Retirement plan
CATERPILLAR INC. TAX DEFERRED SAVINGS PLAN
CATERPILLAR INC.EIN 37-0602744Plan #016PY 2015
Prospect flagsRecently cancelled planLow returnsWind-down / frozen
Filing contacts
From the Form 5500, federal recordPlan administrator entity
CATERPILLAR INC.
EIN 370602744
Summary metrics
Total assets (EOY)
$0
No prior year
Total participants
0
No prior year
Average account balance
$0
No prior year
Annual return
-90.59%
No prior year
Benchmarks
Peer group
Industry33 - Manufacturing
Plan typeDefined contribution
Participants<25
Cohort18,068 peers
Snapshot2015
0
Participant deferral / active EE
$0
median $3,059
0
Employer contribution / active EE
$0
median $1,493
0
Participation rate
0.0%
median 87.5%
0
Avg account balance
$0
median $48,763
0
Admin fee / account holder
$0
median $690
1
Annual return
-90.59%
median -1.32%
Overall peer rank
1of 100
1st percentileavg across 6 metrics
Analytics
Less than 3 years of history available for this plan
We'll show a chart here once at least 3 consecutive filings are on record.
Service providers
Top 7 by compensation
| Provider | Service type | Compensation |
|---|---|---|
PERSHING LLC1+ years Service code 50 · EIN 13-2741729 | Direct Payment | $326,823 |
Service code 26 · EIN 35-2421957 | Advisory (Participants) | $172,003 |
HEWITT FINANCIAL SERVICES LLC1+ years Service code 33 · EIN 36-3943169 | Direct payment from the plan; Copying... | $169,880 |
HEWITT ASSOCIATES LLC1+ years Service code 15 · EIN 36-2235791 | Recordkeeping | $84,194 |
PRICEWATERHOUSECOOPERS LLP1+ years Service code 10 · EIN 13-4008324 | Accounting | $46,752 |
NORTHERN TRUST COMPANY1+ years Service code 21 · EIN 36-1561860 | Bank Trustee | $32,573 |
STRATEGIC BENEFIT ADVISORS1+ years Service code 13 · EIN 03-0415817 | Contract Administrator | $31,364 |
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 codes2F2G2J2K2O2R2S2T3F3H
Plan features
- 2FERISA section 404(c) planThis plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
- 2GTotal participant-directed account planParticipants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
- 2JCode section 401(k) featureCash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
- 2KCode section 401(m) arrangementEmployee contributions are allocated to separate accounts under the plan or employer contributions are based in whole or in part on employee deferrals or contributions to the plan. Not applicable to 401(k) plans with only QNECs and/or QMACs or to 403(b)(1) 403(b)(7) or 408 arrangements.
- 2OESOP other than a leveraged ESOPEmployee stock ownership plan that is not leveraged.
- 2RParticipant-directed brokerage accountsParticipant-directed brokerage accounts provided as an investment option under the plan.
- 2SAutomatic enrollmentPlan provides for automatic enrollment in plan that has elective contributions deducted from payroll.
- 2TDefault investment accountTotal or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
- 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
3 tripped
- OpportunityLow returns
Annual investment return is in the bottom quintile of the peer cohort.
- InformationalWind-down / frozen
Plan appears closed to new enrollment or frozen - balance-holders far exceed active participants, or the plan reports active distributions with no inflows. Exclude from peer benchmarks.
- InformationalRecently cancelled plan
Plan reported a final filing / termination within the last year.
Expense breakdown
Schedule H Part II
Admin total
$381K
- Investment mgmt$211K55.5%
- Contract admin$84K22.1%
- Other / not subdivided$86K22.4%
% of EOY assets
-
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 LLC
- Auditor EIN
- 134008324
- Audit fees
- (not subdivided)
- Opinion code
- Unqualified