Retirement plan

THE ESTEE LAUDER COMPANIES 401(K) SAVINGS PLAN

Name: ESTEE LAUDER, INC. - THE ESTEE LAUDER COMPANIES 401(K) SAVINGS PLAN (2016) Form 5500
Creator: ESTEE LAUDER, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, THE ESTEE LAUDER COMPANIES 401(K) SAVINGS PLAN, ESTEE LAUDER, INC.

ESTEE LAUDER, INC.EIN 13-1871348Plan #002PY 2016

28 W. 23RD STREET, 8TH FLOOR - NEW YORK, NY 10010212-572-4200LinkedIn10001+ employeescosmetics

Other plans on this EIN

1 filing

#001Retirement-$763.0M assets

Prospect flagsNo flags tripped

Top hat statement on fileNQDC

Filed September 16, 1992

This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.

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Total assets (EOY)

$1414.3M

+10.7% from 2015

Total participants

19,203

+2.4% from 2015

Average account balance

$86,998

+7.9% from 2015

Annual return

8.20%

+6.47 pp from 2015

Benchmarks

See 85 peers

Peer group

Industry33 - Manufacturing

Plan typeDefined contribution

Participants>=10,000

Cohort85 peers

Snapshot2016

See peer percentile detail. $4.99 for your first month.

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Analytics

Total assets (EOY)

Plan-year ending balance

$3.17B

Not enough data

1 years with asset history on file

Average account balance

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

$176K

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.

17,976

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.

96.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$155.62M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$16K

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

+17.99%

Not enough data

1 years with return on file

Admin fee / account holder

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

$96

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

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Service providers

Top 8 by compensation

Provider	Service type	Compensation
HEWITT ASSOCIATES LLC2+ years Service code 13 · EIN 36-2235791	Contract Administrator	$659,933
STATE STREET GLOBAL ADVISORS2+ years Filed as: STATE STREET BANK AND TRUST CO Service code 19 · EIN 04-1867445	Securities Custodian	$149,687
WILLIS TOWERS WATSON US LLC2+ years Filed as: TOWERS WATSON Service code 11 · EIN 26-0676603	Actuarial	$135,000
GRANT THORNTON LLP2+ years Service code 10 · EIN 03-6605558	Accounting	$62,698
NEPC, LLC2+ years Filed as: NEPC LLC Service code 16 · EIN 26-1429809	Consulting	$51,935
JP MORGAN INVESTMENT MANAGEMENT INC2+ years Service code 52	Indirect Investment Fees	$0
JP MORGAN INVESTMENT MANAGEMENT INC2+ years Filed as: JP MORGAN INVESTMENT MANAGEMENT INV Service code 27 · EIN 13-3200244	Advisory (Plan)	$0
JPMORGAN INVEST HOLDINGS LLC2+ years Filed as: JPMORGAN INVESTMENT MANAGEMENT INC Service code 52	Indirect Investment Fees	$0

Plan features & details

Pension benefit codes2E2F2G2J2K

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.

Opportunity flags

0 tripped

No flags tripped for this filing year. This plan looks clean.

Expense breakdown

Schedule H Part II

Admin total

$1.1M

$72 / participant

Investment mgmt$20K1.9%
Contract admin$681K64.2%
Other / not subdivided$360K33.9%

% of EOY assets

0.075%

all-in expense ratio

Categories reported

2 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.

Auditor firm: GRANT THORNTON LLP
Auditor EIN: 036605558
Audit fees: (not subdivided)
Opinion code: Disclaimer

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$86,998

$126,925-31.5%

$74,183+17.3%

$329,111-73.6%

Participation rate

80.0%

87.5%-7.5pp

76.6%+3.4pp

67.9%+12.2pp

Annual return

8.20%

10.67%-2.5pp

17.74%-9.5pp

16.35%-8.2pp

Employer contribution / active EE

$2,597

$3,536-26.5%

$2,370+9.6%

$2,303+12.8%

Participant deferral / active EE

$4,832

$6,619-27.0%

$3,550+36.1%

$3,682+31.2%

Admin fee / account holder

$65

$64+2.8%

$5,586-98.8%

$754-91.3%

Provider

Service type

Compensation

HEWITT ASSOCIATES LLC2+ years

Service code 13 · EIN 36-2235791

Contract Administrator

$659,933

STATE STREET GLOBAL ADVISORS2+ years

Filed as: STATE STREET BANK AND TRUST CO

Service code 19 · EIN 04-1867445

Securities Custodian

$149,687

WILLIS TOWERS WATSON US LLC2+ years

Filed as: TOWERS WATSON

Service code 11 · EIN 26-0676603

Actuarial

$135,000

GRANT THORNTON LLP2+ years

Service code 10 · EIN 03-6605558

Accounting

$62,698

NEPC, LLC2+ years

Filed as: NEPC LLC

Service code 16 · EIN 26-1429809

Consulting

$51,935

JP MORGAN INVESTMENT MANAGEMENT INC2+ years

Service code 52

Indirect Investment Fees

JP MORGAN INVESTMENT MANAGEMENT INC2+ years

Filed as: JP MORGAN INVESTMENT MANAGEMENT INV

Service code 27 · EIN 13-3200244

Advisory (Plan)

JPMORGAN INVEST HOLDINGS LLC2+ years

Filed as: JPMORGAN INVESTMENT MANAGEMENT INC

Service code 52

Indirect Investment Fees

THE ESTEE LAUDER COMPANIES 401(K) SAVINGS PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

THE ESTEE LAUDER COMPANIES 401(K) SAVINGS PLAN

Top hat statement on fileNQDC

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