Retirement plan
CATERPILLAR INC. NON-CONTRIBUTORY PENSION PLAN
CATERPILLAR INC.EIN 37-0602744Plan #001PY 2017
Prospect flagsHigh retiree %
Filing contacts
From the Form 5500, federal recordPlan administrator entity
CATERPILLAR INC.
EIN 370602744
Summary metrics
Total assets (EOY)
$3566.9M
+1.6% from 2016
Total participants
30,729
+2.5% from 2016
Average account balance
$0
No prior year
Annual return
14.55%
-9.18 pp from 2016
Benchmarks
Peer group
Industry33 - Manufacturing
Plan typeDefined benefit
Participants1,000-4,999
Cohort170 peers
Snapshot2017
0
Participant deferral / active EE
$0
median $370
66
Employer contribution / active EE
$54,570
median $8,659
0
Participation rate
0.0%
median 0.0%
0
Avg account balance
$0
0
Admin fee / account holder
$0
62
Annual return
14.55%
median 13.78%
Overall peer rank
64of 100
64th percentileavg across 6 metrics
Analytics
2015 - 2024
Total assets (EOY)
Plan-year ending balance
$2.37B
Average account balance
Total assets / participants with a balance (line 6g)
$100K
Participants with account balance
Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.
22,159
Eligible Participants and Participation
Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.
0.0%
Contributions (total)
Employer and participant dollars contributed each year
$216
Not enough data
2 years with contributions on file
Contributions per participant
Average employer and participant contribution per enrolled participant
$0
Not enough data
2 years with per-participant contribution data
Asset flow
BOY + contributions + return - distributions = EOY
Year
Annual return
Diverging bars; negative years highlighted
+0.66%
Admin fee / account holder
Total admin expenses / participants with a balance (line 6g)
$0
Asset composition
Cash / stocks / bonds / mutual funds / real estate / loans over time
- Mutual / pooled
- Stocks
- Bonds
- Cash
- Real estate
- Loans
Service providers
Top 4 by compensation
| Provider | Service type | Compensation |
|---|---|---|
STRATEGIC BENEFIT ADVISORS3+ years Service code 16 · EIN 03-0415817 | Consulting | $649,328 |
Service code 15 · EIN 36-2235791 | Recordkeeping | $588,753 |
ALIGHT SOLUTIONS LLC1 year Service code 15 · EIN 82-1061233 | Recordkeeping | $567,412 |
PRICEWATERHOUSECOOPERS LLP3+ years Service code 10 · EIN 13-4008324 | Accounting | $47,686 |
Enrolled actuary
1 attachment
SB
LORA S. FORD
TOWERS WATSON DELAWARE INC.
Enrollment #1705467
233 SOUTH WACKER DRIVE
SUITE 1800
CHICAGO, IL 60606
(312) 525-2500
Signed 2018-09-26
Top hat statement on fileNQDC
Filed November 17, 2020 (most recent of 12 filings on file)
Plan administrator
Plans declared (1)
- Caterpillar Inc. Section 409A Compliance Deferred Compensation Plan1 emp
Plan features & details
Pension benefit codes1B1I3F3H
Plan features
- 1BBenefits are primarily flat dollarBenefits are primarily a flat dollar amount (including a dollar amount per year of service).
- 1IFrozen planAs 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.
- 3FLeased employeesPlan sponsor(s) received services of leased employees as defined in Code section 414(n) during the plan year.
- 3HControlled group memberPlan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b) (c) or (m)).
Opportunity flags
1 tripped
- InformationalHigh retiree %
Retirees and beneficiaries make up 25% or more of total participants - indicates an ageing workforce or a frozen plan.
Expense breakdown
Schedule H Part II
Admin total
$16.2M
$4424 / participant
- Contract admin$1M7.1%
- Other / not subdivided$15M92.9%
% of EOY assets
0.455%
all-in expense ratio
Categories reported
1 / 9
subdivided buckets used
Audit opinion
Schedule H Part III
Unqualified opinion
Auditor signed off without reservation - the cleanest possible opinion.
- Auditor firm
- PRICEWATERHOUSECOOPERS LLP
- Auditor EIN
- 134008324
- Audit fees
- (not subdivided)
- Opinion code
- Unqualified