Retirement plan

D. E. SHAW & CO. 401(K) PLAN

Name: D. E. SHAW & CO., L.P. - D. E. SHAW & CO. 401(K) PLAN (2021) Form 5500
Creator: D. E. SHAW & CO., L.P.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, D. E. SHAW & CO. 401(K) PLAN, D. E. SHAW & CO., L.P.

D. E. SHAW & CO., L.P.EIN 13-3695715Plan #001PY 2021

1166 AVENUE OF THE AMERICAS, 9TH FLOOR - NEW YORK, NY 10036212-478-0307LinkedIn1-10 employeesinvestment banking

Prospect flagsHigh assets / participantCorrective distributions

How to read this page

Total assets (EOY)

$522M

-15.2% from 2016

Total participants

1,597

-6.1% from 2016

Average account balance

$328,319

-7.3% from 2016

Annual return

19.21%

-10.84 pp from 2016

Benchmarks

See 1,509 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants250-999

Cohort1,509 peers

Snapshot2021

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

Analytics

Total assets (EOY)

Plan-year ending balance

$719.23M

Not enough data

1 years with asset history on file

Average account balance

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

$338K

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.

2,127

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.

98.7%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$52.07M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$39K

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)

$15

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 2 by compensation

Provider	Service type	Compensation
THE VANGUARD GROUP, INC.1 year Filed as: VANGUARD ADVISERS INC. Service code 26 · EIN 23-2811930	Advisory (Participants)	$11,626
THE VANGUARD GROUP, INC.7+ years Service code 15 · EIN 23-1945930	Recordkeeping	$1,730

Plan features & details

Pension benefit codes2E2F2G2J2K2T3D3H

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.
2T
Default investment account
Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
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

2 tripped

ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).
InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$12K

$13 / participant

Other / not subdivided$12K100.0%

% of EOY assets

0.002%

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

Metric

This plan

Peer set

Industry

Size

Avg account balance

$328,319

$111,491+194.5%

$189,534+73.2%

$86,828+278.1%

Participation rate

99.3%

87.3%+12.0pp

87.8%+11.5pp

72.3%+27.0pp

Annual return

19.21%

83.50%-64.3pp

555.39%-536.2pp

97.95%-78.7pp

Employer contribution / active EE

$8,032

$3,951+103.3%

$6,162+30.3%

$2,406+233.8%

Participant deferral / active EE

$25,322

$6,437+293.4%

$8,220+208.0%

$4,132+512.8%

Admin fee / account holder

$189-95.8%

$12,049-99.9%

$170-95.4%

Provider

Service type

Compensation

THE VANGUARD GROUP, INC.1 year

Filed as: VANGUARD ADVISERS INC.

Service code 26 · EIN 23-2811930

Advisory (Participants)

$11,626

THE VANGUARD GROUP, INC.7+ years

Service code 15 · EIN 23-1945930

Recordkeeping

$1,730

D. E. SHAW & CO. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

D. E. SHAW & CO. 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