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Retirement plan

CATERPILLAR GLOBAL MINING LEGACY SAVINGS PLAN

CATERPILLAR INC.EIN 37-0602744Plan #036PY 2015
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100 NE ADAMS STREET - PEORIA, IL 61629309-675-1000caterpillar.comLinkedIn10001+ employeesmachinery
Other plans on this EIN
9 filings
#002Retirement-$7.86B assets#035Retirement-$5.54B assets#001Retirement-$3.24B assets#004Retirement-$2.48B assets#033Retirement-$478.1M assets#038Retirement-$63.5M assets#039Retirement-$61.8M assets#037Retirement-$38.4M assets#016Retirement--
Prospect flagsLow returnsLow participationLow assets / participantLow employer contribution

Filing contacts

From the Form 5500, federal record
Plan sponsor signer
(name not on filing)
(309) 675-1000
Plan administrator entity
CATERPILLAR INC.
EIN 370602744
100 NE ADAMS STREET · PEORIA, ID 61629
How to read this page

Summary metrics

Total assets (EOY)
$5M
No prior year
Total participants
353
No prior year
Average account balance
$20,606
No prior year
Annual return
-2.74%
+90.65 pp from 2016

Benchmarks

See 2,226 peers
Peer group
Industry33 - Manufacturing
Plan typeDefined contribution
Participants250-999
Cohort2,226 peers
Snapshot2015
Participant deferral / active EE
$2,055
median $2,847
Employer contribution / active EE
$267
median $1,279
Participation rate
63.9%
median 87.1%
Avg account balance
$20,606
median $47,902
Admin fee / account holder
$93
median $42
Annual return
-2.74%
median 0.38%
Overall peer rank
18th 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 5 by compensation
ProviderService typeCompensation
PERSHING LLC1+ years
Service code 50 · EIN 13-2741729
Direct Payment
$311,033
HEWITT FINANCIAL SERVICES LLC1+ years
Service code 33 · EIN 36-3943169
Direct payment from the plan; Distrib...
$164,656
STRATEGIC BENEFIT ADVISORS1+ years
Service code 13 · EIN 03-0415817
Contract Administrator
$8,442
AON HEWITT FINANCIAL ADVISORS, LLC1+ years
Service code 26 · EIN 35-2421957
Advisory (Participants)
$6,586
HEWITT ASSOCIATES LLC1+ years
Service code 15 · EIN 36-2235791
Recordkeeping
$2,869

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 codes2E2F2G2J2K2O2R2S2T3F3H
Plan features
  • 2E
    Profit-sharing
    Profit-sharing plan.
  • 2F
    ERISA section 404(c) plan
    This plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
  • 2G
    Total participant-directed account plan
    Participants 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.
  • 2J
    Code section 401(k) feature
    Cash 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.
  • 2K
    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 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.
  • 2O
    ESOP other than a leveraged ESOP
    Employee stock ownership plan that is not leveraged.
  • 2R
    Participant-directed brokerage accounts
    Participant-directed brokerage accounts provided as an investment option under the plan.
  • 2S
    Automatic enrollment
    Plan provides for automatic enrollment in plan that has elective contributions deducted from payroll.
  • 2T
    Default investment account
    Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
  • 3F
    Leased employees
    Plan sponsor(s) received services of leased employees as defined in Code section 414(n) during the plan year.
  • 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

4 tripped
  • OpportunityLow participation

    Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.

  • OpportunityLow employer contribution

    Employer contribution per participant is in the bottom quintile of the peer cohort.

  • OpportunityLow returns

    Annual investment return is in the bottom quintile of the peer cohort.

  • OpportunityLow assets / participant

    Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.

Expense breakdown

Schedule H Part II
Admin total
$23K
$73 / participant
  • Investment mgmt$15K67.2%
  • Contract admin$3K12.7%
  • Other / not subdivided$5K20.1%
% of EOY assets
0.454%
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