| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 53-0181291 | Recordkeeping | $2,524,968 |
GOLDMAN SACHS1 year Filed as: GOLDMAN SACHS ASSET MANAGEMENT Service code 28 · EIN 13-3575636 | Investment Management | $2,108,248 |
Filed as: NISA INVESTMENT ADVISORS, L.L.C. Service code 28 · EIN 48-1140940 | Investment Management | $885,555 |
PIMCO FUNDS3 years Filed as: PACIFIC INVESTMENT MANAGEMENT CO Service code 28 · EIN 33-0629048 | Investment Management | $564,864 |
THE BANK OF NEW YORK MELLON4+ years Service code 28 · EIN 13-5160382 | Investment Management | $543,858 |
MERCER4+ years Filed as: MERCER (US) INC. Service code 11 · EIN 13-2834414 | Actuarial | $297,679 |
NORTHERN TRUST COMPANY1 year Service code 21 · EIN 36-1561860 | Bank Trustee | $179,229 |
Filed as: STATE STREET BANK AND TRUST Service code 21 · EIN 04-1867445 | Bank Trustee | $42,984 |
Filed as: BLUE AND COMPANY LLC Service code 10 · EIN 35-1178661 | Accounting | $33,800 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
| Category | Counterparty | Relationship / Terms | Address | Amount |
|---|---|---|---|---|
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
| Part 3 Non-exempt transaction | VALVOLINE LLC | SPONSOR NQ PLAN BENEFIT PAYMENTS MADE FROM THE TRUST | — | $1 |
Annual investment return is in the bottom quintile of the peer cohort.
Retirees and beneficiaries make up 25% or more of total participants - indicates an ageing workforce or a frozen plan.
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.
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $0 | $3,370,408-100.0% | $50,635-100.0% | $3,370,408-100.0% |
| Participation rate | 0.0% | 0.0%0pp | 6.0%-6.0pp | 1.2%-1.2pp |
| Annual return | -17.66% | 36.82%-54.5pp | 18.06%-35.7pp | 53.27%-70.9pp |
| Employer contribution / active EE | $0 | $13,338-100.0% | $30,411-100.0% | $14,774-100.0% |
| Participant deferral / active EE | $0 | $8-100.0% | $40-100.0% | $1,259-100.0% |
| Admin fee / account holder | $0 | $13,289-100.0% | $1,675-100.0% | $13,289-100.0% |