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Retirement plan

RETIREMENT PLAN FOR EMPLOYEES OF PROGRESS METAL RECLAMATION CO. D/B/A MANSBACH METAL CO.

CATERPILLAR INC.EIN 37-0602744Plan #009PY 2019
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510 LAKE COOK ROAD - DEERFIELD, IL 60015224-551-4000caterpillar.comLinkedIn10001+ employeesmachinery
Other plans on this EIN
8 filings
#002Retirement-$12.03B assets#035Retirement-$12.02B assets#001Retirement-$3.48B assets#033Retirement-$586.4M assets#039Retirement-$64.6M assets#038Retirement-$59.9M assets#037Retirement-$45.5M assets#004Retirement--
Prospect flagsHigh retiree %

Filing contacts

From the Form 5500, federal record
Plan sponsor signer
(name not on filing)
(224) 551-4000
Plan administrator entity
CATERPILLAR INC.
EIN 370602744
510 LAKE COOK RD. · DEERFIELD, IL 60015
How to read this page

Summary metrics

Total assets (EOY)
$5.2M
-18.3% from 2019
Total participants
85
-1.2% from 2019
Average account balance
$0
No prior year
Annual return
18.16%
-24.63 pp from 2019

Benchmarks

See 1,661 peers
Peer group
Industry33 - Manufacturing
Plan typeDefined benefit
Participants<25
Cohort1,661 peers
Snapshot2019
Participant deferral / active EE
$0
median $0
Employer contribution / active EE
$175,000
median $13,678
Participation rate
0.0%
median 0.0%
Avg account balance
$0
median $79,716
Admin fee / account holder
$0
median $122
Annual return
18.16%
median 10.44%
Overall peer rank
70th percentileavg across 6 metrics

Analytics

2018 - 2021
Total assets (EOY)
Plan-year ending balance
$0
Average account balance
Total assets / participants with a balance (line 6g)
$34K
Participants with account balance
Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.
83
Not enough data
2 years with headcount on file
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
$350K
Not enough data
1 years with contributions on file
Contributions per participant
Average employer and participant contribution per enrolled participant
$175K
Not enough data
1 years with per-participant contribution data
Asset flow
BOY + contributions + return - distributions = EOY
Year
Annual return
Diverging bars; negative years highlighted
-5.00%
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
Not enough data
2 years with F_SCH_H allocation on file

Service providers

Top 3 by compensation
ProviderService typeCompensation
WILLIS TOWERS WATSON1 year
Service code 11 · EIN 53-0181291
Actuarial
$307,387
PRICEWATERHOUSECOOPERS LLP2+ years
Service code 10 · EIN 13-4008324
Accounting
$136,157
ALIGHT SOLUTIONS LLC2+ years
Service code 15 · EIN 82-1061233
Recordkeeping
$9,897

Enrolled actuary

1 attachment
SB

LORA S. FORD

WILLIS TOWERS WATSON US LLC
Enrollment #2005467
233 SOUTH WACKER DRIVE
SUITE 1800
CHICAGO, IL 60606
(312) 525-2500
Signed 2020-09-24

Top hat statement on fileNQDC

Filed November 17, 2020 (most recent of 12 filings on file)

Plan administrator

Plan administrator name— Sign in and upgrade to view
100 N.E. Adams Street
Peoria, IL 61629
Email— Sign in and upgrade to viewPhone— Sign in and upgrade to view

Plans declared (1)

  • Caterpillar Inc. Section 409A Compliance Deferred Compensation Plan1 emp
Open the filing PDF

Plan features & details

Pension benefit codes1B1I3H
Plan features
  • 1B
    Benefits are primarily flat dollar
    Benefits are primarily a flat dollar amount (including a dollar amount per year of service).
  • 1I
    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.
  • 3H
    Controlled group member
    Plan 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
$465K
$232321 / participant
  • Investment mgmt$3K0.6%
  • Contract admin$10K2.1%
  • Other / not subdivided$452K97.3%
% of EOY assets
8.886%
all-in expense ratio
Categories reported
2 / 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