CATERPILLAR FOUNDATION: Form 990PF, tax year 2020
View the entire original 990 at ProPublica ↗
- Organization
- CATERPILLAR FOUNDATION (EIN 37-6022314)
- Tax period
- 2020-01-01 to 2020-12-31
- Filed
- 2021-06-21
- IRS object ID
- 202131729349101218
- Schema version
- 2020v4.1
- 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 | 2021-06-21T15:22:23-05:00 | ReturnTs |
| Tax Period End | 2020-12-31 | 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 | 2020-01-01 | 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 | 616295425 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | ASHA VARGHESE | PersonNm |
| Person Title | president | PersonTitleTxt |
| Phone | 3096751000 | PhoneNum |
| Signature | 2021-06-12 | 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 | JACOB J ZEHNDER | PreparerPersonNm |
| PTIN | P01564049 | PTIN |
| Phone | 3128792000 | PhoneNum |
Additional Filer Information AdditionalFilerInformation
Trusted Customer TrustedCustomerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trusted Customer | 2 | TrustedCustomerCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2020 | TaxYr |
| Build TS | 2022-09-23 18:48:47Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $106,834,258 | 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 | $40,501,825 | ContriRcvdRevAndExpnssAmt |
| Interest On Sav Rev And Expnss | $8,117,703 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $8,117,703 | InterestOnSavNetInvstIncmAmt |
| Dividends Rev And Expnss | $1,749,096 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $1,748,171 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $4,043,203 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $38,616,066 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $4,043,203 | CapGainNetIncmNetInvstIncmAmt |
| Total Rev And Expnss | $54,411,827 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $13,909,077 | TotalNetInvstIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $0 | CompOfcrDirTrstRevAndExpnssAmt |
| Other Prof Fees Rev And Expnss | $2,176,390 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $352,706 | OtherProfFeesNetInvstIncmAmt |
| Other Prof Fees Dsbrs Chrtbl | $1,823,684 | OtherProfFeesDsbrsChrtblAmt |
| Taxes Rev And Expnss | $316,610 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $28,527 | TaxesNetInvstIncmAmt |
| Trav Conf Meeting Rev And Expnss | $43,974 | TravConfMeetingRevAndExpnssAmt |
| Trav Conf Meeting Dsbrs Chrtbl | $43,974 | TravConfMeetingDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $27,920 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Dsbrs Chrtbl | $25,920 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $2,564,894 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $381,233 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $1,893,578 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $37,889,309 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $37,889,309 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $40,454,203 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $381,233 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Dsbrs Chrtbl | $39,782,887 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $13,957,624 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $13,527,844 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $23,441,431 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $20,767,835 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $20,767,835 | SavAndTempCashInvstEOYFMVAmt |
| US Government Obligations BOY | $7,970,883 | USGovernmentObligationsBOYAmt |
| US Government Obligations EOY | $8,966,104 | USGovernmentObligationsEOYAmt |
| US Govt Obligations EOYFMV | $9,299,112 | USGovtObligationsEOYFMVAmt |
| Corporate Stock BOY | $7,875,576 | CorporateStockBOYAmt |
| Corporate Stock EOY | $16,764,276 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $20,335,458 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $9,129,063 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $8,540,927 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $9,046,120 | CorporateBondsEOYFMVAmt |
| Other Investments BOY | $31,232,082 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $38,567,517 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $47,385,733 | OtherInvestmentsEOYFMVAmt |
| Total Assets BOY | $79,649,035 | TotalAssetsBOYAmt |
| Total Assets EOY | $93,606,659 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $106,834,258 | TotalAssetsEOYFMVAmt |
| Total Liabilities BOY | $0 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow FASB117 | Yes (X) | OrgDoesNotFollowFASB117Ind |
| Retained Earning BOY | $79,649,035 | RetainedEarningBOYAmt |
| Retained Earning EOY | $93,606,659 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $79,649,035 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $93,606,659 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $79,649,035 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $93,606,659 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $79,649,035 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $13,957,624 | ExcessRevenueOverExpensesAmt |
| Subtotal | $93,606,659 | SubtotalAmt |
| Tot Net Ast Or Fund Balances EOY | $93,606,659 | 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 | $11,244,128 | $11,200,501 | $43,627 | $43,627 |
| LT CAPITAL GAINS | P | $27,312,701 | $23,372,370 | $3,940,331 | $3,940,331 |
| MERRIL LYNCH LT CAPITAL GAINS DIST. | P | $59,245 | $59,245 | $59,245 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $4,043,203 | CapitalGainNetIncomeAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $188,037 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $188,037 | SubtotalAmt |
| Tax Based On Investment Income | $188,037 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $298,751 | EstimatedPlusOvpmtIncmTxAmt |
| Exempt Frgn Org Tax Wthld At Srce | $0 | ExemptFrgnOrgTaxWthldAtSrceAmt |
| Total Payments And Credits | $298,751 | TotalPaymentsAndCreditsAmt |
| Form2220 Attached | Yes (X) | Form2220AttachedInd |
| Overpayment | $110,714 | OverpaymentAmt |
| Applied To ES Tax | $110,714 | 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 |
| Foreign Country | CH | ForeignCountryCd |
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 (10 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 | 616295425 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Kathryn Dickey Karol | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | Chairman of the Board | 0.1 | $0 | $0 | $0 |
| CATERPILLAR INC | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | MEMBER | 0.1 | $0 | $0 | $0 |
| Cheryl Johnson | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Denise Carolyn Johnson | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Joseph Edward Creed | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Raymond Chan | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | DIRECTOR | 0.1 | $0 | $0 | $0 |
| Kevin Todd Stoller | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | TREASURER | 0.1 | $0 | $0 | $0 |
| Jennifer Kaplan Schott | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | SECRETARY | 0.1 | $0 | $0 | $0 |
| Asha Varghese | ||||||||
| 100 N E Adams St | Peoria | IL | 616295425 | PRESIDENT AND DIRECTOR | 0.1 | $0 | $0 | $0 |
Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp (4 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | Service TypeServiceTypeTxt | CompensationCompensationAmt |
|---|---|---|---|---|---|
| Handshake Partners LLC | |||||
| PO BOX 614 | ZIONSVILLE | IN | 46077 | CONSULTING | $1,110,000 |
| Give2Asia | |||||
| 2201 Broadway St 4th Floor | OAKLAND | CA | 94612 | grant processing svc | $305,444 |
| CYBERGRANTS LLC | |||||
| 300 BRICKSTONE SQ STE 601 | ANDOVER | MA | 01810 | GRANT PROCESSING SVC | $85,892 |
| CHARITIES AID FOUNDATION AMERICA | |||||
| 225 Reinekers Ln | ALEXANDRIA | VA | 22314 | GRANT PROCESSING SVC | $68,644 |
| 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 | $71,346,627 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $31,491,571 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $102,838,198 | TotalFMVOfUnusedAssetsAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $102,838,198 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $1,542,573 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $101,295,625 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $5,064,781 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $5,064,781 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $188,037 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $188,037 | TotalTaxAmt |
| Distributable Before Adj | $4,876,744 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $4,876,744 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $4,876,744 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $39,782,887 | 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 | $39,782,887 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $0 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $39,782,887 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $4,876,744 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $0 | UndistributedIncomePYAmt |
| Prior Year1 | 2018 | PriorYear1Yr |
| Prior Year2 | 2017 | PriorYear2Yr |
| Prior Year3 | 2016 | PriorYear3Yr |
| Total For Prior Years | $0 | TotalForPriorYearsAmt |
| Excess Distribution Cyov Yr5 | $51,391,550 | ExcessDistributionCyovYr5Amt |
| Excess Distribution Cyov Yr4 | $36,437,978 | ExcessDistributionCyovYr4Amt |
| Excess Distribution Cyov Yr3 | $35,467,828 | ExcessDistributionCyovYr3Amt |
| Excess Distribution Cyov Yr2 | $27,976,471 | ExcessDistributionCyovYr2Amt |
| Excess Distribution Cyov Yr1 | $26,474,651 | ExcessDistributionCyovYr1Amt |
| Total Excess Distribution Cyov | $177,748,478 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $39,782,887 | QualifyingDistributionsAmt |
| Applied To Year1 | $0 | AppliedToYear1Amt |
| Applied To Current Year | $4,876,744 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $34,906,143 | RemainingDistriFromCorpusAmt |
| Total Corpus | $212,654,621 | TotalCorpusAmt |
| Prior Year Undistributed Incm | $0 | PriorYearUndistributedIncmAmt |
| Taxable1 | $0 | Taxable1Amt |
| Taxable2 | $0 | Taxable2Amt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Excess Distri Cyov From Yr5 | $51,391,550 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $161,263,071 | ExcessDistriCyovToNextYrAmt |
| Excess From Year4 | $36,437,978 | ExcessFromYear4Amt |
| Excess From Year3 | $35,467,828 | ExcessFromYear3Amt |
| Excess From Year2 | $27,976,471 | ExcessFromYear2Amt |
| Excess From Year1 | $26,474,651 | ExcessFromYear1Amt |
| Excess From Current Year | $34,906,143 | 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 WWW.CATERPILLARFOUNDATION.ORG. | 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 | $37,889,309 | Amt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $37,889,309 | 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 | $6,927,221 | Amt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Apprv Fut | $6,927,221 | 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 | $8,117,703 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $1,749,096 | 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 Incm Part VII | OtherInvestmentIncmPartVIIGrp |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $4,043,203 | 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 | $13,910,002 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $13,910,002 | TotalIncomeProducingActyAmt |
Rln Of Acty To Accom Of Exmpt Prps RlnOfActyToAccomOfExmptPrpsGrp
Rln Of Acty To Accom Of Exmpt Prps RlnOfActyToAccomOfExmptPrpsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Line Number | n/a | LineNumberTxt |
| Relationship Statement | n/a | RelationshipStatementTxt |
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 | $40,501,825 | TotalContributionsAmt |
| Person Contribution | Yes (X) | PersonContributionInd |
Depreciation Schedule DepreciationSchedule
Expenditure Responsibility Stmt ExpenditureResponsibilityStmt
Expenditure Responsibility ExpenditureResponsibilityGrp (7 entries)
| Address Line1ForeignAddress/AddressLine1Txt | CityForeignAddress/CityNm | CountryForeignAddress/CountryCd | Foreign PostalForeignAddress/ForeignPostalCd | GrantGrantDt | GrantGrantAmt | Purpose Of GrantPurposeOfGrantTxt | Expended By GranteeExpendedByGranteeAmt | Any Diversion By GranteeAnyDiversionByGranteeTxt | Dates Of Reports By GranteeDatesOfReportsByGranteeTxt | VerificationVerificationDt | Results Of VerificationResultsOfVerificationTxt |
|---|---|---|---|---|---|---|---|---|---|---|---|
| China Development Research Foundation | |||||||||||
| INTERNATIONAL CENTER NO 138 | beijing | CH | 100011 | 2020-12-03 | $420,154 | For the Future: Secondary and Post-Secondary Vocational Education Program | $0 | NO | 2/05/2021 | 2021-02-05 | 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 | 2021-12-03 | $472,673 | 2020 Charity Forest Project | $15,864 | NO | 1/28/2021 | 2021-01-28 | 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. |
| CHINA FOUNDATION FOR POVERTY ALLEVIATION | |||||||||||
| SOUTH BUILDING 36 SHUANGYUSHUXILI | BEIJING | CH | 100086 | 2020-12-03 | $370,471 | Disaster Preparedness and Relief Program | $0 | NO | 1/21/2021 | 2021-01-21 | 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 FRIENDSHIP FND FOR PEACE AND DEVEL | |||||||||||
| No 1 Taijichang Street | Beijing | CH | 100740 | 2020-12-16 | $158,974 | Upgrade Mechanical Engineering Courses to vocational schools | $0 | NO | 03/04/2021 | 2021-03-24 | 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 FRIENDSHIP FND FOR PEACE AND DEVEL | |||||||||||
| No1 Taijichang Street | Beijing | CH | 100740 | 2020-12-16 | $158,974 | STEM Education Incubator Program | $0 | NO | 3/4/2021 | 2021-03-04 | 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 WOMEN'S DEVELOPMENT FOUNDATION | |||||||||||
| no 14 jianguomennei street | Beijing | CH | 100730 | 2020-12-03 | $262,596 | Emergency Relief | $0 | NO | 3/31/2021 | 2021-03-31 | 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. |
| JR ACHV DEV CENTER in Lianhu District | |||||||||||
| No 1024 ucommune jinding bldg | beijing | CH | 2020-12-23 | $158,854 | STEM Education - Coding Solutions Program | $5,886 | NO | 01/30/2021 | 2021-01-30 | 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. | |
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corporate Bonds InvestmentsCorporateBondsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond | SEE ATTACHMENT | BondNm |
| EOY Book Value | $8,540,927 | EOYBookValueAmt |
| EOYFMV | $9,046,120 | EOYFMVAmt |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Stock | SEE ATTACHMENT | StockNm |
| EOY Book Value | $16,764,276 | EOYBookValueAmt |
| EOYFMV | $20,335,458 | EOYFMVAmt |
Investments Govt Obligations Sch InvestmentsGovtObligationsSch
| Field | Value | IRS element (for citing) |
|---|---|---|
| US Govt Obligations Book Vl EOY | $8,966,104 | USGovtObligationsBookVlEOYAmt |
| US Govt Obligations EOYFMV | $9,299,112 | USGovtObligationsEOYFMVAmt |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOtherGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category Or Item | SEE ATTACHMENT | CategoryOrItemTxt |
| Book Value | $38,567,517 | BookValueAmt |
| EOYFMV | $47,385,733 | EOYFMVAmt |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (6 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|
| LEADERSHIP COUNCIL | $1,500 | $1,500 |
| GUIDESTAR DATA EXPENSE | $7,000 | $7,000 |
| ACCP MEMBERSHIP | $7,270 | $7,270 |
| CORPORATE CITIZENSHIP CENTER | $5,000 | $5,000 |
| GCL ADVISORY COUNCIL FEE | $4,000 | $2,000 |
| OTHER FEES | $3,150 | $3,150 |
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 | $2,176,390 | Amt |
| Net Investment Income | $352,706 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $1,823,684 | DisbursementsCharitablePrpsAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (2 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| EXCISE TAX | $288,083 | |
| FOREIGN TAX | $28,527 | $28,527 |
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