Retirement plan

AQUESTIVE THERAPEUTICS 401(K) PLAN

Name: AQUESTIVE THERAPEUTICS - AQUESTIVE THERAPEUTICS 401(K) PLAN (2020) Form 5500
Creator: AQUESTIVE THERAPEUTICS
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, AQUESTIVE THERAPEUTICS 401(K) PLAN, AQUESTIVE THERAPEUTICS

AQUESTIVE THERAPEUTICSEIN 82-3827296Plan #001PY 2020

6560 MELTON ROAD - PORTAGE, IN 46368908-941-1915aquestive.comLinkedIn51-200 employeespharmaceuticals

Prospect flagsFailed to transmit contributions

How to read this page

Total assets (EOY)

$17.3M

+17.5% from 2019

Total participants

246

+6.5% from 2019

Average account balance

$76,437

+14.4% from 2019

Annual return

15.33%

-9.31 pp from 2019

Benchmarks

See 1,894 peers

Peer group

Industry32 - Manufacturing

Plan typeDefined contribution

Participants100-249

Cohort1,894 peers

Snapshot2020

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

Analytics

Total assets (EOY)

Plan-year ending balance

$23.38M

Not enough data

1 years with asset history on file

Average account balance

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

$112K

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.

209

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.

84.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.05M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$14K

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

+13.16%

Not enough data

1 years with return on file

Admin fee / account holder

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

$-9

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
WELLS FARGO BANK, N.A.3+ years Filed as: WELLS FARGO CLEARING SERVICES LLC Service code 55 · EIN 23-2384840	Other Commissions	$35,349
FIDELITY INVESTMENTS INSTITUTIONAL3+ years Service code 37 · EIN 04-2647786	Loan Processing	$1,169

Plan features & details

Pension benefit codes2E2F2G2J2K2T3D

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.

Opportunity flags

1 tripped

ComplianceFailed to transmit contributions
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).

Expense breakdown

Schedule H Part II

Admin total

$1K

$7 / participant

Other / not subdivided$1K100.0%

% of EOY assets

0.007%

all-in expense ratio

Categories reported

0 / 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: EISNERAMPER LLP
Auditor EIN: 131639826
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$76,437

$70,917+7.8%

$98,920-22.7%

$73,493+4.0%

Participation rate

88.1%

73.8%+14.3pp

76.0%+12.1pp

70.7%+17.4pp

Annual return

15.33%

34.18%-18.8pp

196.47%-181.1pp

28.51%-13.2pp

Employer contribution / active EE

$3,821

$2,037+87.6%

$2,689+42.1%

$2,270+68.3%

Participant deferral / active EE

$8,292

$3,501+136.8%

$4,245+95.3%

$3,740+121.7%

Admin fee / account holder

$535-99.0%

$6,643-99.9%

$513-99.0%

Provider

Service type

Compensation

WELLS FARGO BANK, N.A.3+ years

Filed as: WELLS FARGO CLEARING SERVICES LLC

Service code 55 · EIN 23-2384840

Other Commissions

$35,349

FIDELITY INVESTMENTS INSTITUTIONAL3+ years

Service code 37 · EIN 04-2647786

Loan Processing

$1,169

AQUESTIVE THERAPEUTICS 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

AQUESTIVE THERAPEUTICS 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