Retirement plan

JOHNSON CONTROLS BUILDING EFFICIENCY RETIREMENT SAVINGS PLAN/ACCOUNT LEVEL EMPLOYEES

Name: JOHNSON CONTROLS, INC. - JOHNSON CONTROLS BUILDING EFFICIENCY RETIREMENT SAVINGS PLAN/ACCOUNT LEVEL EMPLOYEES (2016) Form 5500
Creator: JOHNSON CONTROLS, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, JOHNSON CONTROLS BUILDING EFFICIENCY RETIREMENT SAVINGS PLAN/ACCOUNT LEVEL EMPLOYEES, JOHNSON CONTROLS, INC.

JOHNSON CONTROLS, INC.EIN 39-0380010Plan #025PY 2016

5757 N GREEN BAY AVENUE - MILWAUKEE, WI 532094408414-524-1200

Other plans on this EIN

2 filings

#011Retirement-$3.24B assets #001Retirement-$1.76B assets

Prospect flagsLow participation

How to read this page

Total assets (EOY)

$142.8M

+22.7% from 2016

Total participants

2,858

+31.3% from 2016

Average account balance

$61,585

-11.4% from 2016

Annual return

6.62%

-9.90 pp from 2016

Benchmarks

See 280 peers

Peer group

Industry56 - Administrative and Support and Waste Management and Remediation Services

Plan typeDefined contribution

Participants1,000-4,999

Cohort280 peers

Snapshot2016

Participant deferral / active EE

$1,932

median $1,004

Employer contribution / active EE

$773

median $391

Participation rate

46.4%

median 37.2%

Avg account balance

$61,585

median $23,021

Admin fee / account holder

$107

median $45

Annual return

6.62%

median 8.21%

Overall peer rank

55of 100

55th percentileavg across 6 metrics

Analytics

2015 - 2017

Total assets (EOY)

Plan-year ending balance

Average account balance

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

$62K

Not enough data

2 years with per-participant data

Participants with account balance

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

2,319

Not enough data

2 years with headcount on file

Eligible Participants and Participation

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

46.4%

Not enough data

2 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.49M

Contributions per participant

Average employer and participant contribution per enrolled participant

$3K

Not enough data

2 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

-83.90%

Admin fee / account holder

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

Asset composition

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

Not enough data

2 years with F_SCH_H allocation on file

Service providers

Top 3 by compensation

Provider	Service type	Compensation
FIDELITY INVESTMENTS INSTITUTIONAL2+ years Filed as: FIDELITY INVEST. INST. OP. CO. INC. Service code 37 · EIN 04-2647786	Loan Processing	$114,066
FINANCIAL ENGINES2+ years Service code 27 · EIN 77-0473565	Advisory (Plan)	$94,083
FINANCIAL ENGINES2+ years Filed as: FINANCIAL ENGINES, INC. Service code 16 · EIN 94-3250323	Consulting	$29,560

Plan features & details

Pension benefit codes2E2F2G2J2K3H

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.
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 participation
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.

Expense breakdown

Schedule H Part II

Admin total

$247K

$246 / participant

Investment mgmt$247K100.0%

% of EOY assets

0.173%

all-in expense ratio

Categories reported

1 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Unqualified opinion

Auditor signed off without reservation - the cleanest possible opinion.

Auditor firm: COLEMAN & WILLIAMS, LTD.
Auditor EIN: 391658905
Audit fees: (not subdivided)
Opinion code: Unqualified

Metric

This plan

Peer set

Industry

Size

Avg account balance

$61,585

$31,370+96.3%

$74,577-17.4%

$63,975-3.7%

Participation rate

46.4%

42.6%+3.8pp

68.1%-21.7pp

71.1%-24.8pp

Annual return

6.62%

-105.16%+111.8pp

20.47%-13.8pp

48.65%-42.0pp

Employer contribution / active EE

$773

$822-6.0%

$2,525-69.4%

$2,182-64.6%

Participant deferral / active EE

$1,932

$1,560+23.8%

$3,458-44.1%

$3,356-42.4%

Admin fee / account holder

$107

$77+38.9%

$4,138-97.4%

$70+51.4%

Provider

Service type

Compensation

FIDELITY INVESTMENTS INSTITUTIONAL2+ years

Filed as: FIDELITY INVEST. INST. OP. CO. INC.

Service code 37 · EIN 04-2647786

Loan Processing

$114,066

FINANCIAL ENGINES2+ years

Service code 27 · EIN 77-0473565

Advisory (Plan)

$94,083

FINANCIAL ENGINES2+ years

Filed as: FINANCIAL ENGINES, INC.

Service code 16 · EIN 94-3250323

Consulting

$29,560

JOHNSON CONTROLS BUILDING EFFICIENCY RETIREMENT SAVINGS PLAN/ACCOUNT LEVEL EMPLOYEES

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

JOHNSON CONTROLS BUILDING EFFICIENCY RETIREMENT SAVINGS PLAN/ACCOUNT LEVEL EMPLOYEES

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