Retirement plan

PUMA NORTH AMERICA, INC. 401(K) PLAN

Name: PUMA NORTH AMERICA, INC. - PUMA NORTH AMERICA, INC. 401(K) PLAN (2018) Form 5500
Creator: PUMA NORTH AMERICA, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, PUMA NORTH AMERICA, INC. 401(K) PLAN, PUMA NORTH AMERICA, INC.

PUMA NORTH AMERICA, INC.EIN 04-3280787Plan #001PY 2018

10 LYBERTY WAY - WESTFORD, MA 01886978-698-1204LinkedIn51-200 employeesmarketing and advertising

Prospect flagsHigh cashLow participationFailed to transmit contributions

How to read this page

Total assets (EOY)

$49.1M

-3.4% from 2017

Total participants

1,307

+5.1% from 2017

Average account balance

$50,250

-7.6% from 2017

Annual return

-3.79%

-24.50 pp from 2017

Benchmarks

See 1,274 peers

Peer group

Industry42 - Wholesale Trade

Plan typeDefined contribution

Participants250-999

Cohort1,274 peers

Snapshot2018

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

$129.64M

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

$91K

Not enough data

1 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

1,418

Not enough data

1 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

36.1%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$13.33M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$5K

Not enough data

1 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+16.83%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

$131

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

1 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Top 6 by compensation

Provider	Service type	Compensation
TRANSAMERICA RETIREMENT SOLUTIONS4+ years Service code 12 · EIN 13-3689044	Distribution (12b-1) fees; Shareholde...	$163,559
ROYAL ALLIANCE ASSOCIATES INC1 year Filed as: ROYAL ALLIANCE ASSOICATES, INC, Service code 33	Securities brokerage commissions and ...	$102,801
CARON & BLETZER, PLLC4+ years Filed as: CARON & BELTZER, PLLC Service code 10 · EIN 04-3499945	Accounting	$8,800
MID ATLANTIC CAPITAL CORPORATION4+ years Service code 33 · EIN 25-1409618	Securities brokerage; Securities brok...	$0
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567	Securities brokerage commissions and ...	$0
ROYAL ALLIANCE ASSOCIATES INC4+ years Filed as: ROYAL ALLIANCE ASSOCIATES, INC. Service code 16 1 WORLD FINANCIAL CTR. · NEW YORK, NY 10281	Consulting	$0

Plan features & details

Pension benefit codes2E2F2G2J2K3D3H

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.
3D
Pre-approved pension plan
A master prototype or volume submitter plan that is the subject of a favorable opinion or advisory letter from the IRS.
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

3 tripped

OpportunityLow participation
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
OpportunityHigh cash
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
ComplianceFailed to transmit contributions
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).

Expense breakdown

Schedule H Part II

Admin total

$172K

$174 / participant

Other / not subdivided$172K100.0%

% of EOY assets

0.351%

all-in expense ratio

Categories reported

0 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.

Auditor firm: CARON & BELTZER, PLLCS
Auditor EIN: 043499945
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$50,250

$62,267-19.3%

$110,243-54.4%

$55,725-9.8%

Participation rate

66.8%

78.1%-11.4pp

79.8%-13.1pp

70.9%-4.1pp

Annual return

-3.79%

-1.07%-2.7pp

314.76%-318.5pp

244.93%-248.7pp

Employer contribution / active EE

$2,091

$1,941+7.7%

$3,827-45.4%

$2,078+0.6%

Participant deferral / active EE

$4,465

$3,516+27.0%

$4,672-4.4%

$3,356+33.1%

Admin fee / account holder

$176

$121+45.8%

$8,548-97.9%

$115+53.0%

Provider

Service type

Compensation

TRANSAMERICA RETIREMENT SOLUTIONS4+ years

Service code 12 · EIN 13-3689044

Distribution (12b-1) fees; Shareholde...

$163,559

ROYAL ALLIANCE ASSOCIATES INC1 year

Filed as: ROYAL ALLIANCE ASSOICATES, INC,

Service code 33

Securities brokerage commissions and ...

$102,801

CARON & BLETZER, PLLC4+ years

Filed as: CARON & BELTZER, PLLC

Service code 10 · EIN 04-3499945

Accounting

$8,800

MID ATLANTIC CAPITAL CORPORATION4+ years

Service code 33 · EIN 25-1409618

Securities brokerage; Securities brok...

NATIONAL FINANCIAL SERVICES4+ years

Service code 33 · EIN 04-3523567

Securities brokerage commissions and ...

ROYAL ALLIANCE ASSOCIATES INC4+ years

Filed as: ROYAL ALLIANCE ASSOCIATES, INC.

Service code 16

1 WORLD FINANCIAL CTR. · NEW YORK, NY 10281

Consulting

PUMA NORTH AMERICA, INC. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

PUMA NORTH AMERICA, INC. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion