Caterpillar 401k Plan PSDS Scan 12-31-2010

The Caterpillar 401k plan has 9 core investment options, 4 model portfolio options and company stock CAT.The plan master trust also has a GIC that is not participant directed. The plan trustee is Northern Trust and I used their funds and Vanguard funds for the 9 core investment options. The 4 model portfolios are represented by Marshall & Isley asset allocation funds with 5yr market data.

Company stock  CAT
Core Investment Options
Large Cap Growth  BFGAX
Mid Cap Blend NOMIX
Large Cap Blend BEIAX
Large Cap Value NOLVX
Samll Cap Value NOSGX
High Yield Bonds VWEHX
Intermediate Term Bonds VBIIX
Foreign Large Blend  VLACX
Emerging Markets  VEIEX
Model Portfolio Funds
Conservative  M&I stable principal
Moderately Conservative  M&I moderate balanced
Moderately Aggressive  M&I growth balanced
Aggressive   M&I aggressive stock

The Balanced portfolio has a 5yr APR = 6.41% which is above average. It includes an investment of 8.7% of the portfolio in company stock which has done very well the last 5 years. I have no information on emplyee asset allocation other than the SEC 11-k which shows the plan having a large amount of company stock. All in all a good plan and a very good stock.