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Retirement plan

ALCATEL-LUCENT SAVINGS/401(K) PLAN

ALCATEL-LUCENT USA INC.EIN 22-3408857Plan #003PY 2015
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600 MOUNTAIN AVENUE, ROOM 6D-401A - MURRAY HILL, NJ 07974908-582-7140LinkedIn1-10 employees
Other plans on this EIN
3 filings
#001Retirement-$17.72B assets#002Retirement-$5.95B assets#007Retirement-$219.1M assets
Prospect flagsLow employer contribution

Filing contacts

From the Form 5500, federal record
Plan sponsor signer
(name not on filing)
(908) 582-7140
Plan administrator signer
ROBIN WARD
Signed 10/05/2016
How to read this page

Summary metrics

Total assets (EOY)
$7198.2M
-13.5% from 2016
Total participants
34,149
-4.8% from 2016
Average account balance
$216,001
-9.0% from 2016
Annual return
-0.67%
-20.87 pp from 2016

Benchmarks

See 104 peers
Peer group
Industry33 - Manufacturing
Plan typeDefined contribution
Participants5,000-9,999
Cohort104 peers
Snapshot2015
Participant deferral / active EE
$22,482
median $4,370
Employer contribution / active EE
$140
median $2,625
Participation rate
91.8%
median 91.8%
Avg account balance
$216,001
median $71,374
Admin fee / account holder
$67
median $30
Annual return
-0.67%
median 0.76%
Overall peer rank
49th percentileavg across 6 metrics

Analytics

2015 - 2024
Total assets (EOY)
Plan-year ending balance
$9.83B
Average account balance
Total assets / participants with a balance (line 6g)
$403K
Participants with account balance
Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.
24,381
Eligible Participants and Participation
Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.
92.1%
Contributions (total)
Employer and participant dollars contributed each year
$107.34M
Contributions per participant
Average employer and participant contribution per enrolled participant
$17K
Asset flow
BOY + contributions + return - distributions = EOY
Year
Annual return
Diverging bars; negative years highlighted
+15.96%
Admin fee / account holder
Total admin expenses / participants with a balance (line 6g)
$95
Asset composition
Cash / stocks / bonds / mutual funds / real estate / loans over time
  • Mutual / pooled
  • Stocks
  • Bonds
  • Cash
  • Real estate
  • Loans

Service providers

Top 10 of 26 by compensation
ProviderService typeCompensation
AON HEWITT FINANCIAL ADVISORS, LLC1+ years
Service code 26 · EIN 35-2421957
Advisory (Participants)
$2,274,337
WELLINGTON MANAGEMENT COMPANY, LLP1+ years
Service code 28 · EIN 04-2683277
Investment Management
$2,125,401
T. ROWE PRICE ASSOCIATES, INC.1+ years
Service code 28 · EIN 52-0556948
Investment Management
$1,726,797
ARONSON JOHNSON ORTIZ,LP1+ years
Service code 28 · EIN 23-2312104
Investment Management
$1,443,633
TEMPLETON INVESTMENT COUNSEL, LLC1+ years
Service code 28 · EIN 94-3385113
Investment Management
$1,295,530
HEWITT ASSOCIATES LLC1+ years
Service code 12 · EIN 36-2235791
Direct payment from the plan; Claims ...
$1,240,264
BLACKROCK FINANCIAL MANAGEMENT INC.1+ years
Service code 28 · EIN 13-3806691
Investment Management
$915,342
BANK OF NEW YORK MELLON1+ years
Service code 19 · EIN 13-5160382
Securities Custodian
$860,009
JACOBS LEVY EQUITY MANAGEMENT, INC.1+ years
Service code 28 · EIN 22-2774695
Investment Management
$843,661
WELLINGTON TRUST COMPANY, NA1+ years
Service code 28 · EIN 04-2755549
Investment Management
$748,940

Reportable transactions (Schedule G)

3 rows

Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.

CategoryCounterpartyRelationship / TermsAddressAmount
Part 1
Loan in default
1839688 ALBERTA ULC———
Part 3
Non-exempt transaction
AON HEWITT
RECORDKEEPER
INELIGIBLE EXPENSES
—$3K
Part 3
Non-exempt transaction
BANK OF NEW YORK MELLON
TRUSTEE
INELIGIBLE EXPENSES
—$260

Top hat statement on fileNQDC

Filed November 17, 2017 (most recent of 3 filings on file)

Open the filing PDF

Plan features & details

Pension benefit codes2E2F2G2J2K2R3F3H
Plan features
  • 2E
    Profit-sharing
    Profit-sharing plan.
  • 2F
    ERISA section 404(c) plan
    This plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
  • 2G
    Total participant-directed account plan
    Participants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • 2J
    Code section 401(k) feature
    Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
  • 2K
    Code section 401(m) arrangement
    Employee contributions are allocated to separate accounts under the plan or employer contributions are based in whole or in part on employee deferrals or contributions to the plan. Not applicable to 401(k) plans with only QNECs and/or QMACs or to 403(b)(1) 403(b)(7) or 408 arrangements.
  • 2R
    Participant-directed brokerage accounts
    Participant-directed brokerage accounts provided as an investment option under the plan.
  • 3F
    Leased employees
    Plan sponsor(s) received services of leased employees as defined in Code section 414(n) during the plan year.
  • 3H
    Controlled group member
    Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b) (c) or (m)).

Opportunity flags

1 tripped
  • OpportunityLow employer contribution

    Employer contribution per participant is in the bottom quintile of the peer cohort.

Expense breakdown

Schedule H Part II
Admin total
$2.2M
$223 / participant
  • Other / not subdivided$2M100.0%
% of EOY assets
0.031%
all-in expense ratio
Categories reported
0 / 9
subdivided buckets used

Audit opinion

Schedule H Part III
Unqualified opinion

Auditor signed off without reservation - the cleanest possible opinion.

Auditor firm
ERNST & YOUNG LLP
Auditor EIN
346565596
Audit fees
(not subdivided)
Opinion code
Unqualified