401k Plan data: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN plan

CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 401k Plan overview

Plan Name	CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN
Plan identification number	036

CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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).
The employer maintaining this ESOP is an S Corporation
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 GLOBAL MINING LEGACY SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
036 2016-01-01
036 2016-01-01
036 2015-01-01
036 2015-01-01
036 2014-01-01 LEANNE MORITZ
036 2014-01-01
036 2013-01-01
036 2012-01-01 LEANNE MORITZ LEANNE MORITZ 2014-07-03

Plan Statistics for CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN

401k plan membership statisitcs for CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN

Measure Date Value
2016: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 353
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 375
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 310
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 43
Total of all active and inactive participants 2015-01-01 353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 353
Number of participants with account balances 2015-01-01 241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 14
2014: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 435
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 299
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 75
Total of all active and inactive participants 2014-01-01 374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 374
Number of participants with account balances 2014-01-01 294
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 75
2013: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 382
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 403
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 27
Total of all active and inactive participants 2013-01-01 430
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 430
Number of participants with account balances 2013-01-01 393
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 41
2012: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 3,003
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2,507
Number of retired or separated participants receiving benefits 2012-01-01 26
Number of other retired or separated participants entitled to future benefits 2012-01-01 257
Total of all active and inactive participants 2012-01-01 2,790
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 3
Total participants 2012-01-01 2,793
Number of participants with account balances 2012-01-01 1,241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 72

Measure	Date	Value
2016: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	353
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	375
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	310
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	43
Total of all active and inactive participants	2015-01-01	353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	353
Number of participants with account balances	2015-01-01	241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	14
2014: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	435
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	299
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	75
Total of all active and inactive participants	2014-01-01	374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	374
Number of participants with account balances	2014-01-01	294
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	75
2013: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	382
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	403
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	27
Total of all active and inactive participants	2013-01-01	430
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	430
Number of participants with account balances	2013-01-01	393
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	41
2012: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	3,003
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2,507
Number of retired or separated participants receiving benefits	2012-01-01	26
Number of other retired or separated participants entitled to future benefits	2012-01-01	257
Total of all active and inactive participants	2012-01-01	2,790
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	3
Total participants	2012-01-01	2,793
Number of participants with account balances	2012-01-01	1,241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	72

Financial Data on CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN

Measure	Date	Value
2016 : CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-03-31	$0
Total transfer of assets from this plan	2016-03-31	$4,667,888
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-03-31	$0
Total income from all sources (including contributions)	2016-03-31	$164,483
Total loss/gain on sale of assets	2016-03-31	$0
Total of all expenses incurred	2016-03-31	$462,575
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-03-31	$457,760
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-03-31	$129,255
Value of total assets at end of year	2016-03-31	$0
Value of total assets at beginning of year	2016-03-31	$4,965,980
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-03-31	$4,815
Total interest from all sources	2016-03-31	$4,480
Total dividends received (eg from common stock, registered investment company shares)	2016-03-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-03-31	No
Administrative expenses professional fees incurred	2016-03-31	$511
Was this plan covered by a fidelity bond	2016-03-31	Yes
Value of fidelity bond cover	2016-03-31	$45,000,000
If this is an individual account plan, was there a blackout period	2016-03-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-03-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-03-31	No
Contributions received from participants	2016-03-31	$76,162
Participant contributions at end of year	2016-03-31	$0
Participant contributions at beginning of year	2016-03-31	$429,503
Participant contributions at end of year	2016-03-31	$0
Participant contributions at beginning of year	2016-03-31	$7,328
Assets. Other investments not covered elsewhere at end of year	2016-03-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-03-31	$5,953
Other income not declared elsewhere	2016-03-31	$-3,255
Total non interest bearing cash at end of year	2016-03-31	$0
Total non interest bearing cash at beginning of year	2016-03-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-03-31	No
Value of net income/loss	2016-03-31	$-298,092
Value of net assets at end of year (total assets less liabilities)	2016-03-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-03-31	$4,965,980
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-03-31	No
Were any leases to which the plan was party in default or uncollectible	2016-03-31	No
Investment advisory and management fees	2016-03-31	$2,745
Interest on participant loans	2016-03-31	$4,480
Value of interest in master investment trust accounts at end of year	2016-03-31	$0
Value of interest in master investment trust accounts at beginning of year	2016-03-31	$4,515,856
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-03-31	No
Was there a failure to transmit to the plan any participant contributions	2016-03-31	No
Has the plan failed to provide any benefit when due under the plan	2016-03-31	No
Contributions received in cash from employer	2016-03-31	$53,093
Employer contributions (assets) at end of year	2016-03-31	$0
Employer contributions (assets) at beginning of year	2016-03-31	$7,340
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-03-31	$457,760
Contract administrator fees	2016-03-31	$1,559
Did the plan have assets held for investment	2016-03-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-03-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-03-31	No
Opinion of an independent qualified public accountant for this plan	2016-03-31	Unqualified
Accountancy firm name	2016-03-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2016-03-31	134008324
2015 : CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$643,737
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$891,856
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$824,964
Expenses. Certain deemed distributions of participant loans	2015-12-31	$44,360
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$719,642
Value of total assets at end of year	2015-12-31	$4,965,980
Value of total assets at beginning of year	2015-12-31	$5,214,099
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$22,532
Total interest from all sources	2015-12-31	$16,058
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$4,519
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$636,895
Participant contributions at end of year	2015-12-31	$429,503
Participant contributions at beginning of year	2015-12-31	$358,920
Participant contributions at end of year	2015-12-31	$7,328
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$5,953
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$-14,592
Administrative expenses (other) incurred	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$125,339
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-248,119
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$4,965,980
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$5,214,099
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$15,145
Interest on participant loans	2015-12-31	$16,041
Interest earned on other investments	2015-12-31	$17
Value of interest in master investment trust accounts at end of year	2015-12-31	$4,515,856
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$4,727,090
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$82,747
Employer contributions (assets) at end of year	2015-12-31	$7,340
Employer contributions (assets) at beginning of year	2015-12-31	$2,750
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$824,964
Contract administrator fees	2015-12-31	$2,868
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2015-12-31	134008324
2014 : CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
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	$1,383,018
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$3,522,198
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$3,507,047
Expenses. Certain deemed distributions of participant loans	2014-12-31	$-7,860
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,051,420
Value of total assets at end of year	2014-12-31	$5,214,099
Value of total assets at beginning of year	2014-12-31	$7,353,279
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$23,011
Total interest from all sources	2014-12-31	$18,336
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$12,706
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2014-12-31	$57
Contributions received from participants	2014-12-31	$771,183
Participant contributions at end of year	2014-12-31	$358,920
Participant contributions at beginning of year	2014-12-31	$417,173
Other income not declared elsewhere	2014-12-31	$575
Administrative expenses (other) incurred	2014-12-31	$787
Total non interest bearing cash at end of year	2014-12-31	$125,339
Total non interest bearing cash at beginning of year	2014-12-31	$125,339
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-2,139,180
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$5,214,099
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$7,353,279
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$5,588
Interest on participant loans	2014-12-31	$18,326
Interest earned on other investments	2014-12-31	$10
Value of interest in master investment trust accounts at end of year	2014-12-31	$4,727,090
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$6,807,057
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$280,237
Employer contributions (assets) at end of year	2014-12-31	$2,750
Employer contributions (assets) at beginning of year	2014-12-31	$3,710
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$3,507,047
Contract administrator fees	2014-12-31	$3,930
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2014-12-31	134008324
2013 : CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$32,751,720
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	$2,163,215
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$778,939
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$730,147
Expenses. Certain deemed distributions of participant loans	2013-12-31	$37,151
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,291,903
Value of total assets at end of year	2013-12-31	$7,353,279
Value of total assets at beginning of year	2013-12-31	$38,720,723
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$11,641
Total interest from all sources	2013-12-31	$11,765
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Administrative expenses professional fees incurred	2013-12-31	$856
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2013-12-31	$57
Contributions received from participants	2013-12-31	$859,255
Participant contributions at end of year	2013-12-31	$417,173
Participant contributions at beginning of year	2013-12-31	$1,053,214
Other income not declared elsewhere	2013-12-31	$-2,259
Total non interest bearing cash at end of year	2013-12-31	$125,339
Total non interest bearing cash at beginning of year	2013-12-31	$37,667,509
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,384,276
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$7,353,279
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$38,720,723
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$6,627
Interest on participant loans	2013-12-31	$11,765
Value of interest in master investment trust accounts at end of year	2013-12-31	$6,807,057
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$432,648
Employer contributions (assets) at end of year	2013-12-31	$3,710
Employer contributions (assets) at beginning of year	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$730,147
Contract administrator fees	2013-12-31	$4,158
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2013-12-31	134008324
2012 : CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$96,325,383
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	$7,521,115
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$9,373,749
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$9,239,404
Value of total corrective distributions	2012-12-31	$14,667
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$4,258,160
Value of total assets at end of year	2012-12-31	$38,720,723
Value of total assets at beginning of year	2012-12-31	$136,898,740
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$119,678
Total interest from all sources	2012-12-31	$37,267
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$602,020
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$602,020
Administrative expenses professional fees incurred	2012-12-31	$4,080
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$2,582,310
Participant contributions at end of year	2012-12-31	$1,053,214
Participant contributions at beginning of year	2012-12-31	$2,670,082
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$11,308
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$10,567
Other income not declared elsewhere	2012-12-31	$14,458
Administrative expenses (other) incurred	2012-12-31	$12,415
Total non interest bearing cash at end of year	2012-12-31	$37,667,509
Total non interest bearing cash at beginning of year	2012-12-31	$94,449,747
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-1,852,634
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$38,720,723
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$136,898,740
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$5,183
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$24,037,513
Interest on participant loans	2012-12-31	$37,267
Value of interest in common/collective trusts at end of year	2012-12-31	$0
Value of interest in common/collective trusts at beginning of year	2012-12-31	$13,273,517
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$2,280,218
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$2,280,218
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,921,490
Net investment gain or loss from common/collective trusts	2012-12-31	$-312,280
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,665,283
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$176,355
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$9,239,404
Contract administrator fees	2012-12-31	$98,000
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2012-12-31	390859910

Form 5500 Responses for CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN

2016: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

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

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