Caterpillar Inc., Irving, TX. EIN 37-0602744. Annual reports 2009–2025. Also filed as Bucyrus International, Inc.; Caterpillar Global Mining, LLC; Progress Metal Reclamation Company (Mansbach Metal Company).
Caterpillar Inc. has 7 active retirement plans on file. The largest is the Caterpillar 401(k) Savings Plan, with 59,937 participants and $23.0 billion in assets in 2025. Alight has been its recordkeeper since 2011.
Caterpillar Inc. Chief Human Resources Officer, Human Resources 510 Lake Cook Road Deerfield, IL 60015 (224) 551-4000As filed for 2021
In effect since
January 1, 1975
Earlier sponsor: Progress Metal Reclamation Company (Mansbach Metal Company) (2009–2017).
Earlier plan names: Retirement Plan for Employees of Progress Metal Reclamation Company D/B/A Mansbach Metal Company.
Year by year, 2009 to 2021
Plan year
Participants
Net assets
Recordkeeper
2021
0
$0
not listed
2020
109
$3.6 million
not listed
2019
85
$4.9 million
Alight
2018
84
$4.2 million
Alight
2017
86
$4.7 million
not listed
2016
108
$3.2 million
Alight
2015
112
$3.1 million
Alight
2014
111
$3.1 million
not listed
2013
137
$3.0 million
Empower
2012
141
$2.6 million
not listed
2011
142
$2.2 million
not listed
2010
133
$2.1 million
not listed
2009
129
$1.9 million
not listed
Caterpillar 401(k) Retirement Plan
401(k) with ESOPMerged
Merged. In 2019 its assets moved to the Caterpillar 401(k) SAVINGS Plan, sponsored by Caterpillar Inc. (EIN 37-0602744, plan 035). Accounts moved with them, so that plan is the one to contact.
Caterpillar Inc. 510 Lake Cook RD Deerfield, IL 60015 (224) 551-4000As filed for 2019
In effect since
January 1, 2003
Earlier plan names: Caterpillar Inc. 401(k) Plan.
Year by year, 2009 to 2019
Plan year
Participants
Net assets
Recordkeeper
2019
0
$0
Alight
2018
11,065
$3.0 billion
Alight
2017
14,422
$3.4 billion
Alight
2016
15,751
$2.8 billion
Alight
2015
16,926
$2.5 billion
Alight
2014
18,650
$2.8 billion
Alight
2013
20,234
$2.8 billion
Alight
2012
47,497
$4.0 billion
Alight
2011
35,773
$3.5 billion
Alight
2010
39,919
$6.4 billion
Alight
2009
41,048
$4.8 billion
Alight
Caterpillar Global Mining Legacy Savings Plan
401(k) with ESOPMerged
Merged. In 2016 its assets moved to the Caterpillar Global Mining Legacy Hourly Employees' Savings Plan (EIN 36-3046063, plan 037). Accounts moved with them, so that plan is the one to contact.
Caterpillar Inc. 100 Ne Adams Street Peoria, IL 61629 (309) 675-1000As filed for 2016
In effect since
July 1, 1980
Earlier sponsors: Bucyrus International, Inc. (2009–2010); Caterpillar Global Mining, LLC (2011).
Earlier plan names: Bucyrus International, Inc. Salaried Employees' Savings Plan; Bucyrus International, Inc. Savings Plan.
Year by year, 2009 to 2016
Plan year
Participants
Net assets
Recordkeeper
2016
0
$0
Alight
2015
353
$5.0 million
Alight
2014
374
$5.2 million
Alight
2013
430
$7.4 million
Alight
2012
2,793
$38.7 million
Vanguard
2011
3,003
$137 million
Vanguard
2010
2,687
$136 million
Vanguard
2009
1,892
$101 million
Vanguard
Caterpillar Inc. Tax Deferred Savings Plan
401(k) with ESOPMerged
Merged. In 2015 its assets moved to the Caterpillar Inc. Tax Deferred Retirement Plan, sponsored by Caterpillar Inc. (EIN 37-0602744, plan 033). Accounts moved with them, so that plan is the one to contact.
Caterpillar Inc. 100 Ne Adams Street Peoria, IL 61629 (309) 675-1000As filed for 2015
In effect since
October 1, 1986
Year by year, 2009 to 2015
Plan year
Participants
Net assets
Recordkeeper
2015
0
$0
Alight
2014
4,288
$333 million
Alight
2013
4,496
$351 million
Alight
2012
6,117
$406 million
Alight
2011
6,804
$411 million
Alight
2010
7,417
$448 million
Alight
2009
8,052
$364 million
Alight
If you had money in one of these plans
Call Alight (alight.com), which runs the Caterpillar 401(k) Savings Plan. With your Social Security number and the plan name, it can tell you whether you still have a balance and, if not, where it went.
Or call the plan administrator listed on the plan below ((309) 675-1000). That number was filed for 2025; ask for the benefits or retirement plan office.
If your plan was merged, your account moved with it. Follow the link on the plan to the plan it went into, and contact that one.
If your plan closed, unclaimed balances usually went to an IRA in your name, to the PBGC's missing participants program, or to state unclaimed property. Here is how to check each one.
Still stuck? The Department of Labor's benefits advisers help for free: askebsa.dol.gov or 1-866-444-3272. Never pay anyone to find your own money.
What these numbers are
They come from the Form 5500 annual reports each plan files with the Department of Labor, as the plan filed them. A plan year is usually a calendar year.
Participants counts everyone in the plan at year end: current employees, former employees who still have a balance or a pension coming, and retirees or beneficiaries being paid.
The recordkeeper is the service provider whose Schedule C entry says it keeps the plan's records. Small plans do not file Schedule C, so some plans show none.
We cannot see anyone's account. Only the plan or its recordkeeper can tell you your balance.