401(k) · DOL Form 5500 · 2023

Caterpillar Inc. 401(k) Plan

Data updated 2026-08-25

$679M
Total assets Above avg plan size
6,387
Participants Above avg headcount
98th
Percentile by assets National rank
$106,234
Avg per participant Below avg balance/head
PlainRetire home → About this data RSS: change history

Official DOL plan name: Caterpillar Inc. Tax Deferred Retirement Plan · Sponsored by Caterpillar Inc. · Texas · Manufacturing

$679M in assets, 6,387 participants

Caterpillar Inc.'s Caterpillar Inc. Tax Deferred Retirement Plan reported $679M in total assets and 6,387 participants in its 2023 DOL Form 5500 filing, ranking in the 98th percentile by assets among filed plans. Figures are as reported by the plan sponsor to the Department of Labor, not audited or endorsed by PlainRetire.

  • #18,109 in Manufacturing (18,722 peers)

Coverage in Texas

Caterpillar Inc. Tax Deferred Retirement Plan covers 6,387 participants in Texas, 9.3x the typical Texas plan (state average ~688 per filing). Assets: $679M.

#18,109
in Manufacturing (18,722 peers)
+17.4%
assets growth YoY
6.8×
vs typical plan assets (national mean)

Caterpillar Inc. Tax Deferred Retirement Plan's outsized position by total assets

Caterpillar Inc. Tax Deferred Retirement Plan vs every filed plan by assets

End-of-year total assets · plan year 2023 · DOL Form 5500

$678,518,596 Top 2% higher than 98% of 127,068 filed plans

This plan $0 $2,050,000,000 every filed plan with reported assets, bucketed by value

Dashed line + filled bar = this entry, among filed plans.

Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2023

Caterpillar Inc. Tax Deferred Retirement Plan's large-plan peer group by participant headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Caterpillar Inc. Tax Deferred Retirement Plan lands in the large band (6,387 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Caterpillar Inc. Tax Deferred Retirement Plan reported net income rose from -$66M in the plan year 2022 filing to $100M in the plan year 2023 filing.
  • Caterpillar Inc. Tax Deferred Retirement Plan end-of-year assets rose from $578M in the plan year 2022 filing to $679M in the plan year 2023 filing.
  • Caterpillar Inc. Tax Deferred Retirement Plan reported participants rose from 6,016 in the plan year 2022 filing to 6,387 in the plan year 2023 filing.

See the national 2022→2023 release diff →

Plan-year Form 5500 strip

Filing strip 370602744 · Caterpillar Inc. PY 2023 · 401(k)

Caterpillar Inc. Tax Deferred Retirement Plan · $679M · 6,387 · 98th

  • PHOTO $679M
  • IND 6,387
  • EOY 98th
  • 5500 401(k)
  • ASSETS near The Cultural Institutions Savings Plan
  • PCT ind #18109

Stamps derive from this plan's Form 5500 line items (assets, participants, type, EIN, cohort placement) - not a quality rating of the sponsor. Read with Manufacturing retirement plans → · Plans in Texas →

Caterpillar Inc. Tax Deferred Retirement Plan in the asset neighbourhood

Royal Caribbean Cruises Ltd. Ret. Savings PlanRoyal Caribbean Cruises Ltd.…$679MCaterpillar Inc. Tax Deferred Retirement PlanCaterpillar Inc. Tax Deferre…$679MThe Cultural Institutions Savings PlanThe Cultural Institutions Sa…$678MArconic Corp. Hourly 401(k) PlanArconic Corp. Hourly 401(k) …$678MGerdau Ameristeel US 401(k) Retirement PlanGerdau Ameristeel US 401(k) …$678M
End-of-year total assets ($M) among Caterpillar Inc. Tax Deferred Retirement Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

Texas filing particulars

Total Assets (Beginning of Year)$578M
Net Assets (End of Year)$678M
Net Income$100M
Employer EIN370602744
Plan Effective Date2004-12-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Caterpillar Inc.)

Sponsor-wide plan assets over time

All Caterpillar Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$31.2B 17.462816221366566% vs 2022
2024 filing year
$26B$28B$30B$32B 202220232024 $26.6B $31.2B ▲ +17.5%
Year Plans Participants Total Assets
2022 6 59,865 $26.6B
2023 6 62,525 $29.7B
2024 6 64,709 $31.2B

Nearby 401(k) Plans in Texas

Peer 401(k) plans, same state, same plan type, ranked by total assets.

Caterpillar Inc. Tax Deferred Retirement Plan vs. nearby 401(k) plans in Texas, assets vs. participants Scatter plot of 6 data points. 050000100000150000 -1001020304050 Total assets ($B) Participants Caterpillar Inc. Tax Deferred Retirement Plan, Total assets ($B): 0.678518596 · Participants: 6387Caterpillar Inc. Tax Deferred Retirement PlanAT&T Retirement Savings Plan, Total assets ($B): 40.012012 · Participants: 119854AT&T Retirement Savings PlanExxonmobil Savings Plan, Total assets ($B): 21.917 · Participants: 23477Exxonmobil Savings PlanCaterpillar 401(k) Savings Plan, Total assets ($B): 16.496476432 · Participants: 41679Caterpillar 401(k) Savings PlanAmerican Airlines, Inc. 401(k) Plan, Total assets ($B): 14.680189879 · Participants: 88792American Airlines, Inc. 401(k) PlanDell Inc. 401(k) Plan, Total assets ($B): 13.529835 · Participants: 45686Dell Inc. 401(k) Plan
Caterpillar Inc. Tax Deferred Retirement Plan vs. nearby 401(k) plans in Texas, assets vs. participants
Compare Caterpillar Inc. Tax Deferred Retirement Plan side-by-side with 3 peers →

Scale composition for Caterpillar Inc. Tax Deferred Retirement Plan

Caterpillar Inc. Tax Deferred Retirement Plan reports $679M in end-of-year assets across 6,387 participants (0.006% of the $12.3T held by all Form 5500 filers in the national rollup , and 0.007% of 93,925,755 covered participants) - about $106,234 per participant (77% of the national average assets-per-participant) . Net income for plan year 2023 was $100M.

This plan identity (EIN 370602744, plan #033) has 3 Form 5500 filings on file from 2022 to 2024 , with end-of-year assets moving from $578M to $749M (+29.5%) while covered participants moved from 6,016 to 7,176 . Single-year sparse filers cannot show that trail.

Plan year Participants EOY assets Filing
2022 6,016 $578M Open filing
2023 6,387 $679M This page
2024 · index core 7,176 $749M Open filing

The same sponsor also keeps 4 other index-core plans on PlainRetire:

Caterpillar Inc. Tax Deferred Retirement Plan's out-of-state 401(k) peers by assets and headcount

Outside Texas, the nearest 401(k) by assets is The Cultural Institutions Savings Plan in NY ($678M); by covered participants it is Victra 401(k) Plan in NC (6,386 participants). Same-state nearby plans are listed separately above.

Closest by plan assets

Nearest other-state filings by tot_assets_eoy ($679M here).

Similar participant headcount

Nearest other-state filings by covered participants (6,387 participants); asset peers above are excluded.

DOL Form 5500 plan year 2023. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Caterpillar Inc. Tax Deferred Retirement Plan assets move in 2023? ▼
Caterpillar Inc. Tax Deferred Retirement Plan grew sharply - up 17.4% during 2023, from $578M to $679M. Reported net income was $100M.
How have Caterpillar Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Caterpillar Inc.'s sponsor-wide assets grew 17.5%, from $26.6B to $31.2B.
Where does Caterpillar Inc. Tax Deferred Retirement Plan rank by assets among Form 5500 filers? ▼
Caterpillar Inc. Tax Deferred Retirement Plan ranks in the 98th percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top 5% of all filed plans by assets).
Which 401(k) plans are similar in size to Caterpillar Inc. Tax Deferred Retirement Plan? ▼
Among 401(k) plans in other states, the closest by assets is The Cultural Institutions Savings Plan in NY ($678M, 7,978 participants).
Which 401(k) plans cover a similar participant headcount to Caterpillar Inc. Tax Deferred Retirement Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Victra 401(k) Plan in NC (6,386 participants, $40M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2023.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 370602744.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from U.S. Department of Labor Form 5500 filings (EBSA). See our methodology for details.