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CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 401k Plan overview

Plan NameCATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN
Plan identification number 033

CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • 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 RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0332023-01-01STEPHEN ROBERTSON2024-07-30
0332022-01-01STEPHEN ROBERTSON2023-08-11
0332021-01-01STEPHEN ROBERTSON2022-07-06
0332020-01-01STEPHEN ROBERTSON2021-07-21
0332019-01-01STEPHEN ROBERTSON2020-08-03
0332018-01-01
0332017-01-01
0332016-01-01
0332015-01-01
0332015-01-01LEANNE MORITZ2016-10-12
0332014-01-01LEANNE MORITZ
0332014-01-01FILED WITH AUTHORIZED SIGNATURE
0332014-01-01
0332013-01-01
0332012-01-01FILED WITH AUTHORIZED SIGNATURE
0332011-01-01LEANNE K. MORITZ
0332009-01-01JONATHAN D GINZEL JONATHAN D GINZEL2010-10-14

Plan Statistics for CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN

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

Measure Date Value
2023: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-019,682
Total number of active participants reported on line 7a of the Form 55002023-01-017,176
Number of retired or separated participants receiving benefits2023-01-016
Number of other retired or separated participants entitled to future benefits2023-01-013,100
Total of all active and inactive participants2023-01-0110,282
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-01156
Total participants2023-01-0110,438
Number of participants with account balances2023-01-0110,393
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-01736
2022: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-019,291
Total number of active participants reported on line 7a of the Form 55002022-01-017,079
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-013,144
Total of all active and inactive participants2022-01-0110,223
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-01142
Total participants2022-01-0110,365
Number of participants with account balances2022-01-0110,274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-01746
2021: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-018,435
Total number of active participants reported on line 7a of the Form 55002021-01-016,560
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-013,148
Total of all active and inactive participants2021-01-019,708
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-01123
Total participants2021-01-019,831
Number of participants with account balances2021-01-019,734
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-01371
2020: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-019,318
Total number of active participants reported on line 7a of the Form 55002020-01-016,240
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-013,041
Total of all active and inactive participants2020-01-019,281
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-01131
Total participants2020-01-019,412
Number of participants with account balances2020-01-019,296
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-01491
2019: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-0110,797
Total number of active participants reported on line 7a of the Form 55002019-01-017,092
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-013,074
Total of all active and inactive participants2019-01-0110,166
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-01114
Total participants2019-01-0110,280
Number of participants with account balances2019-01-0110,259
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-01627
2018: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-017,901
Total number of active participants reported on line 7a of the Form 55002018-01-017,171
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-012,416
Total of all active and inactive participants2018-01-019,587
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0191
Total participants2018-01-019,678
Number of participants with account balances2018-01-018,713
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-01307
2017: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-018,470
Total number of active participants reported on line 7a of the Form 55002017-01-015,943
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-012,700
Total of all active and inactive participants2017-01-018,643
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0193
Total participants2017-01-018,736
Number of participants with account balances2017-01-019,465
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0188
2016: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-019,369
Total number of active participants reported on line 7a of the Form 55002016-01-016,466
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-012,688
Total of all active and inactive participants2016-01-019,154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-01113
Total participants2016-01-019,267
Number of participants with account balances2016-01-019,103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0128
2015: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-018,067
Total number of active participants reported on line 7a of the Form 55002015-01-016,482
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-012,665
Total of all active and inactive participants2015-01-019,147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0182
Total participants2015-01-019,229
Number of participants with account balances2015-01-019,431
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0121
2014: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-017,839
Total number of active participants reported on line 7a of the Form 55002014-01-015,949
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01835
Total of all active and inactive participants2014-01-016,784
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-0142
Total participants2014-01-016,826
Number of participants with account balances2014-01-016,517
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-01161
2013: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-018,079
Total number of active participants reported on line 7a of the Form 55002013-01-016,829
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01837
Total of all active and inactive participants2013-01-017,666
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-0143
Total participants2013-01-017,709
Number of participants with account balances2013-01-017,164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-01243
2012: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-016,827
Total number of active participants reported on line 7a of the Form 55002012-01-016,184
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-011,186
Total of all active and inactive participants2012-01-017,370
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-0130
Total participants2012-01-017,400
Number of participants with account balances2012-01-017,252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-01315
2011: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-016,821
Total number of active participants reported on line 7a of the Form 55002011-01-016,461
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01349
Total of all active and inactive participants2011-01-016,810
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0117
Total participants2011-01-016,827
Number of participants with account balances2011-01-016,616
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0111
2009: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-018,014
Total number of active participants reported on line 7a of the Form 55002009-01-016,451
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01811
Total of all active and inactive participants2009-01-017,262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-0121
Total participants2009-01-017,283
Number of participants with account balances2009-01-017,240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-01560

Financial Data on CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN

Measure Date Value
2023 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$165,469
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$124,869
Total income from all sources (including contributions)2023-12-31$148,627,496
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$48,292,853
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$47,769,864
Expenses. Certain deemed distributions of participant loans2023-12-31$-196,822
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$46,371,297
Value of total assets at end of year2023-12-31$678,518,596
Value of total assets at beginning of year2023-12-31$578,143,353
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$719,811
Total interest from all sources2023-12-31$1,379,019
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$45,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$21,706,428
Participant contributions at end of year2023-12-31$17,363,716
Participant contributions at beginning of year2023-12-31$15,561,898
Participant contributions at end of year2023-12-31$70
Participant contributions at beginning of year2023-12-31$0
Assets. Other investments not covered elsewhere at end of year2023-12-31$18,693,660
Assets. Other investments not covered elsewhere at beginning of year2023-12-31$13,314,276
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$413,734
Value of other receiveables (less allowance for doubtful accounts) at end of year2023-12-31$146,397
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2023-12-31$193,236
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2023-12-31$165,469
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2023-12-31$124,869
Other income not declared elsewhere2023-12-31$4,461,929
Administrative expenses (other) incurred2023-12-31$4,319
Total non interest bearing cash at end of year2023-12-31$26,815
Total non interest bearing cash at beginning of year2023-12-31$43,149
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$100,334,643
Value of net assets at end of year (total assets less liabilities)2023-12-31$678,353,127
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$578,018,484
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$216,009
Interest on participant loans2023-12-31$948,209
Interest earned on other investments2023-12-31$430,810
Value of interest in master investment trust accounts at end of year2023-12-31$632,815,548
Value of interest in master investment trust accounts at beginning of year2023-12-31$541,488,556
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31Yes
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$24,251,135
Employer contributions (assets) at end of year2023-12-31$9,472,390
Employer contributions (assets) at beginning of year2023-12-31$7,542,238
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$47,769,864
Contract administrator fees2023-12-31$190,275
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2023-12-31134008324
2022 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets from this plan2022-12-31$5,050
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$124,869
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$305,642
Total income from all sources (including contributions)2022-12-31$-18,354,022
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$47,156,785
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$46,336,703
Expenses. Certain deemed distributions of participant loans2022-12-31$83,219
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$32,943,009
Value of total assets at end of year2022-12-31$578,143,353
Value of total assets at beginning of year2022-12-31$643,839,983
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$736,863
Total interest from all sources2022-12-31$1,083,685
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Administrative expenses professional fees incurred2022-12-31$258,929
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$45,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$18,424,237
Participant contributions at end of year2022-12-31$15,561,898
Participant contributions at beginning of year2022-12-31$16,151,058
Participant contributions at end of year2022-12-31$0
Participant contributions at beginning of year2022-12-31$64
Assets. Other investments not covered elsewhere at end of year2022-12-31$13,314,276
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$19,614,159
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$578,406
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$193,236
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$143,010
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$124,869
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$305,642
Other income not declared elsewhere2022-12-31$-6,807,835
Total non interest bearing cash at end of year2022-12-31$43,149
Total non interest bearing cash at beginning of year2022-12-31$64,604
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-65,510,807
Value of net assets at end of year (total assets less liabilities)2022-12-31$578,018,484
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$643,534,341
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$344,815
Interest on participant loans2022-12-31$749,660
Interest earned on other investments2022-12-31$334,025
Value of interest in master investment trust accounts at end of year2022-12-31$541,488,556
Value of interest in master investment trust accounts at beginning of year2022-12-31$601,570,922
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$13,940,366
Employer contributions (assets) at end of year2022-12-31$7,542,238
Employer contributions (assets) at beginning of year2022-12-31$6,296,166
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$46,336,703
Contract administrator fees2022-12-31$133,119
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2022-12-31134008324
2021 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets from this plan2021-12-31$40,326
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$305,642
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$744,144
Total income from all sources (including contributions)2021-12-31$94,891,477
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$58,734,927
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$58,078,550
Expenses. Certain deemed distributions of participant loans2021-12-31$-135,305
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$26,882,592
Value of total assets at end of year2021-12-31$643,839,983
Value of total assets at beginning of year2021-12-31$608,162,261
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$791,682
Total interest from all sources2021-12-31$1,222,186
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Administrative expenses professional fees incurred2021-12-31$276,429
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$45,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$15,390,651
Participant contributions at end of year2021-12-31$16,151,058
Participant contributions at beginning of year2021-12-31$17,523,324
Participant contributions at end of year2021-12-31$64
Participant contributions at beginning of year2021-12-31$17
Assets. Other investments not covered elsewhere at end of year2021-12-31$19,614,159
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$15,581,503
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$254,105
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$143,010
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$862,825
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$305,642
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$744,144
Other income not declared elsewhere2021-12-31$2,383,232
Total non interest bearing cash at end of year2021-12-31$64,604
Total non interest bearing cash at beginning of year2021-12-31$144,921
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$36,156,550
Value of net assets at end of year (total assets less liabilities)2021-12-31$643,534,341
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$607,418,117
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$371,799
Interest on participant loans2021-12-31$844,614
Interest earned on other investments2021-12-31$377,572
Value of interest in master investment trust accounts at end of year2021-12-31$601,570,922
Value of interest in master investment trust accounts at beginning of year2021-12-31$568,021,244
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$11,237,836
Employer contributions (assets) at end of year2021-12-31$6,296,166
Employer contributions (assets) at beginning of year2021-12-31$6,028,427
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$58,078,550
Contract administrator fees2021-12-31$143,454
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2021-12-31134008324
2020 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$744,144
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$49,084
Total income from all sources (including contributions)2020-12-31$106,902,879
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$85,816,055
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$85,153,777
Expenses. Certain deemed distributions of participant loans2020-12-31$-129,793
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$24,894,104
Value of total assets at end of year2020-12-31$608,162,261
Value of total assets at beginning of year2020-12-31$586,380,377
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$792,071
Total interest from all sources2020-12-31$1,258,802
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$290,392
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$45,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$14,827,845
Participant contributions at end of year2020-12-31$17,523,324
Participant contributions at beginning of year2020-12-31$19,769,148
Participant contributions at end of year2020-12-31$17
Participant contributions at beginning of year2020-12-31$0
Assets. Other investments not covered elsewhere at end of year2020-12-31$15,581,503
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$12,035,235
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$862,825
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$66,634
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$744,144
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$49,084
Other income not declared elsewhere2020-12-31$3,576,937
Total non interest bearing cash at end of year2020-12-31$144,921
Total non interest bearing cash at beginning of year2020-12-31$7,449
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$21,086,824
Value of net assets at end of year (total assets less liabilities)2020-12-31$607,418,117
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$586,331,293
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$347,401
Interest on participant loans2020-12-31$1,024,864
Interest earned on other investments2020-12-31$233,938
Value of interest in master investment trust accounts at end of year2020-12-31$568,021,244
Value of interest in master investment trust accounts at beginning of year2020-12-31$547,199,557
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$10,066,259
Employer contributions (assets) at end of year2020-12-31$6,028,427
Employer contributions (assets) at beginning of year2020-12-31$7,302,354
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$85,153,777
Contract administrator fees2020-12-31$154,278
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2020-12-31134008324
2019 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$49,084
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$293,917
Total income from all sources (including contributions)2019-12-31$122,345,967
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$64,809,179
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$63,890,775
Expenses. Certain deemed distributions of participant loans2019-12-31$-104,063
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$30,260,082
Value of total assets at end of year2019-12-31$586,380,377
Value of total assets at beginning of year2019-12-31$529,088,422
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$1,022,467
Total interest from all sources2019-12-31$1,305,776
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Administrative expenses professional fees incurred2019-12-31$377,031
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$45,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$17,521,995
Participant contributions at end of year2019-12-31$19,769,148
Participant contributions at beginning of year2019-12-31$20,697,159
Assets. Other investments not covered elsewhere at end of year2019-12-31$12,035,235
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$9,995,998
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$66,634
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$186,666
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$49,084
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$293,917
Other income not declared elsewhere2019-12-31$1,868,223
Total non interest bearing cash at end of year2019-12-31$7,449
Total non interest bearing cash at beginning of year2019-12-31$110,091
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$57,536,788
Value of net assets at end of year (total assets less liabilities)2019-12-31$586,331,293
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$528,794,505
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$407,982
Interest on participant loans2019-12-31$1,040,763
Interest earned on other investments2019-12-31$265,013
Value of interest in master investment trust accounts at end of year2019-12-31$547,199,557
Value of interest in master investment trust accounts at beginning of year2019-12-31$490,473,904
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$12,738,087
Employer contributions (assets) at end of year2019-12-31$7,302,354
Employer contributions (assets) at beginning of year2019-12-31$7,624,604
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$63,890,775
Contract administrator fees2019-12-31$237,454
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2019-12-31134008324
2018 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets from this plan2018-12-31$14,860
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$293,917
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$324,820
Total income from all sources (including contributions)2018-12-31$-12,883,277
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$56,563,781
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$55,675,393
Expenses. Certain deemed distributions of participant loans2018-12-31$-29,741
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$32,407,122
Value of total assets at end of year2018-12-31$529,088,422
Value of total assets at beginning of year2018-12-31$598,581,243
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$918,129
Total interest from all sources2018-12-31$1,364,495
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Administrative expenses professional fees incurred2018-12-31$340,277
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$45,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$18,539,573
Participant contributions at end of year2018-12-31$20,697,159
Participant contributions at beginning of year2018-12-31$21,995,233
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$592,946
Assets. Other investments not covered elsewhere at end of year2018-12-31$9,995,998
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$11,242,306
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$186,666
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$224,674
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$293,917
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$324,820
Other income not declared elsewhere2018-12-31$-1,714,411
Total non interest bearing cash at end of year2018-12-31$110,091
Total non interest bearing cash at beginning of year2018-12-31$17,620
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-69,447,058
Value of net assets at end of year (total assets less liabilities)2018-12-31$528,794,505
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$598,256,423
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$350,552
Interest on participant loans2018-12-31$1,063,651
Interest earned on other investments2018-12-31$300,844
Value of interest in master investment trust accounts at end of year2018-12-31$490,473,904
Value of interest in master investment trust accounts at beginning of year2018-12-31$557,692,310
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$13,867,549
Employer contributions (assets) at end of year2018-12-31$7,624,604
Employer contributions (assets) at beginning of year2018-12-31$6,816,154
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$55,675,393
Contract administrator fees2018-12-31$227,300
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2018-12-31134008324
2017 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$71
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$324,820
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$170,816
Total income from all sources (including contributions)2017-12-31$144,646,011
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$52,730,377
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$51,709,170
Expenses. Certain deemed distributions of participant loans2017-12-31$128,820
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$26,597,396
Value of total assets at end of year2017-12-31$598,581,243
Value of total assets at beginning of year2017-12-31$506,511,534
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$892,387
Total interest from all sources2017-12-31$1,280,347
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Administrative expenses professional fees incurred2017-12-31$356,000
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$45,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$14,913,768
Participant contributions at end of year2017-12-31$21,995,233
Participant contributions at beginning of year2017-12-31$21,481,642
Participant contributions at end of year2017-12-31$592,946
Participant contributions at beginning of year2017-12-31$472,980
Assets. Other investments not covered elsewhere at end of year2017-12-31$11,242,306
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$9,314,410
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$11,128
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$224,674
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$224,247
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-12-31$324,820
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$170,816
Other income not declared elsewhere2017-12-31$849,401
Total non interest bearing cash at end of year2017-12-31$17,620
Total non interest bearing cash at beginning of year2017-12-31$18,351
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$91,915,634
Value of net assets at end of year (total assets less liabilities)2017-12-31$598,256,423
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$506,340,718
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$313,596
Interest on participant loans2017-12-31$934,108
Interest earned on other investments2017-12-31$346,239
Value of interest in master investment trust accounts at end of year2017-12-31$557,692,310
Value of interest in master investment trust accounts at beginning of year2017-12-31$468,726,424
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$11,672,500
Employer contributions (assets) at end of year2017-12-31$6,816,154
Employer contributions (assets) at beginning of year2017-12-31$6,273,480
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$51,709,170
Contract administrator fees2017-12-31$222,791
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2017-12-31134008324
2016 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$170,816
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$224,561
Total income from all sources (including contributions)2016-12-31$82,179,127
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$53,680,391
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$52,814,102
Expenses. Certain deemed distributions of participant loans2016-12-31$86,875
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$23,501,538
Value of total assets at end of year2016-12-31$506,511,534
Value of total assets at beginning of year2016-12-31$478,066,543
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$779,414
Total interest from all sources2016-12-31$1,078,634
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$162,372
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$45,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$13,194,097
Participant contributions at end of year2016-12-31$21,481,642
Participant contributions at beginning of year2016-12-31$22,345,852
Participant contributions at end of year2016-12-31$472,980
Participant contributions at beginning of year2016-12-31$278,450
Assets. Other investments not covered elsewhere at end of year2016-12-31$9,314,410
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$7,900,494
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$224,247
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$359,087
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$170,816
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$224,561
Other income not declared elsewhere2016-12-31$362,312
Administrative expenses (other) incurred2016-12-31$9
Total non interest bearing cash at end of year2016-12-31$18,351
Total non interest bearing cash at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$28,498,736
Value of net assets at end of year (total assets less liabilities)2016-12-31$506,340,718
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$477,841,982
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$423,728
Interest on participant loans2016-12-31$890,992
Interest earned on other investments2016-12-31$187,642
Value of interest in master investment trust accounts at end of year2016-12-31$468,726,424
Value of interest in master investment trust accounts at beginning of year2016-12-31$434,626,384
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$10,307,441
Employer contributions (assets) at end of year2016-12-31$6,273,480
Employer contributions (assets) at beginning of year2016-12-31$12,556,276
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$52,814,102
Contract administrator fees2016-12-31$193,305
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2016-12-31134008324
2015 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$279,139,896
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$224,561
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$32,857
Total income from all sources (including contributions)2015-12-31$6,183,056
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$19,432,885
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$18,467,523
Expenses. Certain deemed distributions of participant loans2015-12-31$489,983
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$16,215,039
Value of total assets at end of year2015-12-31$478,066,543
Value of total assets at beginning of year2015-12-31$211,984,772
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$475,379
Total interest from all sources2015-12-31$776,940
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 year2015-12-31No
Administrative expenses professional fees incurred2015-12-31$88,434
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$45,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$8,545,493
Participant contributions at end of year2015-12-31$22,345,852
Participant contributions at beginning of year2015-12-31$18,253,305
Participant contributions at end of year2015-12-31$278,450
Participant contributions at beginning of year2015-12-31$0
Assets. Other investments not covered elsewhere at end of year2015-12-31$7,900,494
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$1,289,532
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$108,641
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$359,087
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$31,837
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$224,561
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$32,857
Other income not declared elsewhere2015-12-31$-388,496
Administrative expenses (other) incurred2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-13,249,829
Value of net assets at end of year (total assets less liabilities)2015-12-31$477,841,982
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$211,951,915
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$246,987
Interest on participant loans2015-12-31$714,055
Interest earned on other investments2015-12-31$62,885
Value of interest in master investment trust accounts at end of year2015-12-31$434,626,384
Value of interest in master investment trust accounts at beginning of year2015-12-31$179,311,840
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$7,560,905
Employer contributions (assets) at end of year2015-12-31$12,556,276
Employer contributions (assets) at beginning of year2015-12-31$13,098,258
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$18,467,523
Contract administrator fees2015-12-31$139,958
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2015-12-31134008324
2014 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$32,857
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$28,155,242
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$21,801,376
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$21,471,947
Expenses. Certain deemed distributions of participant loans2014-12-31$-200,919
Value of total corrective distributions2014-12-31$8,274
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$17,691,279
Value of total assets at end of year2014-12-31$211,984,772
Value of total assets at beginning of year2014-12-31$205,598,049
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$522,074
Total interest from all sources2014-12-31$728,954
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 year2014-12-31No
Administrative expenses professional fees incurred2014-12-31$90,683
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$45,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31Yes
Amount of non-exempt transactions with any party-in-interest2014-12-31$11,829
Contributions received from participants2014-12-31$9,400,180
Participant contributions at end of year2014-12-31$18,253,305
Participant contributions at beginning of year2014-12-31$16,065,699
Assets. Other investments not covered elsewhere at end of year2014-12-31$1,289,532
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$611,509
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$31,837
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$32,857
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Other income not declared elsewhere2014-12-31$-95,301
Administrative expenses (other) incurred2014-12-31$19,139
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$6,353,866
Value of net assets at end of year (total assets less liabilities)2014-12-31$211,951,915
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$205,598,049
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$254,593
Interest on participant loans2014-12-31$691,441
Interest earned on other investments2014-12-31$37,513
Value of interest in master investment trust accounts at end of year2014-12-31$179,311,840
Value of interest in master investment trust accounts at beginning of year2014-12-31$176,006,353
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$8,291,099
Employer contributions (assets) at end of year2014-12-31$13,098,258
Employer contributions (assets) at beginning of year2014-12-31$12,914,488
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$21,471,947
Contract administrator fees2014-12-31$157,659
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2014-12-31134008324
2013 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$58,946,155
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$37,227,075
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$16,732,434
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$16,608,019
Expenses. Certain deemed distributions of participant loans2013-12-31$-280,252
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$17,779,249
Value of total assets at end of year2013-12-31$205,598,049
Value of total assets at beginning of year2013-12-31$126,157,253
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$404,667
Total interest from all sources2013-12-31$551,471
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 year2013-12-31No
Administrative expenses professional fees incurred2013-12-31$80,834
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$45,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31Yes
Amount of non-exempt transactions with any party-in-interest2013-12-31$11,829
Contributions received from participants2013-12-31$9,700,320
Participant contributions at end of year2013-12-31$16,065,699
Participant contributions at beginning of year2013-12-31$11,599,831
Assets. Other investments not covered elsewhere at end of year2013-12-31$611,509
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$280,202
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$3,216,103
Other income not declared elsewhere2013-12-31$-12,093
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$20,494,641
Value of net assets at end of year (total assets less liabilities)2013-12-31$205,598,049
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$126,157,253
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$209,486
Interest on participant loans2013-12-31$551,471
Value of interest in master investment trust accounts at end of year2013-12-31$176,006,353
Value of interest in master investment trust accounts at beginning of year2013-12-31$97,135,620
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$8,078,929
Employer contributions (assets) at end of year2013-12-31$12,914,488
Employer contributions (assets) at beginning of year2013-12-31$13,925,497
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$16,608,019
Contract administrator fees2013-12-31$114,347
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2013-12-31134008324
2012 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$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$32,437,458
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$6,975,685
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$6,444,870
Expenses. Certain deemed distributions of participant loans2012-12-31$280,809
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$25,082,669
Value of total assets at end of year2012-12-31$126,157,253
Value of total assets at beginning of year2012-12-31$100,695,480
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$250,006
Total interest from all sources2012-12-31$426,995
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 year2012-12-31No
Administrative expenses professional fees incurred2012-12-31$51,733
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$45,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$11,135,257
Participant contributions at end of year2012-12-31$11,599,831
Participant contributions at beginning of year2012-12-31$8,779,786
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$3,453
Assets. Other investments not covered elsewhere at end of year2012-12-31$280,202
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$75,850
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$3,216,103
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$3,216,103
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$0
Other income not declared elsewhere2012-12-31$-67,986
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$25,461,773
Value of net assets at end of year (total assets less liabilities)2012-12-31$126,157,253
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$100,695,480
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$136,963
Interest on participant loans2012-12-31$426,995
Value of interest in master investment trust accounts at end of year2012-12-31$97,135,620
Value of interest in master investment trust accounts at beginning of year2012-12-31$78,384,884
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$10,731,309
Employer contributions (assets) at end of year2012-12-31$13,925,497
Employer contributions (assets) at beginning of year2012-12-31$13,451,507
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$6,444,870
Contract administrator fees2012-12-31$61,310
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2012-12-31134008324
2011 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets from this plan2011-12-31$15,601
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$27,673,821
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$5,456,405
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$4,852,894
Expenses. Certain deemed distributions of participant loans2011-12-31$550,047
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$27,974,999
Value of total assets at end of year2011-12-31$100,695,480
Value of total assets at beginning of year2011-12-31$78,493,665
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$53,464
Total interest from all sources2011-12-31$330,126
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 year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$9,629
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$45,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$10,400,709
Participant contributions at end of year2011-12-31$8,779,786
Participant contributions at beginning of year2011-12-31$6,455,694
Participant contributions at end of year2011-12-31$3,453
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$75,850
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$67,480
Other income not declared elsewhere2011-12-31$-19,121
Administrative expenses (other) incurred2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$22,217,416
Value of net assets at end of year (total assets less liabilities)2011-12-31$100,695,480
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$78,493,665
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$35,183
Interest on participant loans2011-12-31$330,126
Value of interest in master investment trust accounts at end of year2011-12-31$78,384,884
Value of interest in master investment trust accounts at beginning of year2011-12-31$67,614,085
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$17,574,290
Employer contributions (assets) at end of year2011-12-31$13,451,507
Employer contributions (assets) at beginning of year2011-12-31$4,356,406
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$4,852,894
Contract administrator fees2011-12-31$8,652
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2011-12-31134008324
2010 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$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$29,255,012
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$6,865,122
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$6,531,723
Expenses. Certain deemed distributions of participant loans2010-12-31$293,361
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$15,100,922
Value of total assets at end of year2010-12-31$78,493,665
Value of total assets at beginning of year2010-12-31$56,103,775
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$40,038
Total interest from all sources2010-12-31$222,934
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 year2010-12-31No
Administrative expenses professional fees incurred2010-12-31$18,783
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$45,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$7,317,441
Participant contributions at end of year2010-12-31$6,455,694
Participant contributions at beginning of year2010-12-31$4,059,890
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$771
Assets. Other investments not covered elsewhere at end of year2010-12-31$67,480
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$51,600
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$398,571
Other income not declared elsewhere2010-12-31$8,571
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$22,389,890
Value of net assets at end of year (total assets less liabilities)2010-12-31$78,493,665
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$56,103,775
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$13,663
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$0
Interest on participant loans2010-12-31$222,934
Value of interest in master investment trust accounts at end of year2010-12-31$67,614,085
Value of interest in master investment trust accounts at beginning of year2010-12-31$49,253,652
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$7,384,910
Employer contributions (assets) at end of year2010-12-31$4,356,406
Employer contributions (assets) at beginning of year2010-12-31$2,737,862
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$6,531,723
Contract administrator fees2010-12-31$7,592
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2010-12-31134008324
2009 : CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN

2023: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedYes
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: CATERPILLAR INC. TAX DEFERRED RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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