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CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 401k Plan overview

Plan NameCATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN
Plan identification number 038

CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily pay related
  • Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
  • Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
  • Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
  • 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 EMPLOYEES' RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0382021-01-01STEPHEN ROBERTSON2022-10-04
0382021-01-01STEPHEN ROBERTSON2023-06-09
0382020-01-01STEPHEN ROBERTSON2021-10-05
0382019-01-01STEPHEN ROBERTSON2020-10-07
0382018-01-01STEPHEN ROBERTSON2019-09-30
0382017-01-01
0382016-01-01
0382015-01-01
0382014-01-01
0382014-01-01LEANNE MORITZ
0382013-01-01FILED WITH AUTHORIZED SIGNATURE
0382012-01-01FILED WITH AUTHORIZED SIGNATURE

Plan Statistics for CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN

401k plan membership statisitcs for CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN

Measure Date Value
2021: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2021 401k membership
Market value of plan assets2021-12-3164,832,727
Acturial value of plan assets2021-12-3158,349,454
Funding target for retired participants and beneficiaries receiving payment2021-12-3119,949,417
Number of terminated vested participants2021-12-31619
Fundng target for terminated vested participants2021-12-319,821,799
Active participant vested funding target2021-12-315,110,621
Number of active participants2021-12-31279
Total funding liabilities for active participants2021-12-315,125,412
Total participant count2021-12-311,288
Total funding target for all participants2021-12-3134,896,628
Balance at beginning of prior year after applicable adjustments2021-12-310
Prefunding balance at beginning of prior year after applicable adjustments2021-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2021-12-310
Prefunding balanced used to offset prior years funding requirement2021-12-310
Amount remaining of carryover balance2021-12-310
Amount remaining of prefunding balance2021-12-310
Present value of excess contributions2021-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2021-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2021-12-310
Reductions in caryover balances due to elections or deemed elections2021-12-310
Reductions in prefunding balances due to elections or deemed elections2021-12-310
Balance of carryovers at beginning of current year2021-12-310
Balance of prefunding at beginning of current year2021-12-310
Total employer contributions2021-12-310
Total employee contributions2021-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2021-12-310
Contributions made to avoid restrictions adjusted to valuation date2021-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2021-12-310
Unpaid minimum required contributions for all prior years2021-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2021-12-310
Remaining amount of unpaid minimum required contributions2021-12-310
Minimum required contributions for current year target normal cost2021-12-31241,000
Net shortfall amortization installment of oustanding balance2021-12-310
Waiver amortization installment2021-12-310
Total funding amount beforereflecting carryover/prefunding balances2021-12-310
Carryover balance elected to use to offset funding requirement2021-12-310
Prefunding balance elected to use to offset funding requirement2021-12-310
Additional cash requirement2021-12-310
Contributions allocatedtoward minimum required contributions for current year2021-12-310
Unpaid minimum required contributions for current year2021-12-310
Unpaid minimum required contributions for all years2021-12-310
Total participants, beginning-of-year2021-01-011,290
Total number of active participants reported on line 7a of the Form 55002021-01-01258
Number of retired or separated participants receiving benefits2021-01-01309
Number of other retired or separated participants entitled to future benefits2021-01-01577
Total of all active and inactive participants2021-01-011,144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0165
Total participants2021-01-011,209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2020 401k membership
Market value of plan assets2020-12-3159,862,375
Acturial value of plan assets2020-12-3156,637,641
Funding target for retired participants and beneficiaries receiving payment2020-12-3120,821,298
Number of terminated vested participants2020-12-31666
Fundng target for terminated vested participants2020-12-3112,560,484
Active participant vested funding target2020-12-315,804,347
Number of active participants2020-12-31297
Total funding liabilities for active participants2020-12-315,815,193
Total participant count2020-12-311,351
Total funding target for all participants2020-12-3139,196,975
Balance at beginning of prior year after applicable adjustments2020-12-310
Prefunding balance at beginning of prior year after applicable adjustments2020-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2020-12-310
Prefunding balanced used to offset prior years funding requirement2020-12-310
Amount remaining of carryover balance2020-12-310
Amount remaining of prefunding balance2020-12-310
Present value of excess contributions2020-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2020-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2020-12-310
Reductions in caryover balances due to elections or deemed elections2020-12-310
Reductions in prefunding balances due to elections or deemed elections2020-12-310
Balance of carryovers at beginning of current year2020-12-310
Balance of prefunding at beginning of current year2020-12-310
Total employer contributions2020-12-310
Total employee contributions2020-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2020-12-310
Contributions made to avoid restrictions adjusted to valuation date2020-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2020-12-310
Unpaid minimum required contributions for all prior years2020-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2020-12-310
Remaining amount of unpaid minimum required contributions2020-12-310
Minimum required contributions for current year target normal cost2020-12-31256,000
Net shortfall amortization installment of oustanding balance2020-12-310
Waiver amortization installment2020-12-310
Total funding amount beforereflecting carryover/prefunding balances2020-12-310
Carryover balance elected to use to offset funding requirement2020-12-310
Prefunding balance elected to use to offset funding requirement2020-12-310
Additional cash requirement2020-12-310
Contributions allocatedtoward minimum required contributions for current year2020-12-310
Unpaid minimum required contributions for current year2020-12-310
Unpaid minimum required contributions for all years2020-12-310
Total participants, beginning-of-year2020-01-011,347
Total number of active participants reported on line 7a of the Form 55002020-01-01280
Number of retired or separated participants receiving benefits2020-01-01319
Number of other retired or separated participants entitled to future benefits2020-01-01610
Total of all active and inactive participants2020-01-011,209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-0166
Total participants2020-01-011,275
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2019 401k membership
Market value of plan assets2019-12-3153,734,931
Acturial value of plan assets2019-12-3156,637,848
Funding target for retired participants and beneficiaries receiving payment2019-12-3121,675,740
Number of terminated vested participants2019-12-31710
Fundng target for terminated vested participants2019-12-3113,411,480
Active participant vested funding target2019-12-316,517,321
Number of active participants2019-12-31329
Total funding liabilities for active participants2019-12-316,530,752
Total participant count2019-12-311,433
Total funding target for all participants2019-12-3141,617,972
Balance at beginning of prior year after applicable adjustments2019-12-310
Prefunding balance at beginning of prior year after applicable adjustments2019-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2019-12-310
Prefunding balanced used to offset prior years funding requirement2019-12-310
Amount remaining of carryover balance2019-12-310
Amount remaining of prefunding balance2019-12-310
Present value of excess contributions2019-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2019-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2019-12-310
Reductions in caryover balances due to elections or deemed elections2019-12-310
Reductions in prefunding balances due to elections or deemed elections2019-12-310
Balance of carryovers at beginning of current year2019-12-310
Balance of prefunding at beginning of current year2019-12-310
Total employer contributions2019-12-310
Total employee contributions2019-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2019-12-310
Contributions made to avoid restrictions adjusted to valuation date2019-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2019-12-310
Unpaid minimum required contributions for all prior years2019-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2019-12-310
Remaining amount of unpaid minimum required contributions2019-12-310
Minimum required contributions for current year target normal cost2019-12-31191,000
Net shortfall amortization installment of oustanding balance2019-12-310
Waiver amortization installment2019-12-310
Total funding amount beforereflecting carryover/prefunding balances2019-12-310
Carryover balance elected to use to offset funding requirement2019-12-310
Prefunding balance elected to use to offset funding requirement2019-12-310
Additional cash requirement2019-12-310
Contributions allocatedtoward minimum required contributions for current year2019-12-310
Unpaid minimum required contributions for current year2019-12-310
Unpaid minimum required contributions for all years2019-12-310
Total participants, beginning-of-year2019-01-011,429
Total number of active participants reported on line 7a of the Form 55002019-01-01306
Number of retired or separated participants receiving benefits2019-01-01316
Number of other retired or separated participants entitled to future benefits2019-01-01659
Total of all active and inactive participants2019-01-011,281
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-0168
Total participants2019-01-011,349
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2018 401k membership
Market value of plan assets2018-12-3162,306,807
Acturial value of plan assets2018-12-3158,621,122
Funding target for retired participants and beneficiaries receiving payment2018-12-3121,044,868
Number of terminated vested participants2018-12-31759
Fundng target for terminated vested participants2018-12-3115,116,098
Active participant vested funding target2018-12-317,831,309
Number of active participants2018-12-31374
Total funding liabilities for active participants2018-12-317,848,755
Total participant count2018-12-311,521
Total funding target for all participants2018-12-3144,009,721
Balance at beginning of prior year after applicable adjustments2018-12-310
Prefunding balance at beginning of prior year after applicable adjustments2018-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2018-12-310
Prefunding balanced used to offset prior years funding requirement2018-12-310
Amount remaining of carryover balance2018-12-310
Amount remaining of prefunding balance2018-12-310
Present value of excess contributions2018-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2018-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2018-12-310
Reductions in caryover balances due to elections or deemed elections2018-12-310
Reductions in prefunding balances due to elections or deemed elections2018-12-310
Balance of carryovers at beginning of current year2018-12-310
Balance of prefunding at beginning of current year2018-12-310
Total employer contributions2018-12-310
Total employee contributions2018-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2018-12-310
Contributions made to avoid restrictions adjusted to valuation date2018-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2018-12-310
Unpaid minimum required contributions for all prior years2018-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2018-12-310
Remaining amount of unpaid minimum required contributions2018-12-310
Minimum required contributions for current year target normal cost2018-12-31254,000
Net shortfall amortization installment of oustanding balance2018-12-310
Waiver amortization installment2018-12-310
Total funding amount beforereflecting carryover/prefunding balances2018-12-310
Carryover balance elected to use to offset funding requirement2018-12-310
Prefunding balance elected to use to offset funding requirement2018-12-310
Additional cash requirement2018-12-310
Contributions allocatedtoward minimum required contributions for current year2018-12-310
Unpaid minimum required contributions for current year2018-12-310
Unpaid minimum required contributions for all years2018-12-310
Total participants, beginning-of-year2018-01-011,515
Total number of active participants reported on line 7a of the Form 55002018-01-01341
Number of retired or separated participants receiving benefits2018-01-01324
Number of other retired or separated participants entitled to future benefits2018-01-01697
Total of all active and inactive participants2018-01-011,362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0161
Total participants2018-01-011,423
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2017 401k membership
Market value of plan assets2017-12-3158,973,400
Acturial value of plan assets2017-12-3160,392,783
Funding target for retired participants and beneficiaries receiving payment2017-12-3120,375,905
Number of terminated vested participants2017-12-31792
Fundng target for terminated vested participants2017-12-3115,341,450
Active participant vested funding target2017-12-319,083,397
Number of active participants2017-12-31493
Total funding liabilities for active participants2017-12-319,106,212
Total participant count2017-12-311,694
Total funding target for all participants2017-12-3144,823,567
Balance at beginning of prior year after applicable adjustments2017-12-310
Prefunding balance at beginning of prior year after applicable adjustments2017-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2017-12-310
Prefunding balanced used to offset prior years funding requirement2017-12-310
Amount remaining of carryover balance2017-12-310
Amount remaining of prefunding balance2017-12-310
Present value of excess contributions2017-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2017-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2017-12-310
Reductions in caryover balances due to elections or deemed elections2017-12-310
Reductions in prefunding balances due to elections or deemed elections2017-12-310
Balance of carryovers at beginning of current year2017-12-310
Balance of prefunding at beginning of current year2017-12-310
Total employer contributions2017-12-310
Total employee contributions2017-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2017-12-310
Contributions made to avoid restrictions adjusted to valuation date2017-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2017-12-310
Unpaid minimum required contributions for all prior years2017-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2017-12-310
Remaining amount of unpaid minimum required contributions2017-12-310
Minimum required contributions for current year target normal cost2017-12-31269,000
Net shortfall amortization installment of oustanding balance2017-12-310
Waiver amortization installment2017-12-310
Total funding amount beforereflecting carryover/prefunding balances2017-12-310
Carryover balance elected to use to offset funding requirement2017-12-310
Prefunding balance elected to use to offset funding requirement2017-12-310
Additional cash requirement2017-12-310
Contributions allocatedtoward minimum required contributions for current year2017-12-310
Unpaid minimum required contributions for current year2017-12-310
Unpaid minimum required contributions for all years2017-12-310
Total participants, beginning-of-year2017-01-011,686
Total number of active participants reported on line 7a of the Form 55002017-01-01388
Number of retired or separated participants receiving benefits2017-01-01320
Number of other retired or separated participants entitled to future benefits2017-01-01758
Total of all active and inactive participants2017-01-011,466
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0161
Total participants2017-01-011,527
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2016 401k membership
Market value of plan assets2016-12-3163,487,954
Acturial value of plan assets2016-12-3167,228,355
Funding target for retired participants and beneficiaries receiving payment2016-12-3120,141,416
Number of terminated vested participants2016-12-31839
Fundng target for terminated vested participants2016-12-3118,846,877
Active participant vested funding target2016-12-3111,605,483
Number of active participants2016-12-31762
Total funding liabilities for active participants2016-12-3111,639,599
Total participant count2016-12-311,979
Total funding target for all participants2016-12-3150,627,892
Balance at beginning of prior year after applicable adjustments2016-12-310
Prefunding balance at beginning of prior year after applicable adjustments2016-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2016-12-310
Prefunding balanced used to offset prior years funding requirement2016-12-310
Amount remaining of carryover balance2016-12-310
Amount remaining of prefunding balance2016-12-310
Present value of excess contributions2016-12-310
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2016-12-310
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2016-12-310
Reductions in caryover balances due to elections or deemed elections2016-12-310
Reductions in prefunding balances due to elections or deemed elections2016-12-310
Balance of carryovers at beginning of current year2016-12-310
Balance of prefunding at beginning of current year2016-12-310
Total employer contributions2016-12-310
Total employee contributions2016-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2016-12-310
Contributions made to avoid restrictions adjusted to valuation date2016-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2016-12-310
Unpaid minimum required contributions for all prior years2016-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2016-12-310
Remaining amount of unpaid minimum required contributions2016-12-310
Minimum required contributions for current year target normal cost2016-12-31249,000
Net shortfall amortization installment of oustanding balance2016-12-310
Waiver amortization installment2016-12-310
Waived amount of outstanding balance2016-12-310
Total funding amount beforereflecting carryover/prefunding balances2016-12-310
Carryover balance elected to use to offset funding requirement2016-12-310
Prefunding balance elected to use to offset funding requirement2016-12-310
Additional cash requirement2016-12-310
Contributions allocatedtoward minimum required contributions for current year2016-12-310
Unpaid minimum required contributions for current year2016-12-310
Unpaid minimum required contributions for all years2016-12-310
Total participants, beginning-of-year2016-01-011,764
Total number of active participants reported on line 7a of the Form 55002016-01-01513
Number of retired or separated participants receiving benefits2016-01-01318
Number of other retired or separated participants entitled to future benefits2016-01-01799
Total of all active and inactive participants2016-01-011,630
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-0159
Total participants2016-01-011,689
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-013
2015: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-012,252
Total number of active participants reported on line 7a of the Form 55002015-01-01941
Number of retired or separated participants receiving benefits2015-01-01315
Number of other retired or separated participants entitled to future benefits2015-01-01657
Total of all active and inactive participants2015-01-011,913
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0160
Total participants2015-01-011,973
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-011
2014: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-012,460
Total number of active participants reported on line 7a of the Form 55002014-01-011,147
Number of retired or separated participants receiving benefits2014-01-01311
Number of other retired or separated participants entitled to future benefits2014-01-01650
Total of all active and inactive participants2014-01-012,108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-019
Total participants2014-01-012,117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0119
2013: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-012,826
Total number of active participants reported on line 7a of the Form 55002013-01-011,548
Number of retired or separated participants receiving benefits2013-01-01302
Number of other retired or separated participants entitled to future benefits2013-01-01653
Total of all active and inactive participants2013-01-012,503
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-017
Total participants2013-01-012,510
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-01113
2012: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-013,063
Total number of active participants reported on line 7a of the Form 55002012-01-012,152
Number of retired or separated participants receiving benefits2012-01-01294
Number of other retired or separated participants entitled to future benefits2012-01-01376
Total of all active and inactive participants2012-01-012,822
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-017
Total participants2012-01-012,829
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0148

Financial Data on CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN

Measure Date Value
2021 : CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets from this plan2021-12-31$62,964,704
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$1,414
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$52,763
Total income from all sources (including contributions)2021-12-31$1,911,467
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$3,726,727
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$3,520,960
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$0
Value of total assets at end of year2021-12-31$1,414
Value of total assets at beginning of year2021-12-31$64,832,727
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$205,767
Total interest from all sources2021-12-31$0
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$47,594
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$45,000,000
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$1,414
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$0
Administrative expenses (other) incurred2021-12-31$110,338
Liabilities. Value of operating payables at end of year2021-12-31$0
Liabilities. Value of operating payables at beginning of year2021-12-31$52,763
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-1,815,260
Value of net assets at end of year (total assets less liabilities)2021-12-31$0
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$64,779,964
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
Value of interest in master investment trust accounts at end of year2021-12-31$1,414
Value of interest in master investment trust accounts at beginning of year2021-12-31$64,832,727
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$3,520,960
Contract administrator fees2021-12-31$47,835
Did the plan have assets held for investment2021-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' 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$52,763
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$58,544
Total income from all sources (including contributions)2020-12-31$9,491,282
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$4,515,149
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$4,289,976
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$0
Value of total assets at end of year2020-12-31$64,832,727
Value of total assets at beginning of year2020-12-31$59,862,375
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$225,173
Total interest from all sources2020-12-31$0
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$48,613
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$45,000,000
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
Administrative expenses (other) incurred2020-12-31$111,967
Liabilities. Value of operating payables at end of year2020-12-31$52,763
Liabilities. Value of operating payables at beginning of year2020-12-31$58,544
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$4,976,133
Value of net assets at end of year (total assets less liabilities)2020-12-31$64,779,964
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$59,803,831
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
Value of interest in master investment trust accounts at end of year2020-12-31$64,832,727
Value of interest in master investment trust accounts at beginning of year2020-12-31$59,862,375
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$4,289,976
Contract administrator fees2020-12-31$64,593
Did the plan have assets held for investment2020-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' 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$58,544
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$65,244
Total income from all sources (including contributions)2019-12-31$11,329,727
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$5,195,583
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$4,941,592
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$0
Value of total assets at end of year2019-12-31$59,862,375
Value of total assets at beginning of year2019-12-31$53,734,931
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$253,991
Total interest from all sources2019-12-31$0
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$42,979
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$45,000,000
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
Administrative expenses (other) incurred2019-12-31$114,479
Liabilities. Value of operating payables at end of year2019-12-31$58,544
Liabilities. Value of operating payables at beginning of year2019-12-31$65,244
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$6,134,144
Value of net assets at end of year (total assets less liabilities)2019-12-31$59,803,831
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$53,669,687
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
Value of interest in master investment trust accounts at end of year2019-12-31$59,862,375
Value of interest in master investment trust accounts at beginning of year2019-12-31$53,734,931
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$4,941,592
Contract administrator fees2019-12-31$96,533
Did the plan have assets held for investment2019-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$65,244
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$58,003
Total income from all sources (including contributions)2018-12-31$-3,217,677
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$5,361,440
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$5,102,013
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$0
Value of total assets at end of year2018-12-31$53,734,931
Value of total assets at beginning of year2018-12-31$62,306,807
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$259,427
Total interest from all sources2018-12-31$0
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$42,799
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$45,000,000
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
Administrative expenses (other) incurred2018-12-31$112,406
Liabilities. Value of operating payables at end of year2018-12-31$65,244
Liabilities. Value of operating payables at beginning of year2018-12-31$58,003
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-8,579,117
Value of net assets at end of year (total assets less liabilities)2018-12-31$53,669,687
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$62,248,804
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
Value of interest in master investment trust accounts at end of year2018-12-31$53,734,931
Value of interest in master investment trust accounts at beginning of year2018-12-31$62,306,807
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$5,102,013
Contract administrator fees2018-12-31$104,222
Did the plan have assets held for investment2018-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$58,003
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$59,870
Total income from all sources (including contributions)2017-12-31$8,831,521
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$5,496,247
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$5,228,226
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$0
Value of total assets at end of year2017-12-31$62,306,807
Value of total assets at beginning of year2017-12-31$58,973,400
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$268,021
Total interest from all sources2017-12-31$0
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$49,009
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$45,000,000
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
Administrative expenses (other) incurred2017-12-31$116,749
Liabilities. Value of operating payables at end of year2017-12-31$58,003
Liabilities. Value of operating payables at beginning of year2017-12-31$59,870
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$3,335,274
Value of net assets at end of year (total assets less liabilities)2017-12-31$62,248,804
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$58,913,530
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
Value of interest in master investment trust accounts at end of year2017-12-31$62,306,807
Value of interest in master investment trust accounts at beginning of year2017-12-31$58,973,400
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$5,228,226
Contract administrator fees2017-12-31$102,263
Did the plan have assets held for investment2017-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' 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$59,870
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$58,371
Total income from all sources (including contributions)2016-12-31$4,609,730
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$9,128,068
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$8,848,889
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$0
Value of total assets at end of year2016-12-31$58,973,400
Value of total assets at beginning of year2016-12-31$63,490,239
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$279,179
Total interest from all sources2016-12-31$0
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$48,814
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$45,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$2,286
Administrative expenses (other) incurred2016-12-31$126,527
Liabilities. Value of operating payables at end of year2016-12-31$59,870
Liabilities. Value of operating payables at beginning of year2016-12-31$58,371
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-4,518,338
Value of net assets at end of year (total assets less liabilities)2016-12-31$58,913,530
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$63,431,868
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
Value of interest in master investment trust accounts at end of year2016-12-31$58,973,400
Value of interest in master investment trust accounts at beginning of year2016-12-31$63,487,953
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$8,848,889
Contract administrator fees2016-12-31$103,838
Did the plan have assets held for investment2016-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$58,371
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$60,092
Total income from all sources (including contributions)2015-12-31$-1,031,137
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$5,888,819
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$5,617,964
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,286
Value of total assets at end of year2015-12-31$63,490,239
Value of total assets at beginning of year2015-12-31$70,411,916
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$270,855
Total interest from all sources2015-12-31$0
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$41,764
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$45,000,000
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
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$2,286
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$2,286
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$14,334
Administrative expenses (other) incurred2015-12-31$120,982
Liabilities. Value of operating payables at end of year2015-12-31$58,371
Liabilities. Value of operating payables at beginning of year2015-12-31$60,092
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-6,919,956
Value of net assets at end of year (total assets less liabilities)2015-12-31$63,431,868
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$70,351,824
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
Value of interest in master investment trust accounts at end of year2015-12-31$63,487,953
Value of interest in master investment trust accounts at beginning of year2015-12-31$70,397,582
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$5,617,964
Contract administrator fees2015-12-31$108,109
Did the plan have assets held for investment2015-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' 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$60,092
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$75,780
Total income from all sources (including contributions)2014-12-31$4,877,843
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$7,236,653
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$6,933,617
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$0
Value of total assets at end of year2014-12-31$70,411,916
Value of total assets at beginning of year2014-12-31$72,786,414
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$303,036
Total interest from all sources2014-12-31$0
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$61,509
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$450,000,000
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-interest2014-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$14,334
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$12,976
Administrative expenses (other) incurred2014-12-31$126,568
Liabilities. Value of operating payables at end of year2014-12-31$60,092
Liabilities. Value of operating payables at beginning of year2014-12-31$75,780
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-2,358,810
Value of net assets at end of year (total assets less liabilities)2014-12-31$70,351,824
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$72,710,634
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$675
Value of interest in master investment trust accounts at end of year2014-12-31$70,397,582
Value of interest in master investment trust accounts at beginning of year2014-12-31$72,773,438
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$6,933,617
Contract administrator fees2014-12-31$114,284
Did the plan have assets held for investment2014-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$75,780
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$75,704
Total income from all sources (including contributions)2013-12-31$10,642,561
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$6,327,751
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$6,032,152
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$0
Value of total assets at end of year2013-12-31$72,786,414
Value of total assets at beginning of year2013-12-31$68,471,528
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$295,599
Total interest from all sources2013-12-31$0
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$39,000
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$45,000,000
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-interest2013-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$12,976
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$256,634
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$75,704
Administrative expenses (other) incurred2013-12-31$128,646
Liabilities. Value of operating payables at end of year2013-12-31$75,780
Liabilities. Value of operating payables at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$4,314,810
Value of net assets at end of year (total assets less liabilities)2013-12-31$72,710,634
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$68,395,824
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$18,729
Value of interest in master investment trust accounts at end of year2013-12-31$72,773,438
Value of interest in master investment trust accounts at beginning of year2013-12-31$68,214,894
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$6,032,152
Contract administrator fees2013-12-31$109,224
Did the plan have assets held for investment2013-12-31No
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 GLOBAL MINING LEGACY EMPLOYEES' 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$75,704
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$50,805
Total income from all sources (including contributions)2012-12-31$13,411,380
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$4,695,381
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$4,213,928
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$6,000,000
Value of total assets at end of year2012-12-31$68,471,528
Value of total assets at beginning of year2012-12-31$59,730,630
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$481,453
Total interest from all sources2012-12-31$0
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$123,775
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$45,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$256,634
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$61,776
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$75,704
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$50,805
Administrative expenses (other) incurred2012-12-31$157,026
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$8,715,999
Value of net assets at end of year (total assets less liabilities)2012-12-31$68,395,824
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$59,679,825
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$142,931
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$55,668,388
Value of interest in master investment trust accounts at end of year2012-12-31$68,214,894
Value of interest in master investment trust accounts at beginning of year2012-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$466
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$466
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$6,000,000
Employer contributions (assets) at end of year2012-12-31$0
Employer contributions (assets) at beginning of year2012-12-31$4,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$4,213,928
Contract administrator fees2012-12-31$57,721
Did the plan have assets held for investment2012-12-31No
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

Form 5500 Responses for CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN

2021: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' 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 planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' 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 planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' 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 planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' 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 planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' 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 planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' 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 planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
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 planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
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 planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
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 planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CATERPILLAR GLOBAL MINING LEGACY EMPLOYEES' RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
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 planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes

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