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CATERPILLAR INC.

CATERPILLAR 401(K) SAVINGS PLAN

401(k)2025EIN 370602744PN 035form_5500
Filed Jul 17, 2026
Original filing
End-of-year assets

$23,058,145,333

Net assets $23,021,762,623

Active participants

44,957

58,624 participant accounts

Service providers

11

17 service categories

Fidelity bond

$45,000,000

Bond reported

Plan & sponsor record
Plan name
CATERPILLAR 401(K) SAVINGS PLAN
Effective date
Jan 1, 2011
Sponsor
CATERPILLAR INC.
Business code
333100
Administrator
CATERPILLAR INC.
Administrator EIN
370602744
Address
5205 N. O'CONNOR BOULEVARD · SUITE 100 · IRVING, TX, 75039
Annual plan activity
Beginning assets$18,812,004,780
Ending assets$23,058,145,333
Employer contributions$497,794,286
Participant contributions$476,314,375
Total income$5,571,966,871
Benefits paid$1,339,179,379
Administrative expenses$8,784,347
Net income$4,223,658,409
Schedule D · end of year
Investments by manager
  • CATERPILLAR INC.$21.1B
Schedule C · direct and indirect
Compensation by provider
  • ALIGHT FINANCIAL ADVISORS, LLC$7M
  • PERSHING LLC$1M
  • NORTHERN TRUST COMPANY$792K
  • STRATEGIC BENEFIT ADVISORS$771K
  • CATERPILLAR INC$442K
  • RUSSELL INVESTMENTS$113K
  • PRICEWATERHOUSECOOPERS LLP$112K
  • Other (2 more)$46K
Schedule C
Service providers
11
ProviderServicesLocationDirect compensation
ALIGHT FINANCIAL ADVISORS, LLCEIN 821061233
  • 26Investment advisory (participants)
  • 50Direct payment from the plan
—$5,310,256
ALIGHT SOLUTIONS LLCEIN 821061233
  • 15Recordkeeping and information management
  • 50Direct payment from the plan
—$1,189,560
NORTHERN TRUST COMPANYEIN 361561860
  • 21Trustee (bank, trust company, or similar financial institution)
  • 50Direct payment from the plan
—$792,250
STRATEGIC BENEFIT ADVISORSEIN 030415817
  • 13Contract administrator
  • 16Consulting (general)
  • 50Direct payment from the plan
—$770,841
CATERPILLAR INCEIN 370602744
  • 30Employee (plan)
  • 50Direct payment from the plan
—$442,187
RUSSELL INVESTMENTSEIN —
  • 34Valuation (appraisals, etc.)
  • 49Other services
  • 50Direct payment from the plan
  • 51Investment management fees paid directly by plan
CHICAGO, IL$113,448
PRICEWATERHOUSECOOPERS LLPEIN 134008324
  • 10Accounting (including auditing)
  • 50Direct payment from the plan
—$112,000
CEM BENCHMARKING INCEIN —
  • 34Valuation (appraisals, etc.)
  • 50Direct payment from the plan
—$32,771
AON CONSULTINGEIN 222232264
  • 16Consulting (general)
  • 50Direct payment from the plan
—$13,672
PERSHING LLCEIN 132741729
  • 59Shareholder servicing fees
  • 61Finders' fees/placement fees
  • 71Securities brokerage commissions and fees
  • 99Other fees
—$0
ALIGHT FINANCIAL SOLUTIONS, LLCEIN 821061233
  • 33Securities brokerage
  • 61Finders' fees/placement fees
  • 63Distribution (12b-1) fees
—$0
Schedule D
DFE & pooled interests
1
EntityTypeEIN / planEOY interest
CATERPILLAR INC INVESTMENT TRUSTCATERPILLAR INC.
MMaster trust investment account320229540 / 032$21,074,963,397