Retirement plan

XOMA ROYALTY DEFERRED SAVINGS PLAN

Name: XOMA ROYALTY CORPORATION - XOMA ROYALTY DEFERRED SAVINGS PLAN (2024) Form 5500
Creator: XOMA ROYALTY CORPORATION
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, XOMA ROYALTY DEFERRED SAVINGS PLAN, XOMA ROYALTY CORPORATION

XOMA ROYALTY CORPORATIONEIN 52-2154066Plan #001PY 2024

2200 POWELL STREET SUITE 310 - EMERYVILLE, CA 94608510-644-1170xoma.comLinkedIn11-50 employeesbiotechnology

Prospect flagsHigh feesWind-down / frozen

How to read this page

Total assets (EOY)

$25.4M

+10.5% from 2023

Total participants

125

-6.0% from 2023

Average account balance

$203,405

+15.8% from 2023

Annual return

15.31%

+1.12 pp from 2023

Benchmarks

See 8,599 peers

Peer group

Industry32 - Manufacturing

Plan typeDefined contribution

Participants<25

Cohort8,599 peers

Snapshot2024

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

Analytics

Total assets (EOY)

Plan-year ending balance

$25.43M

Not enough data

1 years with asset history on file

Average account balance

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

$203K

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.

125

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.

100.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$426K

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$33K

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

+15.31%

Not enough data

1 years with return on file

Admin fee / account holder

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

$750

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 4 by compensation

Provider	Service type	Compensation
ROCATON INVESTMENT ADVISORS, LLC2 years Filed as: ROCATON INVESTMENT ADVISORS LLC Service code 99 20 GLOVER AVE · NORWALK, CT 06820	Other Fees	$31,428
WITHUMSMITH+BROWN, PC1 year Service code 27 5 VAUGHN DRIVE · PRINCETON, NJ 08540	Advisory (Plan)	$17,160
GOLDMAN SACHS1 year Filed as: GOLDMAN SACHS ASSET MANAGEMENT LP Service code 99 200 W ST · NEW YORK, NY 10282	Other Fees	$10,974
GREAT-WEST LIFE & ANNUITY INSURANCE1 year Filed as: EMPOWER ANNUITY INSURANCE COMPANY Service code 64 · EIN 06-1050034 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111	Recordkeeping Fees	$5,364

Plan features & details

Pension benefit codes2E2F2H2J2K2S2T3D3H

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).
2H
Partial participant-directed account plan
Participants have the opportunity to direct the investment of a portion 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

OpportunityHigh fees
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
InformationalWind-down / frozen
Plan appears closed to new enrollment or frozen - balance-holders far exceed active participants, or the plan reports active distributions with no inflows. Exclude from peer benchmarks.

Expense breakdown

Schedule H Part II

Admin total

$94K

$7210 / participant

Recordkeeping$5K5.7%
Investment mgmt$17K18.3%
Other trustee fees$42K45.2%
Other / not subdivided$29K30.7%

% of EOY assets

0.369%

all-in expense ratio

Categories reported

3 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Unqualified opinion

Auditor signed off without reservation - the cleanest possible opinion.

Auditor firm: WITHUMSMITH+BROWN, PC
Auditor EIN: 222027092
Audit fees: (not subdivided)
Opinion code: Unqualified

Metric

This plan

Peer set

Industry

Size

Avg account balance

$203,405

$125,190+62.5%

$105,624+92.6%

$145,897+39.4%

Participation rate

100.0%

77.6%+22.4pp

75.3%+24.7pp

80.3%+19.7pp

Annual return

15.31%

225.22%-209.9pp

116.20%-100.9pp

552.29%-537.0pp

Employer contribution / active EE

$10,857

$3,720+191.8%

$3,168+242.7%

$4,663+132.9%

Participant deferral / active EE

$21,911

$5,716+283.3%

$5,013+337.1%

$6,689+227.6%

Admin fee / account holder

$750

$17,138-95.6%

$10,961-93.2%

$13,390-94.4%

Provider

Service type

Compensation

ROCATON INVESTMENT ADVISORS, LLC2 years

Filed as: ROCATON INVESTMENT ADVISORS LLC

Service code 99

20 GLOVER AVE · NORWALK, CT 06820

Other Fees

$31,428

WITHUMSMITH+BROWN, PC1 year

Service code 27

5 VAUGHN DRIVE · PRINCETON, NJ 08540

Advisory (Plan)

$17,160

GOLDMAN SACHS1 year

Filed as: GOLDMAN SACHS ASSET MANAGEMENT LP

Service code 99

200 W ST · NEW YORK, NY 10282

Other Fees

$10,974

GREAT-WEST LIFE & ANNUITY INSURANCE1 year

Filed as: EMPOWER ANNUITY INSURANCE COMPANY

Service code 64 · EIN 06-1050034

8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111

Recordkeeping Fees

$5,364

XOMA ROYALTY DEFERRED SAVINGS PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

XOMA ROYALTY DEFERRED SAVINGS 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