CATERPILLAR FOUNDATION: Form 990PF, tax year 2021
View the entire original 990 at ProPublica ↗
- Organization
- CATERPILLAR FOUNDATION (EIN 37-6022314)
- Tax period
- 2021-01-01 to 2021-12-31
- Filed
- 2022-09-13
- IRS object ID
- 202202569349100425
- Schema version
- 2021v4.2
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990-PF
- Schedule B
- Depreciation Schedule
- Expenditure Responsibility Stmt
- Investments Corp Bonds Schedule
- Investments Corp Stock Schedule
- Investments Govt Obligations Sch
- Investments Other Schedule2
- Other Expenses Schedule
- Other Income Schedule2
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2022-09-13T14:31:08-05:00 | ReturnTs |
| Tax Period End | 2021-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | ERNST & YOUNG US LLP | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 155 N Wacker Drive | AddressLine1Txt |
| City | Chicago | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 60606 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2021-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 376022314 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Caterpillar Foundation | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| In Care Of | % KYLENE ANTHONY | InCareOfNm |
| Business Name Control | CATE | BusinessNameControlTxt |
| Phone | 3096751000 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 N E Adams St | AddressLine1Txt |
| City | Peoria | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 616295190 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | ASHA VARGHESE | PersonNm |
| Person Title | president | PersonTitleTxt |
| Phone | 3096751000 | PhoneNum |
| Signature | 2022-09-13 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Signing Officer SigningOfficerGrp
Person Full Name PersonFullName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person First | ASHA | PersonFirstNm |
| Person Last | VARGHESE | PersonLastNm |
| Field | Value | IRS element (for citing) |
|---|---|---|
| SSN | 999009999 | SSN |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | Katherine Kurtman | PreparerPersonNm |
| PTIN | P01236691 | PTIN |
| Phone | 3128792183 | PhoneNum |
Additional Filer Information AdditionalFilerInformation
Trusted Customer TrustedCustomerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trusted Customer | 3 | TrustedCustomerCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2021 | TaxYr |
| Build TS | 2023-04-26 12:10:37Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $144,362,344 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $51,400,000 | ContriRcvdRevAndExpnssAmt |
| Interest On Sav Rev And Expnss | $14,623,908 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $14,623,908 | InterestOnSavNetInvstIncmAmt |
| Dividends Rev And Expnss | $2,559,394 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $2,559,394 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $3,711,147 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $21,730,233 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $3,711,147 | CapGainNetIncmNetInvstIncmAmt |
| Total Rev And Expnss | $72,294,449 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $20,894,449 | TotalNetInvstIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $0 | CompOfcrDirTrstRevAndExpnssAmt |
| Other Prof Fees Rev And Expnss | $1,436,002 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $471,384 | OtherProfFeesNetInvstIncmAmt |
| Other Prof Fees Dsbrs Chrtbl | $964,618 | OtherProfFeesDsbrsChrtblAmt |
| Taxes Rev And Expnss | $278,284 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $27,367 | TaxesNetInvstIncmAmt |
| Trav Conf Meeting Rev And Expnss | $15 | TravConfMeetingRevAndExpnssAmt |
| Trav Conf Meeting Dsbrs Chrtbl | $15 | TravConfMeetingDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $73,746 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Dsbrs Chrtbl | $73,746 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $1,788,047 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $498,751 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $1,038,379 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $41,037,840 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $41,037,840 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $42,825,887 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $498,751 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Dsbrs Chrtbl | $42,076,219 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $29,468,562 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $20,395,698 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $20,767,835 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $12,335,412 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $12,335,412 | SavAndTempCashInvstEOYFMVAmt |
| US Government Obligations BOY | $8,966,104 | USGovernmentObligationsBOYAmt |
| US Government Obligations EOY | $14,886,926 | USGovernmentObligationsEOYAmt |
| US Govt Obligations EOYFMV | $14,904,719 | USGovtObligationsEOYFMVAmt |
| Corporate Stock BOY | $16,764,276 | CorporateStockBOYAmt |
| Corporate Stock EOY | $20,683,795 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $25,225,655 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $8,540,927 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $12,660,807 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $12,772,582 | CorporateBondsEOYFMVAmt |
| Other Investments BOY | $38,567,517 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $62,508,281 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $79,123,976 | OtherInvestmentsEOYFMVAmt |
| Total Assets BOY | $93,606,659 | TotalAssetsBOYAmt |
| Total Assets EOY | $123,075,221 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $144,362,344 | TotalAssetsEOYFMVAmt |
| Total Liabilities BOY | $0 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow FASB117 | Yes (X) | OrgDoesNotFollowFASB117Ind |
| Retained Earning BOY | $93,606,659 | RetainedEarningBOYAmt |
| Retained Earning EOY | $123,075,221 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $93,606,659 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $123,075,221 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $93,606,659 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $123,075,221 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $93,606,659 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $29,468,562 | ExcessRevenueOverExpensesAmt |
| Subtotal | $123,075,221 | SubtotalAmt |
| Tot Net Ast Or Fund Balances EOY | $123,075,221 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (3 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|---|
| ST CAPITAL GAINS | P | $11,304,063 | $10,194,357 | $1,109,706 | $1,109,706 |
| LT CAPITAL GAINS | P | $10,402,546 | $7,824,729 | $2,577,817 | $2,577,817 |
| MERRIL LYNCH LT CAPITAL GAINS DIST. | P | $23,624 | $23,624 | $23,624 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $3,711,147 | CapitalGainNetIncomeAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $283,500 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $283,500 | SubtotalAmt |
| Tax Based On Investment Income | $283,500 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $361,400 | EstimatedPlusOvpmtIncmTxAmt |
| Exempt Frgn Org Tax Wthld At Srce | $0 | ExemptFrgnOrgTaxWthldAtSrceAmt |
| Total Payments And Credits | $361,400 | TotalPaymentsAndCreditsAmt |
| Form2220 Attached | Yes (X) | Form2220AttachedInd |
| Es Penalty | $0 | EsPenaltyAmt |
| Overpayment | $77,900 | OverpaymentAmt |
| Applied To ES Tax | $77,900 | AppliedToESTaxAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | false | LegislativePoliticalActyInd |
| More Than100 Spent | false | MoreThan100SpentInd |
| Form1120 POL Filed | false | Form1120POLFiledInd |
| Section4955 Organization Tax | $0 | Section4955OrganizationTaxAmt |
| Section4955 Managers Tax | $0 | Section4955ManagersTaxAmt |
| Tax Reimbursed | $0 | TaxReimbursedAmt |
| Activities Not Previously Rpt | false | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | false | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | false | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (true) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (true) | AtLeast5000InAssetsInd |
| Org Report Or Register State | IL | OrgReportOrRegisterStateCd |
| Form990 PF Filed With Atty Gen | Yes (true) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | false | PrivateOperatingFoundationInd |
| New Substantial Contributors | false | NewSubstantialContributorsInd |
| Own Controlled Entity | false | OwnControlledEntityInd |
| Donor Advised Fund | false | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (true) | ComplyWithPublicInspRqrInd |
Persons With Books Name PersonsWithBooksName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | KYLENE ANTHONY | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 3096751000 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 NE ADAMS ST | AddressLine1Txt |
| City | peoria | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 616295425 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | Yes (true) | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | false | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | false | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | false | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | false | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | false | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | false | PaymentToGovernmentOfficialInd |
| Uncorrected Prior Acts | false | UncorrectedPriorActsInd |
| Undistributed Income PY | false | UndistributedIncomePYInd |
| Business Holdings | false | BusinessHoldingsInd |
| Jeopardy Investments | false | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | false | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | false | InfluenceLegislationInd |
| Influence Election | false | InfluenceElectionInd |
| Grants To Individuals | false | GrantsToIndividualsInd |
| Grants To Organizations | Yes (true) | GrantsToOrganizationsInd |
| Noncharitable Purpose | false | NoncharitablePurposeInd |
| Transactions Fail To Qlfy As Exc | false | TransactionsFailToQlfyAsExcInd |
| Maintained Expenditure Rspns | Yes (true) | MaintainedExpenditureRspnsInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | false | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | false | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTransInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | false | SubjToTaxRmnrtnExPrchtPymtInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (11 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|
| Bob De Lange | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Kathryn Dickey Karol | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | Chairman of the Board | 0.1 | $0 | $0 | $0 |
| CATERPILLAR INC | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | MEMBER | 0.1 | $0 | $0 | $0 |
| Cheryl Johnson | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Denise Carolyn Johnson | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Joseph Edward Creed | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Raymond Chan | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Kevin Todd Stoller | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | TREASURER | 0.1 | $0 | $0 | $0 |
| Songkang Cheng | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | SECRETARY | 0.1 | $0 | $0 | $0 |
| Asha Varghese | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | PRESIDENT AND DIRECTOR | 0.1 | $0 | $0 | $0 |
| Brian Colgan | ||||||||
| 100 N E Adams St | Peoria | IL | 616295190 | Vice President | 0.1 | $0 | $0 | $0 |
Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp (5 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | Service TypeServiceTypeTxt | CompensationCompensationAmt |
|---|---|---|---|---|---|
| APCO WORLDWIDE LLC | |||||
| 1299 Pennsylvania Ave NW 300 | WASHINGTON | DC | 20004 | CONSULTING | $427,852 |
| Handshake Partners LLC | |||||
| PO BOX 614 | ZIONSVILLE | IN | 46077 | CONSULTING | $135,000 |
| GIVE2ASIA | |||||
| 2201 BROADWAY ST 4TH FLOOR | OAKLAND | CA | 94612 | GRANT PROCESSING SVC | $156,186 |
| CYBERGRANTS LLC | |||||
| 300 BRICKSTONE SQ STE 601 | ANDOVER | MA | 01810 | GRANT PROCESSING SVC | $84,850 |
| CHARITIES AID FOUNDATION AMERICA | |||||
| 225 REINEKERS LN | ALEXANDRIA | VA | 22314 | consulting | $70,888 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Summary Of Direct Chrtbl Acty | SummaryOfDirectChrtblActyGrp | |
| Sum Of Program Related Invst | SumOfProgramRelatedInvstGrp |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $101,180,421 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $29,390,594 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $130,571,015 | TotalFMVOfUnusedAssetsAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $130,571,015 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $1,958,565 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $128,612,450 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $6,430,623 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $6,430,623 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $283,500 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $283,500 | TotalTaxAmt |
| Distributable Before Adj | $6,147,123 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $6,147,123 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $6,147,123 | DistributableAsAdjustedAmt |
PF Qualifying Distributions PFQualifyingDistributionsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $42,076,219 | ExpensesAndContributionsAmt |
| Program Related Invst Total | $0 | ProgramRelatedInvstTotalAmt |
| Charitable Assets Acquis Paid | $0 | CharitableAssetsAcquisPaidAmt |
| Set Aside Suitability Test | $0 | SetAsideSuitabilityTestAmt |
| Set Aside Cash Distri Test | $0 | SetAsideCashDistriTestAmt |
| Qualifying Distributions | $42,076,219 | QualifyingDistributionsAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $6,147,123 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $0 | UndistributedIncomePYAmt |
| Prior Year1 | 2019 | PriorYear1Yr |
| Prior Year2 | 2018 | PriorYear2Yr |
| Prior Year3 | 2017 | PriorYear3Yr |
| Total For Prior Years | $0 | TotalForPriorYearsAmt |
| Excess Distribution Cyov Yr5 | $36,437,978 | ExcessDistributionCyovYr5Amt |
| Excess Distribution Cyov Yr4 | $35,467,828 | ExcessDistributionCyovYr4Amt |
| Excess Distribution Cyov Yr3 | $27,976,471 | ExcessDistributionCyovYr3Amt |
| Excess Distribution Cyov Yr2 | $26,474,651 | ExcessDistributionCyovYr2Amt |
| Excess Distribution Cyov Yr1 | $34,906,143 | ExcessDistributionCyovYr1Amt |
| Total Excess Distribution Cyov | $161,263,071 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $42,076,219 | QualifyingDistributionsAmt |
| Applied To Year1 | $0 | AppliedToYear1Amt |
| Applied To Current Year | $6,147,123 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $35,929,096 | RemainingDistriFromCorpusAmt |
| Total Corpus | $197,192,167 | TotalCorpusAmt |
| Prior Year Undistributed Incm | $0 | PriorYearUndistributedIncmAmt |
| Taxable1 | $0 | Taxable1Amt |
| Taxable2 | $0 | Taxable2Amt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Excess Distri Cyov From Yr5 | $36,437,978 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $160,754,189 | ExcessDistriCyovToNextYrAmt |
| Excess From Year4 | $35,467,828 | ExcessFromYear4Amt |
| Excess From Year3 | $27,976,471 | ExcessFromYear3Amt |
| Excess From Year2 | $26,474,651 | ExcessFromYear2Amt |
| Excess From Year1 | $34,906,143 | ExcessFromYear1Amt |
| Excess From Current Year | $35,929,096 | ExcessFromCurrentYearAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Private Operating Foundations | PrivateOperatingFoundationsGrp |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | CATERPILLAR INC | ContributingManagerNm |
Application Submission Info ApplicationSubmissionInfoGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Recipient Person | online applications only | RecipientPersonNm |
Recipient US Address RecipientUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 n e adams st | AddressLine1Txt |
| City | peoria | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 616295425 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Recipient Phone | 3096751000 | RecipientPhoneNum |
| Form And Info And Materials | THE GRANT INFORMATION IS ONLINE AT https://www.caterpillar.com/en/company/caterpillar-foundation/matching -gifts.html | FormAndInfoAndMaterialsTxt |
| Submission Deadlines | VARY BY PROGRAM | SubmissionDeadlinesTxt |
| Restrictions On Awards | KEY ELIGIBILITY CRITERIA FOR RECEIVING AWARDS: - ALIGN WITH THE FOUNDATION'S VALUES - ALIGN WITH THE FOUNDATION'S MISSION AND THE FOUNDATION'S FOCUS AREA - PROGRAM MUST BE DELIVERED IN THE AREA SURROUNDING CATERPILLAR FACILITY (SOME EXCEPTIONS) - MUST HAVE 501(C)(3) NONPROFIT STATUS OR INTERNATIONAL EQUIVALENT - MUST PROVIDE THE FOLLOWING FINANCIAL DOCUMENTS: (1) EXTERNALLY AUDITED FINANCIAL STATEMENTS AND (2) IRS FULL FORM 990 PREPARED ON THE ACCRUAL METHOD FOR US BASED ORGANIZATIONS - MUST BE ORGANIZATION WITH HEALTHY FINANCIAL PERFORMANCE AND REASONABLE ADMINISTRATIVE OVERHEAD - PROGRAM MUST BE ABLE TO QUANTITATIVELY MEASURE INDICATORS IN FOCUS AREA GENERALLY, AREAS OF NON-ALIGNMENT INCLUDE: - CAPITAL CAMPAIGNS (INFRASTRUCTURE, EXPANSION, RENOVATION, EQUIPMENT, ETC.) - RELIGIOUS ORGANIZATIONS (ORGANIZATIONS CLASSIFIED AS CHURCHES) - SCHOLARSHIPS - DIRECT BENEFIT TO CATERPILLAR, ITS SUBSIDIARIES, DEALERS, EMPLOYEE OR CUSTOMERS - ORGANIZATIONS WITH DISCRIMINATORY POLICIES - HOSPITALS | RestrictionsOnAwardsTxt |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp
Recipient Business Name RecipientBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | See attached list | BusinessNameLine1Txt |
Recipient US Address RecipientUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | various | AddressLine1Txt |
| City | various | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 00000 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Recipient Relationship | none | RecipientRelationshipTxt |
| Recipient Foundation Status | PC | RecipientFoundationStatusTxt |
| Grant Or Contribution Purpose | See attached list | GrantOrContributionPurposeTxt |
| Amt | $41,037,840 | Amt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $41,037,840 | TotalGrantOrContriPdDurYrAmt |
Grant Or Contri Apprv For Fut GrantOrContriApprvForFutGrp
Recipient Business Name RecipientBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | see attached list | BusinessNameLine1Txt |
Recipient US Address RecipientUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | various | AddressLine1Txt |
| City | various | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 00000 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Recipient Relationship | none | RecipientRelationshipTxt |
| Recipient Foundation Status | PC | RecipientFoundationStatusTxt |
| Grant Or Contribution Purpose | see attached | GrantOrContributionPurposeTxt |
| Amt | $8,060,600 | Amt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Apprv Fut | $8,060,600 | TotalGrantOrContriApprvFutAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Fees Contracts From Govt Ag | FeesContractsFromGovtAgGrp | |
| Membership Dues And Assmnt | MembershipDuesAndAssmntGrp |
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $14,623,908 | ExclusionAmt |
Dividends And Interest From Sec Dtl DividendsAndInterestFromSecDtl
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $2,559,394 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Net Rntl Incm Re Debt Fincd Prop | NetRntlIncmReDebtFincdPropGrp | |
| Net Rntl Incm Re Not Debt Fincd Prop | NetRntlIncmReNotDebtFincdProp | |
| Net Rental Income Personal Prop | NetRentalIncomePersonalPropGrp | |
| Other Investment Income | OtherInvestmentIncomeGrp |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $3,711,147 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Net Income Loss From Special Evt | NetIncomeLossFromSpecialEvtGrp | |
| Gross Profit Loss Sls Of Invntry | GrossProfitLossSlsOfInvntryGrp |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $20,894,449 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $20,894,449 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | false | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | false | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | false | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | false | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | false | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | false | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | false | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | false | RelationshipsNonchrtblEOInd |
Schedule B IRS990ScheduleB
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| General Rule | Yes (X) | GeneralRuleInd |
Contributor Information ContributorInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributor | 1 | ContributorNum |
| Contributor Person | CATERPILLAR INC | ContributorPersonNm |
Contributor US Address ContributorUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 NE ADAMS ST | AddressLine1Txt |
| City | PEORIA | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 616295425 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Contributions | $51,400,000 | TotalContributionsAmt |
| Person Contribution | Yes (X) | PersonContributionInd |
Depreciation Schedule DepreciationSchedule
Expenditure Responsibility Stmt ExpenditureResponsibilityStmt
Expenditure Responsibility ExpenditureResponsibilityGrp (6 entries)
| Address Line1ForeignAddress/AddressLine1Txt | CityForeignAddress/CityNm | CountryForeignAddress/CountryCd | Foreign PostalForeignAddress/ForeignPostalCd | GrantGrantDt | GrantGrantAmt | Purpose Of GrantPurposeOfGrantTxt | Any Diversion By GranteeAnyDiversionByGranteeTxt | Dates Of Reports By GranteeDatesOfReportsByGranteeTxt | VerificationVerificationDt | Results Of VerificationResultsOfVerificationTxt | Expended By GranteeExpendedByGranteeAmt |
|---|---|---|---|---|---|---|---|---|---|---|---|
| China Development Research Foundation | |||||||||||
| INTERNATIONAL CENTER NO 136 | beijing | CH | 100011 | 2021-09-27 | $402,701 | For the Future: Secondary and Post-Secondary Vocational Education Program | NO | 01/29/2022 | 2022-01-29 | TO THE KNOWLEDGE OF THE FOUNDATION AND BASED ON REPORTS FURNISHED BY THE GRANTEE, NO PART OF THE GRANT HAS BEEN USED FOR OTHER THAN ITS INTENDED PURPOSE. | |
| China Environmental Protection Found | |||||||||||
| ENVIORNMENT BUILDING NO 16 | BEIJING | CH | 100062 | 2021-09-27 | $42,964 | CHINA-Caterpillar Foundation Global Planting Events | NO | 01/28/2022 | 2022-01-28 | TO THE KNOWLEDGE OF THE FOUNDATION AND BASED ON REPORTS FURNISHED BY THE GRANTEE, NO PART OF THE GRANT HAS BEEN USED FOR OTHER THAN ITS INTENDED PURPOSE. | $1,575 |
| CHINA FOUNDATION FOR POVERTY ALLEVIATION | |||||||||||
| SOUTH BUILDING 36 SHUANGYUSHUXILI | BEIJING | CH | 100086 | 2021-09-27 | $354,251 | Disaster Preparedness and Relief 2021 Program | NO | 01/24/2022 | 2022-01-24 | TO THE KNOWLEDGE OF THE FOUNDATION AND BASED ON REPORTS FURNISHED BY THE GRANTEE, NO PART OF THE GRANT HAS BEEN USED FOR OTHER THAN ITS INTENDED PURPOSE. | |
| China Environmental Protection Found | |||||||||||
| ENVIORNMENT BUILDING NO 16 | Beijing | CH | 100062 | 2021-11-19 | $508,460 | Community-based Wetland Habitat Improving and Restoring | NO | 01/28/2022 | 2022-01-28 | TO THE KNOWLEDGE OF THE FOUNDATION AND BASED ON REPORTS FURNISHED BY THE GRANTEE, NO PART OF THE GRANT HAS BEEN USED FOR OTHER THAN ITS INTENDED PURPOSE. | $31,527 |
| JR ACHV DEV CENTER in Lianhu District | |||||||||||
| 169 Miaohou Street Lianhu District | beijing | CH | 100020 | 2021-11-19 | $252,681 | STEM Education-Manufacturing Your Future | NO | 02/19/2022 | 2022-02-19 | TO THE KNOWLEDGE OF THE FOUNDATION AND BASED ON REPORTS FURNISHED BY THE GRANTEE, NO PART OF THE GRANT HAS BEEN USED FOR OTHER THAN ITS INTENDED PURPOSE. | $26,769 |
| Shanghai Better Education Dev Center | |||||||||||
| Jiedi Bldg 2790 Zhongshan Road N | Shanghai | CH | 200063 | 2021-12-15 | $464,153 | Aflateen Youth Sustainable Development Program | NO | 01/30/2022 | 2022-01-30 | TO THE KNOWLEDGE OF THE FOUNDATION AND BASED ON REPORTS FURNISHED BY THE GRANTEE, NO PART OF THE GRANT HAS BEEN USED FOR OTHER THAN ITS INTENDED PURPOSE. | $10 |
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corporate Bonds InvestmentsCorporateBondsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond | SEE ATTACHMENT | BondNm |
| EOY Book Value | $12,660,807 | EOYBookValueAmt |
| EOYFMV | $12,772,582 | EOYFMVAmt |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Stock | SEE ATTACHMENT | StockNm |
| EOY Book Value | $20,683,795 | EOYBookValueAmt |
| EOYFMV | $25,225,655 | EOYFMVAmt |
Investments Govt Obligations Sch InvestmentsGovtObligationsSch
| Field | Value | IRS element (for citing) |
|---|---|---|
| US Govt Obligations Book Vl EOY | $14,886,926 | USGovtObligationsBookVlEOYAmt |
| US Govt Obligations EOYFMV | $14,904,719 | USGovtObligationsEOYFMVAmt |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOtherGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category Or Item | SEE ATTACHMENT | CategoryOrItemTxt |
| Book Value | $62,508,281 | BookValueAmt |
| EOYFMV | $79,123,976 | EOYFMVAmt |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (9 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|
| UNITED WAY CAMPAIGN | $4,921 | $4,921 |
| GUIDESTAR DATA EXPENSE | $6,800 | $6,800 |
| COUNCIL ON FOUNDATIONS | $20,000 | $20,000 |
| CHINA REGISTRATION FEES | $502 | $502 |
| OTHER FEES | $148 | $148 |
| SOCIAL INNOVATION SUMMIT FEE | $7,500 | $7,500 |
| ACCP MEMBERSHIP | $6,875 | $6,875 |
| CORP. CITIZENSHIP MEMBERSHIP | $25,000 | $25,000 |
| GCL ADVISORY COUNCIL FEE | $2,000 | $2,000 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | JPMC REBATE INCOME | Desc |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | CONSULTANTS FEES | CategoryTxt |
| Amt | $1,436,002 | Amt |
| Net Investment Income | $471,384 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $964,618 | DisbursementsCharitablePrpsAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (2 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| EXCISE TAX | $250,917 | |
| FOREIGN TAX | $27,367 | $27,367 |
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