATERPILLAR INC.
Employer identification number (EIN):	370602744
NAIC Classification:	333100

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1986-05-07
Company Identification Number:	0006917606
Legal Registered Office Address:	100 NE ADAMS ST PEORIA United States of America (USA) 61629