2023 Form 5500 filing — Caterpillar 401(K) Savings Plan
Plain-English filing summary
According to public Form 5500 filings published through the U.S. Department of Labor (DOL) Employee Benefits Security Administration (EBSA) via the EFAST2 system, this is the 2023 Form 5500 filing (EFAST2 acknowledgement 20240730193138NAL0013792691001) for Caterpillar 401(K) Savings Plan, reported by Caterpillar Inc. under EIN 37-0602744 and plan number 035. It reports 57,635 participants. Attached schedules in the loaded dataset include Schedule H (large plan financials), Schedule C (service provider compensation).
- EFAST2 acknowledgement
- 20240730193138NAL0013792691001
- Filing year
- 2023
- Form type
- 2
- Plan sponsor
- Caterpillar Inc.
- EIN
- 37-0602744
- Plan number
- 035
- Location
- Irving, TX
- Participants
- 57,635
- Schedules available
- Schedule H, Schedule C
- Received date
- not reported in the loaded dataset
Reported financial snapshot (2023)
- Total assets (EOY)
- $16,496,476,432
- Total liabilities (EOY)
- $19,955,375
- Net assets (EOY)
- $16,476,521,057
- Employer contributions
- $442,923,590
- Participant contributions
- $419,086,846
- Total income / additions
- $3,493,755,483
- Benefits paid
- $786,775,751
- Administrative expenses
- $7,438,384
- Total expenses
- $793,960,083
- Net increase / (decrease)
- $2,699,795,400
- Schedule source
- Schedule H
Reported service provider compensation (Schedule C)
| Provider | Service | Direct comp. | Indirect comp. |
|---|---|---|---|
| Alight Financial Advisors, LLC | NONE | $4,136,822 | not reported in the loaded dataset |
| Alight Solutions LLC | NONE | $1,237,360 | $0 |
| Strategic Benefit Advisors | NONE | $761,546 | not reported in the loaded dataset |
| Northern Trust Company | TRUSTEE | $615,846 | not reported in the loaded dataset |
| Pershing LLC | NONE | $0 | $601,659 |
| Caterpillar Inc | NONE | $384,942 | not reported in the loaded dataset |
| Alight Financial Solutions, LLC | NONE | $0 | $263,679 |
| Russell Investments | NONE | $171,615 | not reported in the loaded dataset |
| Pricewaterhousecoopers Llp | NONE | $96,273 | not reported in the loaded dataset |
| Cem Benchmarking Inc | NONE | $30,811 | not reported in the loaded dataset |