CATERPILLAR INC.
This is a pooled fund: many plans invest in it, and it holds the underlying securities.
This filing is a Direct Filing Entity (DFE) — a master trust or collective investment trust that pools assets from multiple participating plans. It does not have plan participants of its own, and the Plan Health Score formula doesn’t apply. Individual participant-facing plans that invest in this trust are the appropriate target for fiduciary analysis.
Cited interest vs pooled assets: cited interest sums what each participating plan reported holding in this trust, measured at that plan’s own year-end — and those filings span different years. Pooled assets is this single filing’s balance at one date. They’re independent measurements, so cited interest can land slightly above or below the pooled balance and won’t reconcile exactly.
Why no Schedule of Assets here? DFE holdings often live on the master trust’s own audited statement, not as a 4i schedule on the participating plans’ filings. We’re extending the parsing pipeline to cover DFE filings — see Methodology.
Service providers (Schedule C)
10 rows| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NORTHERN TRUST COMPANY | 36-1561860 | — | TRUSTEE | $125K | — |
| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CATERPILLAR INC. | 37-0602744 | — | PLAN ADMINISTRATOR | $115K | — |
| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BSWIFT LLC | 36-4391310 | — | NONE | $4.1M | — |
| UNITED HEALTHCARE INSURANCE COMPANY | 52-2202130 | — | NONE | $155K | — |
| JACOBS LEVY EQUITY MANAGEMENT | 22-2774695 | — | NONE | $138K | — |
| NEUBERGER & BERMAN | 02-0654486 | — | NONE | $92K | — |
| MAR VISTA INVESTMENT PARTNERS | 56-2671142 | — | NONE | $78K | — |
| WESTERN ASSET MANAGEMENT CO | 95-2705767 | — | NONE | $45K | — |
| RUSSELL INVESTMENTS | 91-1175092 | — | NONE | $18K | — |
| MERCER INVESTMENT MANAGEMENT INC | 30-0282430 | — | NONE | $10K | — |
Investments
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| WESTERN ASSET US CORE PLUS, LLC WESTERN ASSET MANAGEMENT COMPANY, LLC · EIN 20-1575788 / PN 001 | 103-12 Investment Entity | — | — | $19.7M | 22.4% | |
| COLLECTIVE SHORT-TERM INVESTMENT FD NORTHERN TRUST INVESTMENT, INC. · EIN 45-6138589 / PN 084 | Common Collective Trust | — | — | $4.7M | 5.3% | |
| NT COL RUSSELL 1000 INDX FD NL NORTHERN TRUST INVESTMENTS, INC. · EIN 45-6138589 / PN 095 | Common Collective Trust | — | — | $2.3M | 2.7% | |
| NT COL ALL CNTRY WRLD EX-US IMI NL NORTHERN TRUST INVESTMENTS, INC. · EIN 45-6138589 / PN 125 | Common Collective Trust | — | — | $2.2M | 2.4% |