Retirement plan

CHART INDUSTRIES, INC. 401(K) INVESTMENT AND SAVINGS PLAN

Name: CHART INDUSTRIES, INC. - CHART INDUSTRIES, INC. 401(K) INVESTMENT AND SAVINGS PLAN (2017) Form 5500
Creator: CHART INDUSTRIES, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, CHART INDUSTRIES, INC. 401(K) INVESTMENT AND SAVINGS PLAN, CHART INDUSTRIES, INC.

CHART INDUSTRIES, INC.EIN 34-1712937Plan #001PY 2017

3055 TORRINGTON DRIVE - BALL GROUND, GA 30107770-721-8800chartindustries.comLinkedIn10001+ employeesmechanical or industrial engineering

Other plans on this EIN

1 filing

#005Retirement-$48.5M assets

Prospect flagsFailed to transmit contributionsCorrective distributions

Top hat statement on fileNQDC

Filed April 27, 1998

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)

$236.2M

-4.3% from 2016

Total participants

2,623

+11.4% from 2016

Average account balance

$91,797

-14.8% from 2016

Annual return

17.48%

-8.99 pp from 2016

Benchmarks

See 786 peers

Peer group

Industry33 - Manufacturing

Plan typeDefined contribution

Participants1,000-4,999

Cohort786 peers

Snapshot2017

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

Analytics

Total assets (EOY)

Plan-year ending balance

$428.25M

Not enough data

1 years with asset history on file

Average account balance

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

$93K

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.

4,586

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.

97.2%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$34.31M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$9K

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

+36.56%

Not enough data

1 years with return on file

Admin fee / account holder

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

$19

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 10 of 15 by compensation

Provider	Service type	Compensation
RAYMOND JAMES FINANCIAL SERVICES1 year Filed as: RAYMOND JAMES FIN SVCS ADV, INC. Service code 27 · EIN 59-2937883	Advisory (Plan)	$102,398
MASSACHUSETTS MUTUAL LIFE INS. CO.3+ years Service code 52 · EIN 04-1590850	Indirect Investment Fees	$52,209
BDO USA, LLP2 years Service code 10 · EIN 34-1945695	Accounting	$6,247
AMERICAN CENTURY1 year Service code 52 · EIN 44-6006315	Indirect Investment Fees	$0
BLACKROCK1 year Service code 52 · EIN 51-0318674	Indirect Investment Fees	$0
COLUMBIA1 year Service code 52 · EIN 56-0906609	Indirect Investment Fees	$0
DODGE & COX1 year Service code 52 · EIN 94-3390852	Indirect Investment Fees	$0
FRANKLIN TEMPLETON1 year Filed as: FRANKLINTEMPLETON Service code 52 · EIN 59-6865210	Indirect Investment Fees	$0
GLENMEDE1 year Service code 52 · EIN 39-1982827	Indirect Investment Fees	$0
MORGAN STANLEY SMITH BARNEY1 year Filed as: JP MORGAN Service code 52 · EIN 33-1043149	Indirect Investment Fees	$0

Plan features & details

Pension benefit codes2E2J2F2G2K3D3H2S2T

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.
2S
Automatic enrollment
Plan provides for automatic enrollment in plan that has elective contributions deducted from payroll.
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

ComplianceFailed to transmit contributions
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$169K

$82 / participant

Investment mgmt$102K60.6%
Contract admin$52K30.8%
Other / not subdivided$14K8.5%

% of EOY assets

0.072%

all-in expense ratio

Categories reported

2 / 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: BDO, LLP
Auditor EIN: 135381590
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$91,797

$88,730+3.5%

$82,312+11.5%

$77,958+17.8%

Participation rate

97.6%

84.5%+13.0pp

76.9%+20.7pp

71.6%+25.9pp

Annual return

17.48%

20.88%-3.4pp

25.88%-8.4pp

20.87%-3.4pp

Employer contribution / active EE

$4,709

$2,758+70.7%

$2,428+93.9%

$2,310+103.8%

Participant deferral / active EE

$4,756

$4,634+2.6%

$3,706+28.3%

$3,537+34.5%

Admin fee / account holder

$66

$74-11.3%

$5,608-98.8%

$97-32.6%

Provider

Service type

Compensation

RAYMOND JAMES FINANCIAL SERVICES1 year

Filed as: RAYMOND JAMES FIN SVCS ADV, INC.

Service code 27 · EIN 59-2937883

Advisory (Plan)

$102,398

MASSACHUSETTS MUTUAL LIFE INS. CO.3+ years

Service code 52 · EIN 04-1590850

Indirect Investment Fees

$52,209

BDO USA, LLP2 years

Service code 10 · EIN 34-1945695

Accounting

$6,247

AMERICAN CENTURY1 year

Service code 52 · EIN 44-6006315

Indirect Investment Fees

BLACKROCK1 year

Service code 52 · EIN 51-0318674

Indirect Investment Fees

COLUMBIA1 year

Service code 52 · EIN 56-0906609

Indirect Investment Fees

DODGE & COX1 year

Service code 52 · EIN 94-3390852

Indirect Investment Fees

FRANKLIN TEMPLETON1 year

Filed as: FRANKLINTEMPLETON

Service code 52 · EIN 59-6865210

Indirect Investment Fees

GLENMEDE1 year

Service code 52 · EIN 39-1982827

Indirect Investment Fees

MORGAN STANLEY SMITH BARNEY1 year

Filed as: JP MORGAN

Service code 52 · EIN 33-1043149

Indirect Investment Fees

CHART INDUSTRIES, INC. 401(K) INVESTMENT AND SAVINGS PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

CHART INDUSTRIES, INC. 401(K) INVESTMENT AND 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