401(k) · DOL Form 5500 · 2023
Caterpillar Inc. 401(k) Plan
Data updated 2026-08-25
- $16.5B
- Total assets Mega-plan scale
- 41,679
- Participants Very large workforce
- 100th
- Percentile by assets National rank
- $395,798
- Avg per participant High balance/head
Official DOL plan name: Caterpillar 401(k) Savings Plan · Sponsored by Caterpillar Inc. · Texas · Manufacturing
$16.5B in assets, 41,679 participants
Caterpillar Inc.'s Caterpillar 401(k) Savings Plan reported $16.5B in total assets and 41,679 participants in its 2023 DOL Form 5500 filing, ranking in the 100th 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.
- #18,700 in Manufacturing (18,722 peers)
Coverage in Texas
Caterpillar 401(k) Savings Plan covers 41,679 participants in Texas, 61x the typical Texas plan (state average ~688 per filing). Assets: $16.5B.
- #18,700
- in Manufacturing (18,722 peers)
- +19.6%
- assets growth YoY
- 166×
- vs typical plan assets (national mean)
Caterpillar 401(k) Savings Plan's outsized position by total assets
Caterpillar 401(k) Savings Plan vs every filed plan by assets
End-of-year total assets · plan year 2023 · DOL Form 5500
$16,496,476,432 Highest reported value at or above every one of 127,068 filed plans
Dashed line + filled bar = this entry, among filed plans.
Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2023
Caterpillar 401(k) Savings Plan's mega-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 401(k) Savings Plan is a mega filing (41,679 participants), the rightmost band on the breakdown.
What changed between DOL Form 5500 filings
plan year 2022 → plan year 2023
- Caterpillar 401(k) Savings Plan reported net income rose from -$1.6B in the plan year 2022 filing to $2.7B in the plan year 2023 filing.
- Caterpillar 401(k) Savings Plan end-of-year assets rose from $13.8B in the plan year 2022 filing to $16.5B in the plan year 2023 filing.
- Caterpillar 401(k) Savings Plan reported participants rose from 38,538 in the plan year 2022 filing to 41,679 in the plan year 2023 filing.
Form 5500 schedule snapshot
Filing strip 370602744 · Caterpillar Inc. PY 2023 · 401(k)
Caterpillar 401(k) Savings Plan · $16.5B · 41,679 · 100th
- SCH $16.5B
- SCH 41,679
- SCH 100th
- SCH 401(k)
- SCH near Delta 401(k) Retirement Plan
- SCH ind #18700
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 401(k) Savings Plan in the asset neighbourhood
Texas filing particulars
| Total Assets (Beginning of Year) | $13.8B |
|---|---|
| Net Assets (End of Year) | $16.5B |
| Net Income | $2.7B |
| Employer EIN | 370602744 |
| Plan Effective Date | 2011-01-01 |
| Filing Status | FILING 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
| 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.
- AT&T Retirement Savings Plan $40.0B · 119,854
- Exxonmobil Savings Plan $21.9B · 23,477
- American Airlines, Inc. 401(k) Plan $14.7B · 88,792
- Dell Inc. 401(k) Plan $13.5B · 45,686
- Toyota Motor North America, Inc. Retirement Savings Plan $11.9B · 42,788
Scale composition for Caterpillar 401(k) Savings Plan
Caterpillar 401(k) Savings Plan reports $16.5B in end-of-year assets across 41,679 participants (0.13% of the $12.3T held by all Form 5500 filers in the national rollup , and 0.044% of 93,925,755 covered participants) - about $395,798 per participant (2.9x the national average assets-per-participant) . Net income for plan year 2023 was $2.7B.
This plan identity (EIN 370602744, plan #035) has 3 Form 5500 filings on file from 2022 to 2024 , with end-of-year assets moving from $13.8B to $18.8B (+36.4%) while covered participants moved from 38,538 to 43,873 . Single-year sparse filers cannot show that trail.
| Plan year | Participants | EOY assets | Filing |
|---|---|---|---|
| 2022 | 38,538 | $13.8B | Open filing |
| 2023 | 41,679 | $16.5B | This page |
| 2024 · index core | 43,873 | $18.8B | Open filing |
The same sponsor also keeps 4 other index-core plans on PlainRetire:
- Caterpillar 401(k) Savings Plan (401(k), $18.8B, 43,873 participants)
- Caterpillar Inc. Retirement Income Plan (Defined Benefit (Pension), $9.2B, 11,498 participants)
- Caterpillar Inc. Non-Contributory Pension Plan (Defined Benefit (Pension), $2.4B, 1,749 participants)
- Caterpillar Inc. Tax Deferred Retirement Plan (401(k), $749M, 7,176 participants)
Caterpillar 401(k) Savings Plan's out-of-state 401(k) peers by assets and headcount
Outside Texas, the nearest 401(k) by assets is Delta 401(k) Retirement Plan in GA ($16.2B); by covered participants it is Salesforce 401(k) Plan in CA (41,578 participants). Same-state nearby plans are listed separately above.
Closest by plan assets
Nearest other-state filings by tot_assets_eoy ($16.5B here).
- Delta 401(k) Retirement Plan (GA) $16.2B · 83,136
- State Farm 401(k) Savings Plan (IL) $16.9B · 60,246
- The Teamster - UPS National 401(k) Tax Deferred Savings Plan (GA) $17.2B · 510,511
- Comcast Corporation Retirement - Investment Plan (PA) $17.4B · 93,136
Similar participant headcount
Nearest other-state filings by covered participants (41,679 participants); asset peers above are excluded.
- Salesforce 401(k) Plan (CA) 41,578 · 101 off
- Johnson and Johnson Savings Plan (NJ) 41,291 · 388 off
- Select Medical Corporation 401(k) Plan (PA) 42,145 · 466 off
- Meijer 401(k) Retirement Plan II (MI) 42,227 · 548 off
DOL Form 5500 plan year 2023. Asset totals can differ widely at the same headcount; neither axis is a quality rating.