lawrench
Brake, Ryan - EBSA CTR ARC
2012-10-24T15:36:40Z
2003-12-02T15:27:41Z
2014-09-04T17:35:48Z
US Department of Labor
14.00
D:\Brake.Ryan\My Documents\2011 Form 5500 Bulletin\2014.9.4\2011 Section A Values.xls
3
4
5
6
8
9
10
9885
14040
225
1140
48
48
False
False
Table A1. Number of Pension Plans, Total Participants, Active Participants, |
Assets, Contributions, and Benefits |
by type of plan, 2011 |
|
|
|
|
|
|
|
Type of Plan 1/ |
Number of Plans |
Total Participants (thousands) |
Active Participants (thousands) 2/ |
Total Assets (millions) 3/ |
Total Contributions (millions) 4/ |
Total Benefits (millions) 5/ |
Total |
683647 |
129581 |
90175 |
6345595 |
465445 |
471884 |
Defined Benefit |
45256 |
40876 |
16507 |
2516109 |
135232 |
172549 |
Cash balance |
8417 |
12150 |
5271 |
836614 |
35708 |
55038 |
Other defined benefit |
36840 |
28726 |
11236 |
1679494 |
99523 |
117511 |
Defined Contribution |
638390 |
88705 |
73668 |
3829487 |
330213 |
299335 |
Profit sharing and thrift-savings |
598327 |
75932 |
63874 |
3295742 |
293235 |
265287 |
Stock bonus |
3009 |
1414 |
1007 |
101470 |
5165 |
7936 |
|
Target benefit |
637 |
59 |
48 |
3065 |
145 |
261 |
Money purchase |
12584 |
2753 |
1989 |
115122 |
7171 |
7827 |
Annuity-403(b)(1) |
17262 |
6085 |
4785 |
239126 |
19440 |
13374 |
Custodial account-403(b)(7) |
3093 |
1060 |
899 |
30407 |
2886 |
2092 |
Other defined contribution |
3479 |
1404 |
1066 |
44555 |
2170 |
2557 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ About 1% of defined contribution plans report more than one plan type. These plans are assigned whichever plan type appears first in the list. As of 2009, annuity-403(b)(1) plans and custodial account-403(b)(7) plans established or maintained by an employer as described in DOL Regulation 29 CFR 2510.3-2(f) are required to file participation and financial information. Annuity-403(b)(1) plans and custodial account-403(b)(7) plans that are not required to file this information may or may not choose to do so. In the event that this information is provided, it is tabulated. |
2/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
3/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
4/ Includes both employer and employee contributions. |
5/ Amounts shown include both benefits paid directly from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
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|
|
99
600
600
3
22
9
False
False
Table A1(a). Number of Pension Plans, Total Participants, Active Participants, Assets, |
Contributions, and Benefits for Plans with 100 or More Participants |
by type of plan, 2011 |
|
|
|
|
|
|
|
Type of Plan 1/ |
Number of Plans |
Total Participants (thousands) |
Active Participants (thousands) 2/ |
Total Assets (millions) 3/ |
Total Contributions (millions) 4/ |
Total Benefits (millions) 5/ |
Total |
85159 |
117782 |
78788 |
5721149 |
404583 |
404885 |
Defined Benefit |
9839 |
40433 |
16106 |
2475188 |
129382 |
166294 |
Cash balance |
1270 |
12049 |
5171 |
830131 |
34227 |
54111 |
Other defined benefit |
8569 |
28384 |
10935 |
1645057 |
95155 |
112183 |
Defined Contribution |
75320 |
77350 |
62682 |
3245961 |
275201 |
238591 |
Profit sharing and thrift-savings |
64858 |
65282 |
53543 |
2746807 |
241009 |
208573 |
Stock bonus |
1187 |
1336 |
948 |
96333 |
4836 |
7504 |
|
Target benefit |
46 |
53 |
42 |
2583 |
116 |
209 |
Money purchase |
1805 |
2601 |
1846 |
102720 |
6467 |
6225 |
Annuity-403(b)(1) |
5634 |
5738 |
4447 |
228072 |
18235 |
12394 |
Custodial account-403(b)(7) |
931 |
1001 |
841 |
28973 |
2653 |
1563 |
Other defined contribution |
860 |
1339 |
1014 |
40473 |
1885 |
2123 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ About 1% of defined contribution plans report more than one plan type. These plans are assigned whichever plan type appears first in the list. As of 2009, annuity-403(b)(1) plans and custodial account-403(b)(7) plans established or maintained by an employer as described in DOL Regulation 29 CFR 2510.3-2(f) are required to file participation and financial information. Annuity-403(b)(1) plans and custodial account-403(b)(7) plans that are not required to file this information may or may not choose to do so. In the event that this information is provided, it is tabulated. |
2/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
3/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
4/ Includes both employer and employee contributions. |
5/ Amounts shown include both benefits paid directly from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
97
600
600
75
3
13
3
R14C4:R14C5
False
False
Table A1(b). Number of Pension Plans, Total Participants, Active Participants, Assets, |
Contributions, and Benefits, for Plans with Fewer than 100 Participants |
by type of plan, 2011 |
|
|
|
|
|
|
|
Type of Plan 1/ |
Number of Plans |
Total Participants (thousands) |
Active Participants (thousands) 2/ |
Total Assets (millions) 3/ |
Total Contributions (millions) 4/ |
Total Benefits (millions) 5/ |
Total |
598488 |
11799 |
11387 |
624446 |
60862 |
66998 |
Defined Benefit |
35418 |
443 |
402 |
40921 |
5850 |
6255 |
Cash balance |
7147 |
102 |
100 |
6484 |
1482 |
927 |
Other defined benefit |
28271 |
342 |
302 |
34437 |
4368 |
5328 |
Defined Contribution |
563070 |
11356 |
10986 |
583525 |
55012 |
60744 |
Profit sharing and thrift-savings |
533468 |
10650 |
10331 |
548936 |
52226 |
56714 |
Stock bonus |
1822 |
78 |
59 |
5136 |
330 |
432 |
|
Target benefit |
591 |
6 |
6 |
481 |
30 |
52 |
Money purchase |
10779 |
152 |
143 |
12402 |
704 |
1603 |
Annuity-403(b)(1) |
11629 |
347 |
338 |
11054 |
1204 |
980 |
Custodial account-403(b)(7) |
2162 |
59 |
58 |
1434 |
234 |
528 |
Other defined contribution |
2619 |
65 |
52 |
4082 |
285 |
434 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ About 1% of defined contribution plans report more than one plan type. These plans are assigned whichever plan type appears first in the list. As of 2009, annuity-403(b)(1) plans and custodial account-403(b)(7) plans established or maintained by an employer as described in DOL Regulation 29 CFR 2510.3-2(f) are required to file participation and financial information. Annuity-403(b)(1) plans and custodial account-403(b)(7) plans that are not required to file this information may or may not choose to do so. In the event that this information is provided, it is tabulated. |
2/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
3/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
4/ Includes both employer and employee contributions. |
5/ Amounts shown include both benefits paid directly from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
98
600
600
3
10
1
R11C2:R17C2
False
False
Table A2. Number of Participants in Pension Plans |
by type of plan and type of participant, 2011 |
(numbers in thousands) |
|
|
|
|
|
|
|
|
|
|
Type of Participant |
Total Plans |
Single Employer Plans 1/ |
Multiemployer Plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Active participants 3/ |
90175 |
16507 |
73668 |
82606 |
12327 |
70278 |
7569 |
4180 |
3389 |
|
|
|
|
|
|
|
|
|
|
|
|
Retired or separated participants receiving benefits |
12629 |
11625 |
1004 |
9417 |
8497 |
919 |
3212 |
3128 |
85 |
Other retired or separated participants with vested right to benefits |
26777 |
12744 |
14033 |
22684 |
9618 |
13066 |
4093 |
3126 |
967 |
Total Participants |
129581 |
40876 |
88705 |
114707 |
30443 |
84264 |
14875 |
10433 |
4441 |
Participants with account balances 4/ |
66334 |
63 |
66270 |
62971 |
61 |
62910 |
3363 |
2 |
3361 |
Beneficiaries 5/ |
2329 |
2091 |
238 |
1706 |
1484 |
223 |
623 |
607 |
16 |
|
|
Total participants and beneficiaries |
131911 |
42967 |
88943 |
116413 |
31927 |
84487 |
15498 |
11041 |
4457 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
3/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
4/ Participants with account balances are a subset of Total Participants and Beneficiaries |
5/ Deceased participants whose beneficiaries are receiving or are entitled to receive benefits. Form 5500 Short Form filers do not report this value. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
86
600
600
1
3
9
4
False
False
21
Table A3. Balance Sheet of Pension Plans |
by type of plan, 2011 |
(amounts in millions) |
|
Type of Asset or Liability |
Total |
Defined |
Defined |
Benefit |
Contribution |
|
|
|
|
|
|
|
Partnership/joint venture interests |
97463 |
|
91806 |
|
5657 |
|
|
|
|
Employer real property |
429 |
|
92 |
|
337 |
|
Real estate (other than employer real property) |
16185 |
|
13841 |
|
2344 |
|
|
|
|
Employer securities |
258428 |
|
3293 |
|
255136 |
|
|
|
|
Participant loans |
59667 |
|
187 |
|
59480 |
|
|
|
Loans (other than to participants) |
7259 |
|
4442 |
|
2817 |
|
|
|
|
Other investments 1/ |
5407667 |
|
2370117 |
|
3037550 |
|
|
|
|
|
|
Form 5500 Short Form Assets 2/ |
498494 |
|
32331 |
|
466163 |
|
|
|
|
Total Assets |
6345595 |
|
2516109 |
|
3829487 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Liabilities |
82792 |
|
51661 |
|
31132 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Assets |
6262800 |
|
2464448 |
|
3798352 |
|
|
|
|
|
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Excludes plans covering only one participant. |
1/ This table summarizes assets that appear on both the Schedule H (for plans with 100 or more participants) and Schedule I (for plans with fewer than 100 participants). All asset items that appear on the more detailed Schedule H but not the Schedule I are grouped under "Other investments." Tables C4-C6 summarize the more detailed Schedule H asset information for large plans. |
2/ The Form 5500 Short Form shares no asset items with Schedule H nor Schedule I. Therefore, the total assets reported by Form 5500 Short Form filers are summarized on this line item. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
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600
600
3
7
5
R8C6:R15C6
False
False
27
255
56
255
97
255
137
255
178
255
218
255
247
255
288
255
319
255
359
255
390
255
471
255
Table A4. Income Statement of Pension Plans |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
Income and Expenses |
Total |
Defined |
Defined |
Benefit |
Contribution |
Income |
|
|
|
|
|
|
Employer contributions |
255941 |
|
133831 |
|
122109 |
|
|
|
|
Participant contributions |
186635 |
|
884 |
|
185751 |
|
|
|
Contributions from others (including rollovers) |
21228 |
|
440 |
|
20788 |
|
|
|
Noncash contributions |
1641 |
|
76 |
|
1564 |
|
All other income 1/ |
148841 |
|
129183 |
|
19658 |
|
|
|
|
Total Income |
614285 |
|
264415 |
|
349871 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Expenses |
|
|
|
|
|
|
|
|
|
Total benefit payments |
471884 |
|
172549 |
|
299335 |
|
|
|
|
Certain deemed and/or corrective distributions 2/ |
1608 |
|
5 |
|
1602 |
|
Administrative expenses 3/ |
14055 |
|
9795 |
|
4260 |
|
Other or unspecified expenses |
1473 |
|
104 |
|
1369 |
|
|
|
|
Total Expenses |
489020 |
|
182454 |
|
306566 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Income |
125266 |
|
81961 |
|
43305 |
|
|
|
|
|
|
|
|
NOTE: Excludes plans covering only one participant. |
|
|
|
1/ This table summarizes income and expenses that appear on the Schedule H (for plans with 100 or more participants), the Schedule I (for plans with fewer than 100 participants), and the Form 5500 Short Form. All income and expense items that appear on the more detailed Schedule H but not the Schedule I or Short Form (e.g., Interest earnings, Dividends, Rents, and several line items reporting realized or unrealized gains/losses on investments) are grouped under "All other income" or "Other expenses." Tables C9-C11 summarize the more detailed Schedule H income information for large plans. |
2/ For plans filing Schedule H or Schedule I, this line item represents the combination of "Corrective distributions" and "Certain deemed distributions of participant loans" to be consistent with the Form 5500 Short Form line item "Certain deemed and/or corrective distributions." |
3/ For Schedule H filers, "Administrative expenses" is equal to the "Total administrative expenses" line item, while for Schedule I and Form 5500 Short Form filers, "Administrative expenses" includes only the "Administrative service providers" line item. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
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600
600
3
16
3
False
False
Table A5. Amount of Assets in Pension Plans |
by type of plan and method of funding, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
Method of Funding |
Total Plans |
Single Employer Plans 1/ |
Multiemployer Plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
|
|
|
|
|
|
|
|
|
|
Funding arrangement for investment of assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
6345595 |
2516109 |
3829487 |
5708262 |
2050611 |
3657652 |
637328 |
465498 |
171831 |
|
Form 5500 Short Form 3/ |
498494 |
32331 |
466163 |
498489 |
32331 |
466158 |
- |
- |
- |
|
Insurance |
58191 |
18000 |
40191 |
57975 |
17879 |
40097 |
216 |
122 |
95 |
|
Section 412(i) ins. |
308 |
75 |
233 |
308 |
75 |
233 |
- |
- |
- |
|
Trust |
4002203 |
1654137 |
2348066 |
3704442 |
1476407 |
2228036 |
297760 |
177730 |
120030 |
|
Trust and insurance |
1786392 |
811566 |
974826 |
1447040 |
523920 |
923120 |
339352 |
287646 |
51706 |
|
Not determinable |
8 |
*/ |
8 |
8 |
*/ |
8 |
- |
- |
- |
|
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|
Funding arrangement for payment of benefits |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
6345595 |
2516109 |
3829487 |
5708262 |
2050611 |
3657652 |
637328 |
465498 |
171831 |
Form 5500 Short Form 3/ |
498494 |
32331 |
466163 |
498489 |
32331 |
466158 |
- |
- |
- |
Insurance |
69188 |
19635 |
49552 |
69027 |
19534 |
49493 |
161 |
101 |
60 |
Section 412(i) ins. |
380 |
150 |
230 |
301 |
71 |
230 |
79 |
79 |
- |
Trust |
4323172 |
1818401 |
2504772 |
3884908 |
1524381 |
2360527 |
438264 |
294019 |
144245 |
Trust and insurance |
1454354 |
645592 |
808762 |
1255530 |
474294 |
781236 |
198824 |
171298 |
27526 |
Not determinable |
8 |
*/ |
8 |
8 |
*/ |
8 |
- |
- |
- |
|
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Excludes plans covering only one participant. |
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
3/ Form 5500 Short Form filers do not report on the plan funding nor benefit arrangements. |
- Missing data. |
*/ Less than $500,000. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
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|
|
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|
|
|
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|
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|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
92
600
600
3
13
8
False
False
38
Table A6. Collective Bargaining Status of Pension Plans, Total Participants, and Assets |
by type of plan, 2011 |
Collective Bargaining Status / Plan Entity |
Total Plans |
Defined Benefit |
Defined Contribution |
Number of Plans |
Total Participants (thousands) |
Total Assets (millions) 1/ |
Number of Plans |
Total Participants (thousands) |
Total Assets (millions) 1/ |
Number of Plans |
Total Participants (thousands) |
Total Assets (millions) 1/ |
Total |
Total |
683647 |
129581 |
6345595 |
45256 |
40876 |
2516109 |
638390 |
88705 |
3829487 |
Single Employer 2/ |
680906 |
114707 |
5708267 |
43814 |
30443 |
2050611 |
637092 |
84264 |
3657656 |
Multiemployer 3/ |
2741 |
14875 |
637328 |
1442 |
10433 |
465498 |
1299 |
4441 |
171831 |
Noncollectively bargained plans |
Total |
674599 |
98840 |
4639555 |
41417 |
22973 |
1469850 |
633182 |
75868 |
3169705 |
Single Employer 2/ |
674599 |
98840 |
4639555 |
41417 |
22973 |
1469850 |
633182 |
75868 |
3169705 |
Collective bargaining plans |
Total |
9047 |
30741 |
1706041 |
3839 |
17903 |
1046259 |
5208 |
12838 |
659782 |
Single Employer 2/ |
6306 |
15866 |
1068712 |
2397 |
7470 |
580761 |
3909 |
8396 |
487952 |
Multiemployer 3/ |
2741 |
14875 |
637328 |
1442 |
10433 |
465498 |
1299 |
4441 |
171831 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Some collectively bargained plans cover nonbargaining unit employees under a separate non-negotiated benefit structure. |
NOTE: Excludes plans covering only one participant. |
1/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
2/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
3/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
88
600
600
3
5
10
False
False
Table B1. Distribution of Pension Plans |
by type of plan and number of participants, 2011 |
Number of Participants |
Total Plans |
Single Employer Plans 1/ |
Multiemployer Plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
683647 |
45256 |
638390 |
680899 |
43813 |
637086 |
2741 |
1442 |
1299 |
None or not reported |
31745 |
3220 |
28526 |
31694 |
3200 |
28493 |
51 |
19 |
31 |
|
2-9 |
242454 |
21087 |
221367 |
242431 |
21085 |
221346 |
17 |
1 |
16 |
|
10-24 |
161223 |
6134 |
155089 |
161214 |
6132 |
155082 |
9 |
2 |
7 |
|
25-49 |
95665 |
2632 |
93033 |
95637 |
2624 |
93013 |
28 |
8 |
20 |
|
50-99 |
67400 |
2346 |
65054 |
67335 |
2321 |
65014 |
65 |
24 |
41 |
|
100-249 |
43455 |
2655 |
40799 |
43225 |
2550 |
40675 |
230 |
105 |
125 |
|
250-499 |
17663 |
1856 |
15806 |
17292 |
1678 |
15615 |
370 |
179 |
192 |
|
500-999 |
10062 |
1498 |
8564 |
9564 |
1218 |
8346 |
498 |
280 |
218 |
|
|
1,000-2,499 |
7270 |
1684 |
5586 |
6613 |
1328 |
5285 |
657 |
356 |
301 |
|
2,500-4,999 |
3115 |
855 |
2259 |
2752 |
669 |
2084 |
362 |
187 |
175 |
|
5,000-9,999 |
1750 |
585 |
1165 |
1534 |
466 |
1069 |
215 |
119 |
96 |
|
10,000-19,999 |
964 |
319 |
645 |
848 |
240 |
608 |
115 |
79 |
36 |
|
20,000-49,999 |
615 |
256 |
359 |
536 |
205 |
330 |
79 |
50 |
28 |
|
50,000 or more |
267 |
130 |
137 |
223 |
97 |
126 |
44 |
33 |
11 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ Includes single employer plans, plans of controlled groups of corporations, and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
1
R2C1:R2C10
False
False
11
Table B2. Distribution of Pension Plans |
by type of plan and amount of assets, 2011 |
Amount of Assets |
Total Plans |
Single Employer Plans 1/ |
Multiemployer Plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
683647 |
45256 |
638390 |
680899 |
43813 |
637086 |
2741 |
1442 |
1299 |
None or not reported |
33558 |
3717 |
29841 |
33513 |
3701 |
29813 |
44 |
16 |
27 |
$1-24K |
22399 |
203 |
22196 |
22388 |
195 |
22192 |
11 |
7 |
4 |
25-49K |
18036 |
230 |
17806 |
18026 |
224 |
17802 |
9 |
5 |
4 |
50-99K |
33378 |
812 |
32566 |
33365 |
807 |
32558 |
12 |
5 |
7 |
100-249K |
85827 |
3815 |
82012 |
85807 |
3805 |
82002 |
20 |
10 |
10 |
250-499K |
106838 |
5640 |
101197 |
106820 |
5634 |
101186 |
15 |
6 |
9 |
500-999K |
127271 |
8149 |
119122 |
127226 |
8135 |
119091 |
45 |
14 |
30 |
1-2.49M |
135660 |
9826 |
125834 |
135563 |
9801 |
125762 |
95 |
25 |
70 |
2.5-4.9M |
55882 |
3689 |
52193 |
55727 |
3637 |
52090 |
155 |
53 |
102 |
5-9.9M |
28730 |
2026 |
26704 |
28492 |
1941 |
26551 |
238 |
85 |
153 |
10-24.9M |
18171 |
2175 |
15996 |
17691 |
1964 |
15727 |
480 |
211 |
269 |
25-49.9M |
7010 |
1387 |
5624 |
6595 |
1153 |
5441 |
416 |
233 |
183 |
50-74.9M |
2781 |
722 |
2058 |
2555 |
597 |
1958 |
226 |
125 |
100 |
75-99.9M |
1580 |
480 |
1100 |
1392 |
359 |
1033 |
188 |
121 |
67 |
100-149.9M |
1835 |
586 |
1249 |
1634 |
458 |
1176 |
201 |
128 |
73 |
150-199.9M |
967 |
310 |
657 |
858 |
246 |
611 |
109 |
64 |
46 |
200-249.9M |
627 |
226 |
401 |
541 |
177 |
364 |
86 |
49 |
37 |
250-499.9M |
1400 |
514 |
886 |
1218 |
390 |
828 |
182 |
124 |
58 |
500-999.9M |
769 |
305 |
464 |
665 |
228 |
437 |
104 |
77 |
27 |
1-2.49B |
586 |
275 |
310 |
514 |
218 |
296 |
72 |
57 |
14 |
2.5B or more |
342 |
168 |
174 |
309 |
143 |
166 |
33 |
25 |
8 |
|
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Excludes plans covering only one participant. |
NOTE: The letters K, M, and B denote thousands, millions, and billions respectively. |
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
98
600
600
3
1
R2C1:R2C10
False
False
11
Table B3. Distribution of Pension Plans |
by type of plan and industry, 2011 |
|
Industry |
Total Plans |
Single Employer Plans 1/ |
Multiemployer plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
683647 |
45256 |
638390 |
680899 |
43813 |
637086 |
2741 |
1442 |
1299 |
|
|
|
|
|
|
|
|
|
|
Agriculture |
7471 |
464 |
7008 |
7461 |
456 |
7006 |
10 |
8 |
2 |
|
|
|
|
|
|
|
Mining |
3753 |
359 |
3394 |
3740 |
356 |
3384 |
13 |
3 |
10 |
|
|
|
|
|
|
|
Construction |
52561 |
2311 |
50251 |
51406 |
1760 |
49645 |
1155 |
550 |
604 |
|
|
|
|
|
|
|
Manufacturing |
76606 |
6434 |
70172 |
76397 |
6302 |
70095 |
208 |
131 |
77 |
|
|
|
|
|
|
|
|
Transportation |
12648 |
734 |
11913 |
12482 |
636 |
11845 |
166 |
98 |
68 |
|
|
|
|
|
|
|
Communications and information |
12172 |
845 |
11327 |
12127 |
818 |
11309 |
45 |
27 |
18 |
|
|
|
|
|
|
|
Utilities |
2465 |
369 |
2096 |
2457 |
366 |
2091 |
8 |
3 |
5 |
|
|
|
|
|
|
|
Wholesale trade |
37113 |
2388 |
34725 |
37072 |
2363 |
34708 |
41 |
24 |
17 |
|
|
|
|
|
|
|
Retail trade |
42490 |
1565 |
40925 |
42389 |
1494 |
40895 |
100 |
72 |
28 |
|
|
|
|
|
|
|
Finance, insurance & real estate |
63863 |
5738 |
58125 |
63293 |
5417 |
57876 |
569 |
321 |
247 |
|
|
|
|
|
|
|
Services |
356975 |
23006 |
333969 |
356713 |
22878 |
333835 |
259 |
127 |
132 |
|
|
|
|
|
|
|
Misc. organizations 3/ |
15242 |
1029 |
14213 |
15076 |
952 |
14124 |
166 |
77 |
89 |
|
|
|
|
|
|
|
Industry not reported |
287 |
14 |
273 |
287 |
14 |
273 |
- |
- |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NOTE: Industry classifications are based on principal business activity code used in the North American Industry Classification System as of 2006. Therefore, the results in this table may not be directly comparable with data prior to 2006. |
NOTE: Excludes plans covering only one participant. |
|
|
|
|
|
|
|
|
|
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
|
|
|
|
|
|
|
|
|
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
|
|
|
|
|
|
|
|
|
3/ Religious, grantmaking, civic, professional, labor, and similar organizations. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
98
600
600
3
1
R2C1:R2C10
False
False
11
Table B4. Distribution of Participants |
|
by type of plan and number of participants, 2011 |
|
(numbers in thousands) |
|
|
Number of Participants |
Total Plans |
Single Employer Plans 1/ |
Multiemployer Plans 2/ |
|
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
|
Total |
129581 |
40876 |
88705 |
114707 |
30443 |
84264 |
14875 |
10433 |
4441 |
|
2-9 |
1210 |
90 |
1120 |
1210 |
90 |
1120 |
*/ |
*/ |
*/ |
|
10-24 |
2521 |
93 |
2429 |
2521 |
93 |
2428 |
*/ |
*/ |
*/ |
25-49 |
3350 |
92 |
3257 |
3349 |
92 |
3256 |
1 |
*/ |
1 |
50-99 |
4718 |
168 |
4550 |
4713 |
166 |
4547 |
5 |
2 |
3 |
100-249 |
6693 |
433 |
6260 |
6653 |
415 |
6238 |
40 |
18 |
22 |
250-499 |
6166 |
666 |
5500 |
6027 |
599 |
5428 |
139 |
67 |
72 |
500-999 |
7014 |
1069 |
5945 |
6655 |
866 |
5789 |
359 |
203 |
156 |
|
1,000-2,499 |
11332 |
2689 |
8644 |
10265 |
2111 |
8155 |
1067 |
578 |
489 |
2,500-4,999 |
10899 |
3001 |
7898 |
9628 |
2348 |
7280 |
1272 |
654 |
618 |
5,000-9,999 |
12220 |
4122 |
8098 |
10693 |
3261 |
7432 |
1527 |
861 |
666 |
10,000-19,999 |
13314 |
4460 |
8854 |
11665 |
3327 |
8338 |
1649 |
1133 |
516 |
20,000-49,999 |
19068 |
7930 |
11138 |
16653 |
6395 |
10258 |
2415 |
1535 |
880 |
50,000 or more |
31075 |
16063 |
15013 |
24675 |
10681 |
13994 |
6401 |
5382 |
1019 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
|
NOTE: Excludes plans covering only one participant. |
|
1/ Includes single employer plans, plans of controlled groups of corporations, and multiple-employer noncollectively bargained plans. |
|
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
|
*/ Fewer than 500 participants. |
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
97
600
600
3
1
R2C1:R2C10
False
False
11
Table B5. Distribution of Participants |
by type of plan and amount of assets, 2011 |
(numbers in thousands) |
Amount of Assets |
Total |
Single Employer Plans 1/ |
Multiemployer Plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
129581 |
40876 |
88705 |
114707 |
30443 |
84264 |
14875 |
10433 |
4441 |
None or not reported |
83 |
9 |
74 |
82 |
9 |
74 |
1 |
*/ |
*/ |
$1-24K |
261 |
2 |
259 |
260 |
2 |
259 |
1 |
1 |
*/ |
25-49K |
208 |
3 |
205 |
207 |
2 |
205 |
1 |
1 |
*/ |
50-99K |
428 |
6 |
421 |
427 |
6 |
421 |
1 |
1 |
*/ |
100-249K |
1304 |
34 |
1269 |
1298 |
30 |
1268 |
6 |
4 |
2 |
250-499K |
2080 |
58 |
2022 |
2075 |
54 |
2021 |
5 |
4 |
1 |
500-999K |
3561 |
107 |
3455 |
3548 |
101 |
3446 |
14 |
5 |
8 |
1-2.49M |
6416 |
218 |
6198 |
6377 |
209 |
6168 |
39 |
9 |
29 |
2.5-4.9M |
5781 |
334 |
5448 |
5648 |
269 |
5379 |
134 |
65 |
69 |
5-9.9M |
5913 |
430 |
5483 |
5748 |
386 |
5362 |
165 |
44 |
121 |
10-24.9M |
8663 |
1019 |
7644 |
8200 |
865 |
7335 |
463 |
154 |
309 |
25-49.9M |
7461 |
1354 |
6108 |
6747 |
1068 |
5679 |
714 |
286 |
429 |
50-74.9M |
4761 |
1059 |
3702 |
4313 |
857 |
3456 |
448 |
203 |
246 |
75-99.9M |
3851 |
1049 |
2802 |
3283 |
744 |
2539 |
568 |
305 |
263 |
100-149.9M |
6161 |
1668 |
4493 |
5506 |
1317 |
4189 |
655 |
351 |
304 |
150-199.9M |
4273 |
1250 |
3023 |
3798 |
1028 |
2770 |
476 |
223 |
253 |
200-249.9M |
3351 |
1138 |
2214 |
2845 |
892 |
1953 |
506 |
245 |
261 |
250-499.9M |
10691 |
3799 |
6892 |
8996 |
2801 |
6195 |
1695 |
998 |
697 |
500-999.9M |
10256 |
3912 |
6344 |
8619 |
2682 |
5937 |
1637 |
1230 |
408 |
1-2.49B |
15332 |
7475 |
7857 |
12763 |
5237 |
7526 |
2569 |
2238 |
331 |
2.5B or more |
28745 |
15951 |
12793 |
23968 |
11884 |
12083 |
4777 |
4067 |
710 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Excludes plans covering only one participant. |
NOTE: The letters K, M, and B denote thousands, millions, and billions respectively. |
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
*/ Fewer than 500 participants. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
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|
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|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
88
600
600
3
1
R2C1:R2C10
False
False
11
Table B6. Distribution of Participants |
by type of plan and industry, 2011 |
(numbers in thousands) |
|
Industry |
Total Plans |
Single Employer Plans 1/ |
Multiemployer plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
129581 |
40876 |
88705 |
114707 |
30443 |
84264 |
14875 |
10433 |
4441 |
|
|
|
|
|
|
|
|
|
|
Agriculture |
762 |
144 |
618 |
734 |
121 |
612 |
28 |
22 |
6 |
|
|
|
|
|
|
|
Mining |
1048 |
306 |
742 |
1007 |
303 |
704 |
41 |
3 |
38 |
|
|
|
|
|
|
|
Construction |
6882 |
2736 |
4147 |
2489 |
96 |
2393 |
4394 |
2640 |
1754 |
|
|
|
|
|
|
|
Manufacturing |
30198 |
14063 |
16135 |
28301 |
12673 |
15628 |
1897 |
1389 |
507 |
|
|
|
|
|
|
|
|
Transportation |
5971 |
2593 |
3378 |
4320 |
1285 |
3035 |
1651 |
1308 |
343 |
|
|
|
|
|
|
|
Communications and information |
5630 |
2371 |
3258 |
5230 |
2146 |
3084 |
399 |
225 |
174 |
|
|
|
|
|
|
|
Utilities |
1830 |
972 |
858 |
1796 |
956 |
840 |
33 |
16 |
17 |
|
|
|
|
|
|
|
Wholesale trade |
4044 |
879 |
3165 |
3939 |
822 |
3117 |
105 |
57 |
48 |
|
|
|
|
|
|
|
Retail trade |
13676 |
3008 |
10668 |
12149 |
1600 |
10549 |
1526 |
1407 |
119 |
|
|
|
|
|
|
|
Finance, insurance & real estate |
13591 |
5773 |
7818 |
11065 |
3826 |
7239 |
2526 |
1947 |
579 |
|
|
|
|
|
|
|
Services |
43761 |
7598 |
36163 |
41875 |
6391 |
35484 |
1886 |
1207 |
679 |
|
|
|
|
|
|
|
Misc. organizations 3/ |
2185 |
434 |
1752 |
1797 |
222 |
1575 |
388 |
212 |
177 |
|
|
|
|
|
|
|
Industry not reported |
4 |
*/ |
4 |
4 |
*/ |
4 |
- |
- |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
|
|
|
|
|
|
|
|
|
NOTE: Industry classifications are based on principal business activity code used in the North American Industry Classification System as of 2006. Therefore, the results in this table may not be directly comparable with years prior to 2006. |
NOTE: Excludes plans covering only one participant. |
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
|
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
|
|
|
|
|
|
|
|
|
3/ Religious, grantmaking, civic, professional, labor, and similar organizations. |
|
|
|
|
|
|
|
|
|
*/ Fewer than 500 participants. |
- Missing data. |
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
96
600
600
3
1
R2C1:R2C10
False
False
11
Table B7. Distribution of Active Participants |
by type of plan, 2011 |
(numbers in thousands) |
|
|
|
|
Type of Plan 1/ |
Total Plans |
Single Employer Plans 2/ |
Multiemployer Plans 3/ |
Total |
90175 |
82606 |
7569 |
Defined benefit |
16507 |
12327 |
4180 |
Defined contribution |
73668 |
70278 |
3389 |
Profit sharing and thrift-savings |
63874 |
61706 |
2168 |
Stock bonus |
1007 |
1007 |
*/ |
Target benefit |
48 |
41 |
6 |
Money purchase |
1989 |
993 |
996 |
Annuity-403(b)(1) |
4785 |
4736 |
49 |
Custodial account-403(b)(7) |
899 |
899 |
- |
Other defined contribution |
1066 |
897 |
169 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. The number of active participants also includes double counting of workers in more than one plan. Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
NOTE: Excludes plans covering only one participant. |
1/ About 1% of defined contribution plans report more than one plan type. These plans are assigned whichever plan type appears first in the list. As of 2009, annuity-403(b)(1) plans and custodial account-403(b)(7) plans established or maintained by an employer as described in DOL Regulation 29 CFR 2510.3-2(f) are required to file participation and financial information. Annuity-403(b)(1) plans and custodial account-403(b)(7) plans that are not required to file this information may or may not choose to do so. In the event that this information is provided, it is tabulated. |
2/ Includes single employer plans, plans of controlled groups of corporations, and multiple-employer noncollectively bargained plans. |
3/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
*/ Fewer than 500 participants. |
- Missing data. |
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
600
600
3
1
R2C1:R2C10
False
False
Table B8. Number of Plans |
by type of plan and method of funding, 2011 |
|
|
|
|
|
|
|
|
|
|
Method of Funding |
Total Plans |
Single Employer Plans 1/ |
Multiemployer plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
|
|
|
|
|
|
|
|
|
|
Funding arrangement for investment of assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
683647 |
45256 |
638390 |
680899 |
43813 |
637086 |
2741 |
1442 |
1299 |
|
Form 5500 Short Form 3/ |
501772 |
29413 |
472359 |
501765 |
29412 |
472353 |
- |
- |
- |
|
Insurance |
7605 |
663 |
6942 |
7587 |
655 |
6932 |
18 |
8 |
10 |
|
Section 412(i) ins. |
525 |
431 |
94 |
525 |
431 |
94 |
- |
- |
- |
|
Trust |
126898 |
12106 |
114792 |
124998 |
11096 |
113902 |
1900 |
1010 |
890 |
|
Trust and insurance |
46534 |
2627 |
43907 |
45712 |
2203 |
43508 |
822 |
424 |
398 |
|
Not determinable |
313 |
16 |
297 |
313 |
16 |
297 |
- |
- |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding arrangement for payment of benefits |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
683647 |
45256 |
638390 |
680899 |
43813 |
637086 |
2741 |
1442 |
1299 |
Form 5500 Short Form 3/ |
501772 |
29413 |
472359 |
501765 |
29412 |
472353 |
- |
- |
- |
Insurance |
12680 |
707 |
11972 |
12661 |
698 |
11963 |
18 |
9 |
9 |
|
Section 412(i) ins. |
529 |
429 |
99 |
527 |
427 |
99 |
2 |
2 |
- |
|
Trust |
133355 |
12482 |
120873 |
131112 |
11266 |
119846 |
2243 |
1216 |
1027 |
|
Trust and insurance |
34998 |
2208 |
32790 |
34521 |
1993 |
32528 |
478 |
215 |
263 |
|
Not determinable |
313 |
16 |
297 |
313 |
16 |
297 |
- |
- |
- |
|
|
|
NOTE: Excludes plans covering only one participant. |
|
1/ Includes single employer plans, plans of controlled groups of corporations, and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
3/ Form 5500 Short Form filers do not report on the plan funding nor benefit arrangements. |
- Missing data. |
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
1
R2C1:R2C10
False
False
Table B9. Number of Participants |
by type of plan and method of funding, 2011 |
(numbers in thousands) |
|
|
|
|
|
|
|
|
|
|
Method of Funding |
Total Plans |
Single Employer Plans 1/ |
Multiemployer plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
|
|
|
|
|
|
|
|
|
|
Funding arrangement for investment of assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
129581 |
40876 |
88705 |
114707 |
30443 |
84264 |
14875 |
10433 |
4441 |
|
Form 5500 Short Form 3/ |
10795 |
371 |
10424 |
10795 |
371 |
10424 |
- |
- |
- |
|
Insurance |
2080 |
320 |
1759 |
2069 |
317 |
1753 |
11 |
4 |
7 |
|
Section 412(i) ins. |
8 |
3 |
4 |
8 |
3 |
4 |
- |
- |
- |
|
Trust |
77142 |
26882 |
50260 |
69715 |
22335 |
47381 |
7427 |
4548 |
2879 |
|
Trust and insurance |
39553 |
13299 |
26255 |
32116 |
7416 |
24699 |
7437 |
5882 |
1555 |
|
Not determinable |
3 |
*/ |
3 |
3 |
*/ |
3 |
- |
- |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding arrangement for payment of benefits |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
129581 |
40876 |
88705 |
114707 |
30443 |
84264 |
14875 |
10433 |
4441 |
|
Form 5500 Short Form 3/ |
10795 |
371 |
10424 |
10795 |
371 |
10424 |
- |
- |
- |
|
Insurance |
2161 |
349 |
1812 |
2151 |
346 |
1806 |
10 |
3 |
6 |
|
Section 412(i) ins. |
10 |
5 |
5 |
8 |
3 |
5 |
2 |
2 |
- |
|
Trust |
85887 |
30413 |
55474 |
74995 |
23191 |
51803 |
10892 |
7222 |
3670 |
|
Trust and insurance |
30725 |
9737 |
20988 |
26754 |
6531 |
20223 |
3971 |
3206 |
765 |
|
Not determinable |
3 |
*/ |
3 |
3 |
*/ |
3 |
- |
- |
- |
|
|
|
|
|
|
|
|
|
|
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
|
NOTE: Excludes plans covering only one participant. |
|
1/ Includes single employer plans, plans of controlled groups of corporations, and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
|
3/ Form 5500 Short Form filers do not report on the plan funding nor benefit arrangements. |
|
*/ Fewer than 500 participants |
|
- Missing data. |
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
90
600
600
3
1
R2C1:R2C10
False
False
36
Table C1. Distribution of Assets |
by number of participants, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
Number of Participants |
Total Plans |
Single Employer Plans 1/ |
Multiemployer Plans 2/ |
|
Defined Benefit |
Defined Contribution |
|
Defined Benefit |
Defined Contribution |
|
Defined Benefit |
Defined Contribution |
Total |
Total |
Total |
|
|
|
Total |
6345595 |
2516109 |
3829487 |
5708262 |
2050611 |
3657652 |
637328 |
465498 |
171831 |
None or not reported |
4552 |
745 |
3808 |
4448 |
745 |
3703 |
105 |
*/ |
105 |
2-9 |
145696 |
19716 |
125980 |
145681 |
19716 |
125965 |
10 |
*/ |
10 |
10-24 |
149813 |
6889 |
142924 |
149798 |
6888 |
142910 |
15 |
1 |
14 |
25-49 |
149126 |
5066 |
144060 |
149032 |
5048 |
143984 |
94 |
18 |
76 |
50-99 |
175259 |
8505 |
166754 |
175024 |
8441 |
166582 |
235 |
64 |
172 |
100-249 |
235492 |
22444 |
213049 |
233669 |
21599 |
212069 |
1823 |
844 |
979 |
250-499 |
217690 |
33596 |
184094 |
211613 |
29976 |
181637 |
6077 |
3620 |
2457 |
500-999 |
256937 |
53666 |
203271 |
240305 |
42643 |
197662 |
16632 |
11023 |
5609 |
1,000-2,499 |
470894 |
142310 |
328585 |
420206 |
109481 |
310724 |
50689 |
32828 |
17861 |
2,500-4,999 |
496658 |
163986 |
332672 |
436038 |
127656 |
308382 |
60620 |
36330 |
24290 |
5,000-9,999 |
591257 |
240108 |
351149 |
519752 |
191847 |
327905 |
71506 |
48262 |
23244 |
10,000-19,999 |
647838 |
253868 |
393971 |
578613 |
198199 |
380414 |
69225 |
55669 |
13557 |
20,000-49,999 |
1123423 |
520427 |
602996 |
1007343 |
449581 |
557762 |
116080 |
70845 |
45234 |
50,000 or more |
1680961 |
1044784 |
636176 |
1436743 |
838791 |
597952 |
244218 |
205994 |
38224 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Excludes plans covering only one participant. |
1/ Includes single employer plans, plans of controlled groups of corporations, and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
*/ Less than $500,000. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
30
R31C1:R31C256
False
False
11
Table C2. Distribution of Assets |
by asset size, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
Amount of Assets |
Total Plans |
Single Employer Plans 1/ |
Multiemployer plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
6345595 |
2516109 |
3829487 |
5708262 |
2050611 |
3657652 |
637328 |
465498 |
171831 |
$1-24K |
246 |
2 |
244 |
246 |
2 |
244 |
*/ |
*/ |
*/ |
25-49K |
674 |
9 |
665 |
674 |
9 |
665 |
*/ |
*/ |
*/ |
50-99K |
2488 |
63 |
2425 |
2488 |
63 |
2425 |
1 |
*/ |
1 |
100-249K |
14776 |
671 |
14105 |
14772 |
669 |
14103 |
3 |
1 |
2 |
250-499K |
39247 |
2096 |
37151 |
39241 |
2094 |
37147 |
5 |
2 |
3 |
500-999K |
91879 |
5951 |
85929 |
91847 |
5940 |
85907 |
32 |
10 |
22 |
1-2.49M |
213951 |
15550 |
198400 |
213778 |
15506 |
198272 |
169 |
44 |
125 |
2.5-4.9M |
194039 |
12765 |
181273 |
193470 |
12574 |
180896 |
569 |
191 |
378 |
5-9.9M |
198987 |
14350 |
184636 |
197233 |
13727 |
183506 |
1754 |
623 |
1130 |
10-24.9M |
279395 |
35152 |
244242 |
271431 |
31521 |
239910 |
7964 |
3631 |
4332 |
25-49.9M |
244628 |
49549 |
195079 |
229504 |
41061 |
188443 |
15124 |
8488 |
6635 |
50-74.9M |
170103 |
44442 |
125661 |
156205 |
36656 |
119549 |
13898 |
7786 |
6112 |
75-99.9M |
136672 |
41459 |
95213 |
120322 |
30936 |
89385 |
16351 |
10523 |
5828 |
100-149.9M |
224812 |
71956 |
152856 |
200245 |
56274 |
143971 |
24567 |
15682 |
8885 |
150-199.9M |
166551 |
53613 |
112938 |
147805 |
42633 |
105172 |
18746 |
10980 |
7766 |
200-249.9M |
139893 |
50847 |
89045 |
120529 |
39533 |
80997 |
19363 |
11315 |
8048 |
250-499.9M |
489676 |
180187 |
309489 |
426711 |
137378 |
289333 |
62965 |
42809 |
20155 |
500-999.9M |
536815 |
213515 |
323300 |
464281 |
159616 |
304665 |
72535 |
53899 |
18636 |
1-2.49B |
929379 |
442214 |
487164 |
815672 |
348278 |
467395 |
113706 |
93936 |
19770 |
2.5B or more |
2271384 |
1281715 |
989669 |
2001809 |
1076141 |
925667 |
269576 |
205574 |
64002 |
|
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Excludes plans covering only one participant. |
NOTE: The letters K, M, and B denote thousands, millions, and billions respectively. |
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
*/ Less than $500,000. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
97
600
600
3
30
R31C1:R31C256
False
False
11
Table C3. Distribution of Assets |
by industry, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
Industry |
Total Plans |
Single Employer Plans 1/ |
Multiemployer plans 2/ |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
6345595 |
2516109 |
3829487 |
5708262 |
2050611 |
3657652 |
637328 |
465498 |
171831 |
|
|
|
|
|
|
|
|
|
Agriculture |
19278 |
4662 |
14616 |
18416 |
4009 |
14407 |
862 |
653 |
209 |
|
|
|
|
Mining |
63445 |
19883 |
43562 |
61549 |
19531 |
42018 |
1895 |
352 |
1544 |
|
|
|
|
|
|
|
Construction |
301834 |
146479 |
155356 |
98899 |
4301 |
94598 |
202933 |
142178 |
60755 |
|
|
|
|
|
|
Manufacturing |
2116266 |
1040376 |
1075890 |
1994143 |
967580 |
1026563 |
122123 |
72796 |
49327 |
|
|
|
|
|
|
|
|
|
Transportation |
280635 |
155524 |
125111 |
191977 |
75508 |
116469 |
88658 |
80016 |
8642 |
|
|
|
|
|
|
|
|
Communications and information |
323942 |
152180 |
171762 |
309432 |
141897 |
167535 |
14510 |
10283 |
4227 |
|
|
|
|
|
|
|
|
|
Utilities |
235508 |
139226 |
96282 |
231730 |
136826 |
94904 |
3778 |
2400 |
1378 |
|
|
|
|
|
|
|
|
Wholesale trade |
183615 |
39714 |
143901 |
181163 |
38003 |
143161 |
2452 |
1711 |
741 |
|
|
|
|
|
|
Retail trade |
258093 |
60879 |
197214 |
228740 |
32597 |
196143 |
29353 |
28282 |
1071 |
|
|
|
|
|
|
|
|
Finance, insurance & real estate |
769403 |
340674 |
428729 |
669469 |
261994 |
407476 |
99931 |
78680 |
21251 |
|
|
|
|
|
|
|
|
Services |
1723217 |
387256 |
1335961 |
1669792 |
353102 |
1316689 |
53425 |
34154 |
19271 |
|
|
|
|
|
|
|
|
|
Misc. organizations 3/ |
70266 |
29252 |
41014 |
52859 |
15261 |
37599 |
17407 |
13991 |
3416 |
|
|
|
|
|
|
|
|
|
Industry not reported |
93 |
4 |
89 |
93 |
4 |
89 |
- |
- |
- |
|
|
|
|
|
|
|
|
|
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Industry classifications are based on principal business activity code used in the North American Industry Classification System as of 2006. Therefore, the results in this table may not be directly comparable with years prior to 2006. |
NOTE: Excludes plans covering only one participant. |
1/ Includes single employer plans, plans of controlled groups of corporations and multiple-employer noncollectively bargained plans. |
2/ Includes multiemployer plans and multiple-employer collectively bargained plans. |
3/ Religious, grantmaking, civic, professional, labor, and similar organizations. |
- Missing data. |
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
98
600
600
3
30
R31C1:R31C256
False
False
11
Table C4. Balance Sheet of Pension Plans with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Defined |
Defined |
Benefit |
Contribution |
Assets |
|
|
|
|
|
|
Total noninterest-bearing cash |
8706 |
|
4129 |
|
4577 |
|
|
|
|
Employer contrib. receivable |
87289 |
|
62663 |
|
24626 |
|
|
|
|
Participant contrib. receivable |
1799 |
|
22 |
|
1777 |
|
|
|
Other receivables |
37185 |
|
21353 |
|
15833 |
|
|
|
|
Interest-bearing cash |
94054 |
|
37989 |
|
56066 |
|
|
|
|
U. S. Government securities |
151147 |
|
116394 |
|
34754 |
|
|
|
|
Corporate debt instruments: Preferred |
43809 |
|
37946 |
|
5863 |
|
|
|
|
Corporate debt instruments: All other |
123412 |
|
106791 |
|
16621 |
|
|
|
|
Preferred stock |
2660 |
|
2286 |
|
374 |
|
|
|
Common stock |
327400 |
|
260149 |
|
67251 |
|
|
|
|
Partnership/joint venture interests |
95466 |
|
91623 |
|
3843 |
|
|
|
Real estate (except employer real property) |
14331 |
|
13604 |
|
727 |
|
|
|
Loans (other than to participants) |
5871 |
|
4252 |
|
1619 |
|
|
|
|
Participant loans |
58339 |
|
172 |
|
58167 |
|
|
|
Assets in common/collective trusts |
685870 |
|
316426 |
|
369444 |
|
|
|
|
Assets in pooled separate accounts |
147744 |
|
36920 |
|
110824 |
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
30
R31C1:R31C256
False
False
Table C4. Balance Sheet of Pension Plans with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Defined |
Defined |
Benefit |
Contribution |
Assets in master trusts |
1678209 |
|
1042268 |
|
635941 |
|
|
|
|
Assets in 103-12 investment entities |
55635 |
|
51562 |
|
4073 |
|
|
|
|
Assets in registered investment companies |
1516858 |
|
184671 |
|
1332187 |
|
|
|
|
Assets in insurance co. general accounts |
164543 |
|
13246 |
|
151297 |
|
|
|
|
Other general investments |
136703 |
|
64960 |
|
71743 |
|
|
|
|
Employer securities |
247477 |
|
3281 |
|
244196 |
|
|
|
|
Employer real property |
399 |
|
88 |
|
311 |
|
Buildings and other property used by plan |
971 |
|
938 |
|
33 |
|
Other or unspecified assets |
35272 |
|
1456 |
|
33816 |
|
|
|
|
Total Assets |
5721149 |
|
2475188 |
|
3245961 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
|
|
|
Benefit claims payable |
1167 |
|
380 |
|
787 |
|
|
|
Operating payables |
6485 |
|
4676 |
|
1809 |
|
|
|
|
Acquisition indebtedness |
9141 |
|
1647 |
|
7494 |
|
|
|
|
Other liabilities |
59080 |
|
44322 |
|
14758 |
|
|
|
|
Total Liabilities |
75873 |
|
51026 |
|
24847 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Assets |
5645276 |
|
2424162 |
|
3221115 |
|
|
|
|
|
|
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
|
|
|
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
1
3
30
R31C1:R31C256
False
False
Table C5. Balance Sheet of Single Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Defined |
Defined |
Benefit |
Contribution |
Assets |
|
|
|
|
|
|
Total noninterest-bearing cash |
6457 |
|
2227 |
|
4230 |
|
|
|
|
Employer contrib. receivable |
82523 |
|
58549 |
|
23974 |
|
|
|
|
Participant contrib. receivable |
1749 |
|
12 |
|
1737 |
|
|
|
Other receivables |
29901 |
|
14728 |
|
15173 |
|
|
|
|
Interest-bearing cash |
74304 |
|
23144 |
|
51160 |
|
|
|
|
U. S. Government securities |
105514 |
|
83160 |
|
22354 |
|
|
|
|
Corporate debt instruments: Preferred |
32647 |
|
28756 |
|
3891 |
|
|
|
|
Corporate debt instruments: All other |
91354 |
|
79654 |
|
11700 |
|
|
|
|
Preferred stock |
2177 |
|
1846 |
|
332 |
|
|
|
Common stock |
208659 |
|
151701 |
|
56958 |
|
|
|
|
Partnership/joint venture interests |
65949 |
|
63382 |
|
2567 |
|
|
|
Real estate (except employer real property) |
4759 |
|
4374 |
|
385 |
|
|
|
Loans (other than to participants) |
3201 |
|
1728 |
|
1473 |
|
|
|
|
Participant loans |
56133 |
|
84 |
|
56049 |
|
|
|
Assets in common/collective trusts |
581018 |
|
240561 |
|
340458 |
|
|
|
|
Assets in pooled separate accounts |
132531 |
|
28885 |
|
103646 |
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
30
R31C1:R31C256
False
False
Table C5. Balance Sheet of Single Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Defined |
Defined |
Benefit |
Contribution |
Assets in master trusts |
1619460 |
|
989943 |
|
629517 |
|
|
|
|
Assets in 103-12 investment entities |
41379 |
|
39285 |
|
2094 |
|
|
|
|
Assets in registered investment companies |
1424209 |
|
142560 |
|
1281649 |
|
|
|
|
Assets in insurance co. general accounts |
154083 |
|
11459 |
|
142624 |
|
|
|
|
Other general investments |
105848 |
|
39183 |
|
66665 |
|
|
|
|
Employer securities |
224777 |
|
3019 |
|
221758 |
|
|
|
|
Employer real property |
394 |
|
83 |
|
311 |
|
Buildings and other property used by plan |
26 |
|
22 |
|
4 |
|
Other or unspecified assets |
35229 |
|
1427 |
|
33801 |
|
|
|
|
Total Assets |
5084280 |
|
2009773 |
|
3074507 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
|
|
|
Benefit claims payable |
990 |
|
318 |
|
672 |
|
|
|
Operating payables |
5040 |
|
3436 |
|
1604 |
|
|
|
|
Acquisition indebtedness |
8777 |
|
1291 |
|
7485 |
|
|
|
|
Other liabilities |
37008 |
|
23970 |
|
13039 |
|
|
|
|
Total Liabilities |
51815 |
|
29015 |
|
22800 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Assets |
5032466 |
|
1980758 |
|
3051707 |
|
|
|
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
30
R31C1:R31C256
False
False
Table C6. Balance Sheet of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Defined |
Defined |
Benefit |
Contribution |
Assets |
|
|
|
|
|
|
|
|
|
Total noninterest-bearing cash |
2249 |
|
1902 |
|
347 |
|
|
|
|
Employer contrib. receivable |
4766 |
|
4114 |
|
652 |
|
|
|
Participant contrib. receivable |
51 |
|
11 |
|
40 |
|
|
|
|
Other receivables |
7285 |
|
6625 |
|
660 |
|
|
|
|
Interest-bearing cash |
19751 |
|
14845 |
|
4906 |
|
|
|
|
U. S. Government securities |
45634 |
|
33234 |
|
12400 |
|
|
|
|
Corporate debt instruments: Preferred |
11162 |
|
9190 |
|
1972 |
|
|
|
|
Corporate debt instruments: All other |
32058 |
|
27137 |
|
4921 |
|
|
|
Preferred stock |
483 |
|
441 |
|
42 |
|
|
|
|
Common stock |
118741 |
|
108448 |
|
10293 |
|
|
|
Partnership/joint venture interests |
29517 |
|
28241 |
|
1276 |
|
|
|
Real estate (except employer real property) |
9571 |
|
9229 |
|
342 |
|
|
|
|
Loans (other than to participants) |
2670 |
|
2524 |
|
146 |
|
|
|
Participant loans |
2206 |
|
88 |
|
2118 |
|
|
|
|
Assets in common/collective trusts |
104851 |
|
75865 |
|
28986 |
|
|
|
|
Assets in pooled separate accounts |
15213 |
|
8035 |
|
7178 |
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
30
R31C1:R31C256
False
False
Table C6. Balance Sheet of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Defined |
Defined |
Benefit |
Contribution |
|
|
|
Assets in master trusts |
58749 |
|
52325 |
|
6424 |
|
|
|
|
Assets in 103-12 investment entities |
14256 |
|
12277 |
|
1979 |
|
|
|
|
Assets in registered investment companies |
92649 |
|
42110 |
|
50538 |
|
|
|
|
Assets in insurance co. general accounts |
10460 |
|
1787 |
|
8673 |
|
|
|
|
Other general investments |
30854 |
|
25776 |
|
5078 |
|
|
|
|
Employer securities |
22700 |
|
262 |
|
22438 |
|
Employer real property |
5 |
|
5 |
|
- |
|
Buildings and other property used by plan |
944 |
|
916 |
|
29 |
|
|
|
|
Other or unspecified assets |
43 |
|
29 |
|
14 |
|
|
|
|
Total Assets |
636869 |
|
465415 |
|
171454 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
|
|
Benefit claims payable |
177 |
|
62 |
|
114 |
|
|
|
|
Operating payables |
1445 |
|
1240 |
|
205 |
|
|
|
|
Acquisition indebtedness |
364 |
|
356 |
|
8 |
|
|
|
|
Other liabilities |
22072 |
|
20353 |
|
1719 |
|
|
|
|
Total Liabilities |
24058 |
|
22012 |
|
2047 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Assets |
612811 |
|
443403 |
|
169408 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
30
R31C1:R31C256
False
False
Table C7. Percentage Distribution of Assets in Defined Benefit Plans |
with 100 or More Participants |
by type of asset and size of plan, 2011 |
|
|
|
|
|
Type of Asset |
Total |
$1-0.99M |
$1.0M-9.9M |
$10.0M- |
$250.0M- |
$1.0B or |
249.9M |
999.9M |
More |
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Assets |
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Cash |
2 |
|
12 |
|
5 |
|
3 |
|
2 |
|
1 |
|
Receivables |
3 |
|
12 |
|
3 |
|
4 |
|
4 |
|
3 |
|
U.S. Government securities |
5 |
|
1 |
|
3 |
|
4 |
|
4 |
|
5 |
|
Corporate debt instruments: Preferred |
2 |
|
- |
|
1 |
|
1 |
|
2 |
|
2 |
|
Corporate debt instruments: All other |
4 |
|
*/ |
|
3 |
|
3 |
|
4 |
|
5 |
|
|
Corporate stocks |
11 |
|
2 |
|
10 |
|
12 |
|
12 |
|
10 |
|
Real estate (except employer real property) |
1 |
|
- |
|
*/ |
|
*/ |
|
*/ |
|
1 |
|
Loans |
*/ |
|
1 |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Assets in common/collective trusts |
13 |
|
1 |
|
6 |
|
14 |
|
14 |
|
12 |
|
Assets in pooled separate accounts |
1 |
|
6 |
|
11 |
|
5 |
|
2 |
|
1 |
|
Assets in master trusts |
42 |
|
5 |
|
10 |
|
22 |
|
35 |
|
48 |
|
Assets in 103-12 investment entities |
2 |
|
- |
|
*/ |
|
2 |
|
2 |
|
2 |
|
Assets in registered investment companies |
7 |
|
26 |
|
35 |
|
25 |
|
12 |
|
3 |
|
Assets in ins. co. general accounts |
1 |
|
7 |
|
5 |
|
1 |
|
1 |
|
*/ |
|
Employer securities |
*/ |
|
- |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Other or unspecified investments |
6 |
|
25 |
|
8 |
|
4 |
|
6 |
|
7 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: The letters M and B in the column headings denote millions and billions respectively. Percentage distributions may not add up to 100 percent because of rounding. |
*/ Less than 1 percent. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
30
R31C1:R31C256
False
False
Table C8. Percentage Distribution of Assets in Defined Contribution Plans |
with 100 or More Participants |
by type of asset and size of plan, 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
Type of Asset |
Total |
$1-0.99M |
$1.0M-9.9M |
$10.0M- |
$250.0M- |
$1.0B or |
249.9M |
999.9M |
More |
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Assets |
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Cash |
2 |
|
3 |
|
3 |
|
2 |
|
2 |
|
1 |
|
Receivables |
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
2 |
|
U.S. Government securities |
1 |
|
*/ |
|
*/ |
|
*/ |
|
1 |
|
2 |
|
Corporate debt instruments: Preferred |
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Corporate debt instruments: All other |
1 |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
1 |
|
Corporate stocks |
2 |
|
*/ |
|
1 |
|
1 |
|
1 |
|
3 |
|
Real estate (except employer real property) |
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Loans |
2 |
|
2 |
|
2 |
|
2 |
|
2 |
|
2 |
|
Assets in common/collective trusts |
11 |
|
2 |
|
5 |
|
9 |
|
12 |
|
14 |
|
Assets in pooled separate accounts |
3 |
|
16 |
|
15 |
|
6 |
|
3 |
|
1 |
|
Assets in master trusts |
20 |
|
*/ |
|
*/ |
|
4 |
|
15 |
|
34 |
|
Assets in 103-12 investment entities |
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Assets in registered investment companies |
41 |
|
36 |
|
50 |
|
59 |
|
50 |
|
24 |
|
Assets in ins. co. general accounts |
5 |
|
4 |
|
6 |
|
7 |
|
6 |
|
3 |
|
Employer securities |
8 |
|
2 |
|
2 |
|
5 |
|
6 |
|
11 |
|
Other or unspecified investments |
3 |
|
33 |
|
13 |
|
3 |
|
2 |
|
3 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: The letters M and B in the column headings denote millions and billions respectively. Percentage distributions may not add up to 100 percent because of rounding. |
*/ Less than 1 percent. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
30
R31C1:R31C256
False
False
Table C9. Income Statement of Pension Plans With 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Defined |
Defined |
Benefit |
Contribution |
Income |
|
|
|
|
|
|
Contributions received or receivable from: |
|
|
|
|
|
|
Employers |
228292 |
|
128057 |
|
100235 |
|
|
|
|
|
Participants |
158176 |
|
857 |
|
157319 |
|
|
|
|
Others (including rollovers) |
16502 |
|
396 |
|
16107 |
|
|
|
|
Noncash contributions |
1613 |
|
73 |
|
1540 |
|
|
Total contributions |
404583 |
|
129382 |
|
275201 |
|
|
|
|
|
Interest earnings: |
|
|
|
|
|
|
|
|
|
|
Interest-bearing cash |
1427 |
|
433 |
|
994 |
|
|
|
|
|
U. S. Government securities |
4288 |
|
3244 |
|
1044 |
|
|
|
|
|
Corporate debt instruments |
7568 |
|
6780 |
|
788 |
|
|
|
|
Non-participant loans |
147 |
|
93 |
|
54 |
|
|
Participant loans |
2435 |
|
6 |
|
2429 |
|
|
|
|
Other or unspecified interest |
8031 |
|
2638 |
|
5393 |
|
|
|
|
|
Total interest earnings |
23896 |
|
13194 |
|
10702 |
|
|
|
|
|
Dividends: |
|
|
|
|
|
|
|
|
|
|
Preferred stock |
748 |
|
189 |
|
560 |
|
|
|
|
Common stock |
12366 |
|
5897 |
|
6469 |
|
|
|
|
|
Registered investment company shares (e.g., mutual funds) |
31759 |
|
4025 |
|
27734 |
|
|
|
|
|
Total dividend income |
44873 |
|
10111 |
|
34763 |
|
|
|
|
|
Rents |
522 |
|
486 |
|
37 |
|
|
Net gain (loss) on sale of assets |
20567 |
|
15945 |
|
4622 |
|
|
|
|
|
Unrealized appreciation: |
|
|
|
|
|
|
|
|
|
|
Unrealized appreciation of real estate |
856 |
|
866 |
|
-11 |
|
|
|
|
Other unrealized appreciation |
13993 |
|
11335 |
|
2658 |
|
|
|
|
|
Total unrealized appreciation |
14849 |
|
12201 |
|
2648 |
|
|
|
|
|
Net invest. gain from common/col. trusts |
23407 |
|
17771 |
|
5635 |
|
|
|
|
|
Net invest. gain from pooled sep. accounts |
2345 |
|
2521 |
|
-176 |
|
|
|
|
Net invest. gain from master trusts |
53087 |
|
51030 |
|
2057 |
|
|
|
|
|
Net invest. gain from 103-12 invest. entities |
2341 |
|
2315 |
|
26 |
|
|
|
|
Net invest. gain from reg. invest. companies |
-40431 |
|
357 |
|
-40788 |
|
|
|
|
|
Other or unspecified income |
4225 |
|
2204 |
|
2021 |
|
|
|
|
Total Income |
554263 |
|
257516 |
|
296747 |
|
|
|
|
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
95
600
600
3
3
30
R31C1:R31C256
False
False
Table C9. Income Statement of Pension Plans With 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Defined |
Defined |
Benefit |
Contribution |
Expenses |
|
|
|
|
|
|
Benefit payments and payments to provide |
|
|
|
|
|
|
|
benefits: |
|
|
|
|
|
|
Direct benefit payments |
400066 |
|
164512 |
|
235554 |
|
Payments to insurance carriers for benefits |
1858 |
|
1350 |
|
509 |
|
Other or unspecified benefits |
2961 |
|
432 |
|
2528 |
|
Total benefit payments |
404885 |
|
166294 |
|
238591 |
|
Interest expense |
769 |
|
14 |
|
755 |
|
Corrective distributions |
471 |
|
*/ |
|
471 |
|
Deemed distribution of partic. loans |
662 |
|
-6 |
|
668 |
|
Administrative expenses: |
|
|
|
|
|
|
Professional fees |
2398 |
|
1994 |
|
404 |
|
Contract administrator fees |
1381 |
|
747 |
|
634 |
|
Investment advisory and management fees |
4806 |
|
3842 |
|
965 |
|
Other or unspecified admin. expenses |
4189 |
|
3060 |
|
1129 |
|
Total administrative expenses |
12774 |
|
9643 |
|
3131 |
|
Unspecified expenses |
44 |
|
2 |
|
42 |
|
Total Expenses |
419605 |
|
175947 |
|
243658 |
|
|
|
|
|
|
|
|
Net Income |
134659 |
|
81569 |
|
53090 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
*/ Less than $500,000. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
30
R31C1:R31C256
False
False
Table C10. Income Statement of Single Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Defined |
Defined |
Benefit |
Contribution |
Income |
|
|
|
|
|
|
Contributions received or receivable from: |
|
|
|
|
|
|
Employers |
198660 |
|
105478 |
|
93183 |
|
Participants |
154176 |
|
595 |
|
153581 |
|
Others (including rollovers) |
15942 |
|
216 |
|
15726 |
|
Noncash contributions |
1160 |
|
70 |
|
1089 |
|
Total contributions |
369938 |
|
106358 |
|
263579 |
|
Interest earnings: |
|
|
|
|
|
|
Interest-bearing cash |
1262 |
|
361 |
|
901 |
|
U. S. Government securities |
3069 |
|
2308 |
|
761 |
|
Corporate debt instruments |
5471 |
|
4999 |
|
472 |
|
Non-participant loans |
74 |
|
28 |
|
46 |
|
Participant loans |
2337 |
|
4 |
|
2333 |
|
Other or unspecified interest |
6848 |
|
1868 |
|
4980 |
|
Total interest earnings |
19062 |
|
9567 |
|
9495 |
|
Dividends: |
|
|
|
|
|
|
Preferred stock |
679 |
|
134 |
|
545 |
|
Common stock |
9314 |
|
3634 |
|
5680 |
|
Registered investment company shares (e.g., mutual funds) |
29787 |
|
3075 |
|
26712 |
|
Total dividend income |
39780 |
|
6844 |
|
32936 |
|
Rents |
92 |
|
63 |
|
29 |
|
Net gain (loss) on sale of assets |
15149 |
|
11246 |
|
3904 |
|
Unrealized appreciation: |
|
|
|
|
|
|
Unrealized appreciation of real estate |
337 |
|
355 |
|
-18 |
|
Other unrealized appreciation |
6309 |
|
5595 |
|
714 |
|
Total unrealized appreciation |
6646 |
|
5950 |
|
695 |
|
Net invest. gain from common/col. trusts |
17877 |
|
13511 |
|
4366 |
|
Net invest. gain from pooled sep. accounts |
1349 |
|
1861 |
|
-512 |
|
Net invest. gain from master trusts |
52458 |
|
50365 |
|
2093 |
|
Net invest. gain from 103-12 invest. entities |
1623 |
|
1683 |
|
-60 |
|
Net invest. gain from reg. invest. companies |
-40877 |
|
-385 |
|
-40492 |
|
Other or unspecified income |
3378 |
|
1461 |
|
1917 |
|
Total Income |
486476 |
|
208525 |
|
277951 |
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
93
600
600
9
3
30
R31C1:R31C256
False
False
Table C10. Income Statement of Single Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Defined |
Defined |
Benefit |
Contribution |
Expenses |
|
|
|
|
|
|
Benefit payments and payments to provide |
|
|
|
|
|
|
benefits: |
|
|
|
|
|
|
Direct benefit payments |
349351 |
|
125440 |
|
223911 |
|
Payments to insurance carriers for benefits |
1694 |
|
1193 |
|
501 |
|
Other or unspecified benefits |
2914 |
|
404 |
|
2509 |
|
Total benefit payments |
353958 |
|
127037 |
|
226921 |
|
Interest expense |
756 |
|
2 |
|
754 |
|
Corrective distributions |
469 |
|
*/ |
|
469 |
|
Deemed distribution of partic. loans |
603 |
|
*/ |
|
603 |
|
Administrative expenses: |
|
|
|
|
|
|
Professional fees |
1948 |
|
1625 |
|
323 |
|
Contract administrator fees |
1038 |
|
471 |
|
567 |
|
Investment advisory and management fees |
3061 |
|
2274 |
|
787 |
|
Other or unspecified admin. expenses |
3211 |
|
2224 |
|
987 |
|
Total administrative expenses |
9259 |
|
6593 |
|
2666 |
|
Unspecified expenses |
44 |
|
2 |
|
42 |
|
Total Expenses |
365088 |
|
133634 |
|
231455 |
|
|
|
|
|
|
|
|
Net Income |
121387 |
|
74891 |
|
46496 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
*/ Less than $500,000. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
30
R31C1:R31C256
False
False
Table C11. Income Statement of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Defined |
Defined |
Benefit |
Contribution |
Income |
|
|
|
|
|
|
Contributions received or receivable from: |
|
|
|
|
|
|
Employers |
29631 |
|
22579 |
|
7052 |
|
Participants |
4000 |
|
262 |
|
3738 |
|
Others (including rollovers) |
561 |
|
180 |
|
381 |
|
Noncash contributions |
453 |
|
2 |
|
451 |
|
Total contributions |
34645 |
|
23023 |
|
11622 |
|
Interest earnings: |
|
|
|
|
|
|
Interest-bearing cash |
165 |
|
72 |
|
93 |
|
U. S. Government securities |
1219 |
|
936 |
|
283 |
|
Corporate debt instruments |
2097 |
|
1781 |
|
316 |
|
Non-participant loans |
72 |
|
65 |
|
7 |
|
Participant loans |
98 |
|
2 |
|
96 |
|
Other or unspecified interest |
1183 |
|
771 |
|
412 |
|
Total interest earnings |
4834 |
|
3627 |
|
1207 |
|
Dividends: |
|
|
|
|
|
|
Preferred stock |
69 |
|
54 |
|
15 |
|
Common stock |
3052 |
|
2263 |
|
789 |
|
Registered investment company shares (e.g., mutual funds) |
1972 |
|
950 |
|
1023 |
|
Total dividend income |
5093 |
|
3267 |
|
1826 |
|
Rents |
431 |
|
423 |
|
8 |
|
Net gain (loss) on sale of assets |
5417 |
|
4699 |
|
718 |
|
Unrealized appreciation: |
|
|
|
|
|
|
Unrealized appreciation of real estate |
519 |
|
512 |
|
7 |
|
Other unrealized appreciation |
7684 |
|
5739 |
|
1945 |
|
Total unrealized appreciation |
8203 |
|
6251 |
|
1952 |
|
Net invest. gain from common/col. trusts |
5529 |
|
4260 |
|
1269 |
|
Net invest. gain from pooled sep. accounts |
996 |
|
659 |
|
336 |
|
Net invest. gain from master trusts |
629 |
|
665 |
|
-36 |
|
Net invest. gain from 103-12 invest. entities |
718 |
|
632 |
|
86 |
|
Net invest. gain from reg. invest. companies |
446 |
|
742 |
|
-296 |
|
Other or unspecified income |
846 |
|
743 |
|
104 |
|
Total Income |
67787 |
|
48991 |
|
18796 |
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
93
600
600
3
30
R31C1:R31C256
False
False
Table C11. Income Statement of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Defined |
Defined |
Benefit |
Contribution |
Expenses |
|
|
|
|
|
|
Benefit payments and payments to provide |
|
|
|
|
|
|
benefits: |
|
|
|
|
|
|
Direct benefit payments |
50715 |
|
39072 |
|
11643 |
|
Payments to insurance carriers for benefits |
165 |
|
157 |
|
8 |
|
Other or unspecified benefits |
47 |
|
28 |
|
19 |
|
Total benefit payments |
50927 |
|
39257 |
|
11670 |
|
Interest expense |
13 |
|
12 |
|
1 |
|
Corrective distributions |
2 |
|
- |
|
2 |
|
Deemed distribution of participant loans |
59 |
|
-6 |
|
65 |
|
Administrative expenses: |
|
|
|
|
|
|
Professional fees |
449 |
|
369 |
|
81 |
|
Contract administrator fees |
343 |
|
276 |
|
66 |
|
Investment advisory and management fees |
1745 |
|
1568 |
|
177 |
|
Other or unspecified admin. expenses |
978 |
|
836 |
|
142 |
|
Total administrative expenses |
3515 |
|
3049 |
|
466 |
|
Unspecified expenses |
*/ |
|
*/ |
|
*/ |
|
Total Expenses |
54516 |
|
42313 |
|
12203 |
|
|
|
|
|
|
|
|
Net Income |
13271 |
|
6678 |
|
6593 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
*/ Less than $500,000. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
30
R31C1:R31C256
False
False
Table C12. Percentage Distribution of Income of Defined Benefit Plans |
with 100 or More Participants |
by source of income and size of plan, 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
Type of Income |
Total |
$1-0.99M |
$1.0M-9.9M |
$10.0M- |
$250.0M- |
$1.0B or |
249.9M |
999.9M |
More |
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Income |
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Employer contributions |
50 |
|
55 |
|
69 |
|
64 |
|
56 |
|
45 |
|
Participant contributions |
*/ |
|
- |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Other or unspecified contributions |
*/ |
|
22 |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Total contributions |
50 |
|
77 |
|
70 |
|
65 |
|
57 |
|
45 |
|
Interest on interest-bearing cash |
*/ |
|
*/ |
|
1 |
|
*/ |
|
*/ |
|
*/ |
|
Interest on U.S. Government securities |
1 |
|
*/ |
|
1 |
|
1 |
|
1 |
|
1 |
|
Interest on corporate debt instruments |
3 |
|
*/ |
|
1 |
|
2 |
|
2 |
|
3 |
|
Interest on non-participant loans |
*/ |
|
- |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Interest on participant loans |
*/ |
|
- |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Other or unspecified interest |
1 |
|
1 |
|
2 |
|
1 |
|
1 |
|
1 |
|
Total interest earnings |
5 |
|
1 |
|
5 |
|
4 |
|
5 |
|
5 |
|
Total dividends income |
4 |
|
2 |
|
7 |
|
7 |
|
5 |
|
3 |
|
Net gain (loss) on sale of assets |
6 |
|
*/ |
|
3 |
|
5 |
|
8 |
|
6 |
|
Total unrealized appreciation |
5 |
|
1 |
|
*/ |
|
2 |
|
5 |
|
5 |
|
Net invest. gain from common/col. trusts |
7 |
|
*/ |
|
2 |
|
6 |
|
6 |
|
8 |
|
Net invest. gain from pooled sep. accounts |
1 |
|
1 |
|
3 |
|
1 |
|
1 |
|
1 |
|
Net invest. gain from master trusts |
20 |
|
*/ |
|
3 |
|
7 |
|
14 |
|
25 |
|
Net invest. gain from registered invest. co. |
*/ |
|
*/ |
|
2 |
|
1 |
|
*/ |
|
*/ |
|
Other or unspecified income |
1 |
|
18 |
|
4 |
|
1 |
|
1 |
|
1 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: The letters M and B in the column headings denote millions and billions respectively. Percentage distributions may not add up to 100 percent because of rounding. |
*/ Less than 1 percent. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
95
600
600
3
30
R31C1:R31C256
False
False
Table C13. Percentage Distribution of Income of Defined Contribution Plans |
with 100 or More Participants |
by source of income and size of plan, 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
Type of Income |
Total |
$1-0.99M |
$1.0M-9.9M |
$10.0M- |
$250.0M- |
$1.0B or |
249.9M |
999.9M |
More |
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Income |
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
1 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Employer contributions |
34 |
|
30 |
|
30 |
|
36 |
|
37 |
|
31 |
|
Participant contributions |
53 |
|
69 |
|
66 |
|
53 |
|
52 |
|
51 |
|
Other or unspecified contributions |
6 |
|
9 |
|
9 |
|
7 |
|
7 |
|
4 |
|
Total contributions |
93 |
|
108 |
|
105 |
|
97 |
|
95 |
|
86 |
|
Interest on interest-bearing cash |
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Interest on U.S. Government securities |
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
1 |
|
Interest on corporate debt instruments |
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Interest on non-participant loans |
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
*/ |
|
Interest on participant loans |
1 |
|
*/ |
|
1 |
|
1 |
|
1 |
|
1 |
|
Other or unspecified interest |
2 |
|
*/ |
|
1 |
|
2 |
|
2 |
|
2 |
|
Total interest earnings |
4 |
|
1 |
|
2 |
|
3 |
|
4 |
|
4 |
|
Total dividends income |
12 |
|
3 |
|
7 |
|
13 |
|
13 |
|
11 |
|
Net gain (loss) on sale of assets |
2 |
|
1 |
|
*/ |
|
1 |
|
1 |
|
2 |
|
Total unrealized appreciation |
1 |
|
-5 |
|
-1 |
|
2 |
|
1 |
|
1 |
|
Net invest. gain from common/col. trusts |
2 |
|
*/ |
|
*/ |
|
2 |
|
2 |
|
2 |
|
Net invest. gain from pooled sep. accounts |
*/ |
|
-2 |
|
-2 |
|
*/ |
|
*/ |
|
*/ |
|
Net invest. gain from master trusts |
1 |
|
*/ |
|
*/ |
|
*/ |
|
1 |
|
2 |
|
Net invest. gain from registered invest. co. |
-14 |
|
-5 |
|
-12 |
|
-18 |
|
-18 |
|
-9 |
|
Other or unspecified income |
1 |
|
-1 |
|
*/ |
|
1 |
|
*/ |
|
1 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: The letters M and B in the column headings denote millions and billions respectively. Percentage distributions may not add up to 100 percent because of rounding. |
*/ Less than 1 percent. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
97
600
600
3
30
R31C1:R31C256
False
False
Table C14. Percentage of Defined Benefit Plans, Active Participants, and Assets |
|
|
|
|
|
|
Affected by the Suspension of Benefit Accruals |
|
|
|
|
|
|
by number of participants, 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number of Participants |
Number of Plans |
Number of Active Participants (thousands) 1/ |
Total Assets (millions) |
|
Percent Frozen |
|
Percent |
|
Percent |
Total |
Total |
In Frozen |
Total |
In Frozen |
|
|
Plans |
|
Plans |
Total |
45256 |
0.23100000000000001 |
16507 |
0.1 |
2516109 |
0.12 |
None or not reported |
3220 |
0.47 |
- |
- |
745 |
6.8000000000000005E-2 |
2-9 |
21087 |
0.154 |
88 |
0.156 |
19716 |
0.155 |
10-24 |
6134 |
0.21199999999999999 |
89 |
0.214 |
6889 |
0.19600000000000001 |
25-49 |
2632 |
0.308 |
85 |
0.30399999999999999 |
5066 |
0.23899999999999999 |
50-99 |
2346 |
0.374 |
140 |
0.36299999999999999 |
8505 |
0.28000000000000003 |
100-249 |
2655 |
0.35 |
208 |
0.254 |
22444 |
0.254 |
250-499 |
1856 |
0.33 |
281 |
0.24199999999999999 |
33596 |
0.22 |
500-999 |
1498 |
0.28000000000000003 |
443 |
0.20899999999999999 |
53666 |
0.2 |
1,000-2,499 |
1684 |
0.24100000000000002 |
1091 |
0.17699999999999999 |
142310 |
0.16800000000000001 |
2,500-4,999 |
855 |
0.19399999999999998 |
1235 |
0.13300000000000001 |
163986 |
0.13200000000000001 |
5,000-9,999 |
585 |
0.14300000000000002 |
1689 |
8.900000000000001E-2 |
240108 |
0.11 |
10,000-19,999 |
319 |
0.10800000000000001 |
1919 |
7.6999999999999999E-2 |
253868 |
6.2E-2 |
20,000-49,999 |
256 |
0.11 |
3177 |
7.8E-2 |
520427 |
8.3000000000000004E-2 |
50,000 or more |
130 |
8.4000000000000005E-2 |
6063 |
7.0999999999999994E-2 |
1044784 |
0.13400000000000001 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Suspension of benefit accruals means that no participant will get any new benefit accrual whether because of service or compensation. |
NOTE: Excludes plans covering only one participant. |
1/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
|
|
|
- Missing data. |
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2011. |
96
600
600
3
30
R31C1:R31C256
False
False
Table C15. Percentage of Defined Benefit Plans, Active Participants, and Assets |
|
|
|
|
|
|
Affected by the Suspension of Benefit Accruals |
|
|
|
|
|
|
by industry, 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Industry |
Number of Plans |
Number of Active Participants (thousands) 1/ |
Total Assets (millions) |
|
Percent Frozen |
|
Percent |
|
Percent |
Total |
Total |
In Frozen |
Total |
In Frozen |
|
|
Plans |
|
Plans |
Total |
45256 |
0.23100000000000001 |
16507 |
0.1 |
2516109 |
0.12 |
Agriculture |
464 |
0.247 |
59 |
0.17300000000000001 |
4662 |
0.13900000000000001 |
Mining |
359 |
0.25600000000000001 |
126 |
0.16600000000000001 |
19883 |
0.155 |
Construction |
2311 |
0.22699999999999998 |
1231 |
1.1000000000000001E-2 |
146479 |
1.3000000000000001E-2 |
Manufacturing |
6434 |
0.34200000000000003 |
4251 |
0.105 |
1040376 |
0.115 |
Transportation |
734 |
0.23100000000000001 |
1133 |
7.5999999999999998E-2 |
155524 |
8.4000000000000005E-2 |
Communications and information |
845 |
0.26800000000000002 |
957 |
0.114 |
152180 |
0.128 |
Utilities |
369 |
0.10400000000000001 |
504 |
6.9999999999999993E-3 |
139226 |
0.01 |
Wholesale trade |
2388 |
0.26100000000000001 |
347 |
0.13400000000000001 |
39714 |
0.122 |
Retail trade |
1565 |
0.29100000000000004 |
1388 |
7.5999999999999998E-2 |
60879 |
0.13400000000000001 |
Finance, insurance & real estate |
5738 |
0.21199999999999999 |
2470 |
7.8E-2 |
340674 |
8.6999999999999994E-2 |
Services |
23006 |
0.19399999999999998 |
3848 |
0.157 |
387256 |
0.252 |
Misc. organizations 2/ |
1029 |
0.308 |
192 |
0.11900000000000001 |
29252 |
0.113 |
Industry not reported |
14 |
0 |
*/ |
0 |
4 |
0 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Industry classifications are based on principal business activity code used in the North American Industry Classification System as of 2006. Therefore, the results in this table may not be directly comparable with years prior to 2006. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Suspension of benefit accruals means that no participant will get any new benefit accrual whether because of service or compensation. |
NOTE: Excludes plans covering only one participant. |
1/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
2/ Religious, grantmaking, civic, professional, labor, and similar organizations. |
*/ Fewer than 500 participants. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
87
600
600
6
3
30
R31C1:R31C256
False
False
Table D1. Balance Sheet of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Profit |
Stock Bonus Plans |
Target Benefit Plans |
Money Purchase Plans |
Other |
Defined |
Sharing and |
Defined |
Contribution |
Thrift Savings |
Contribution |
Plans |
Plans |
|
Plans |
|
Assets |
|
|
|
|
|
|
|
|
|
|
|
|
Total noninterest-bearing cash |
4577 |
|
4282 |
|
49 |
|
2 |
|
132 |
|
112 |
|
Employer contrib. receivable |
24626 |
|
21876 |
|
819 |
|
58 |
|
943 |
|
930 |
|
Participant contrib. receivable |
1777 |
|
1613 |
|
8 |
|
*/ |
|
7 |
|
149 |
|
Other receivables |
15833 |
|
11041 |
|
362 |
|
2 |
|
3431 |
|
997 |
|
Interest-bearing cash |
56066 |
|
47363 |
|
2815 |
|
17 |
|
2620 |
|
3250 |
|
U. S. Government securities |
34754 |
|
28230 |
|
1639 |
|
39 |
|
4287 |
|
559 |
|
Corporate debt instruments: Preferred |
5863 |
|
4512 |
|
70 |
|
10 |
|
1201 |
|
71 |
|
Corporate debt instruments: All other |
16621 |
|
12913 |
|
844 |
|
19 |
|
2420 |
|
426 |
|
Preferred stock |
374 |
|
326 |
|
18 |
|
- |
|
26 |
|
2 |
|
Common stock |
67251 |
|
50641 |
|
4889 |
|
218 |
|
9212 |
|
2291 |
|
Partnership/joint venture interests |
3843 |
|
2425 |
|
9 |
|
15 |
|
1206 |
|
188 |
|
Real estate (except employer real prop.) |
727 |
|
442 |
|
*/ |
|
- |
|
132 |
|
153 |
|
Loans (other than to participants) |
1619 |
|
1519 |
|
2 |
|
*/ |
|
42 |
|
55 |
|
Participant loans |
58167 |
|
54854 |
|
1111 |
|
2 |
|
439 |
|
1762 |
|
Assets in common/collective trusts |
369444 |
|
349250 |
|
5839 |
|
172 |
|
11324 |
|
2858 |
|
Assets in pooled separate accounts |
110824 |
|
95034 |
|
54 |
|
13 |
|
3788 |
|
11936 |
|
|
|
|
|
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
20
7
False
False
Table D1. Balance Sheet of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Profit |
Stock Bonus Plans |
Target Benefit Plans |
Money Purchase Plans |
Other |
Defined |
Sharing and |
Defined |
Contribution |
Thrift Savings |
Contribution |
Plans |
Plans |
|
Plans |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets in master trusts |
635941 |
|
614927 |
|
10590 |
|
976 |
|
7950 |
|
1498 |
|
Assets in 103-12 investment entities |
4073 |
|
2219 |
|
- |
|
40 |
|
1268 |
|
545 |
|
Assets in registered investment comp. |
1332187 |
|
1109400 |
|
11893 |
|
845 |
|
40150 |
|
169899 |
|
Assets in ins. co. general accounts |
151297 |
|
68545 |
|
740 |
|
69 |
|
8672 |
|
73271 |
|
Other general investments |
71743 |
|
64392 |
|
857 |
|
26 |
|
2550 |
|
3918 |
|
Employer securities |
244196 |
|
169748 |
|
53604 |
|
46 |
|
162 |
|
20635 |
|
Employer real property |
311 |
|
294 |
|
16 |
|
- |
|
- |
|
1 |
|
Buildings and other prop. used by plan |
33 |
|
11 |
|
*/ |
|
*/ |
|
18 |
|
3 |
|
Other or unspecified assets |
33816 |
|
30948 |
|
103 |
|
14 |
|
741 |
|
2010 |
|
Total Assets |
3245961 |
|
2746807 |
|
96333 |
|
2583 |
|
102720 |
|
297518 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
|
|
|
|
|
|
Benefit claims payable |
787 |
|
552 |
|
91 |
|
2 |
|
118 |
|
24 |
|
Operating payables |
1809 |
|
1506 |
|
189 |
|
1 |
|
74 |
|
38 |
|
Acquisition indebtedness |
7494 |
|
1453 |
|
4367 |
|
- |
|
9 |
|
1665 |
|
Other liabilities |
14758 |
|
8435 |
|
3053 |
|
13 |
|
899 |
|
2358 |
|
Total Liabilities |
24847 |
|
11945 |
|
7701 |
|
17 |
|
1099 |
|
4084 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Assets |
3221115 |
|
2734861 |
|
88632 |
|
2567 |
|
101621 |
|
293434 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
*/ Less than $500,000. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
20
7
False
False
Table D2. Income Statement of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Income and Expenses |
Total |
Profit |
Stock Bonus Plans |
Target Benefit Plans |
Money Purchase Plans |
Other |
Defined |
Sharing and |
Defined |
Contribution |
Thrift Savings |
Contribution |
Plans |
Plans |
|
Plans |
|
Income |
|
|
|
|
|
|
|
|
|
|
|
|
Contributions received or receivable from: |
|
|
|
|
|
|
|
|
|
|
|
|
Employers |
100235 |
|
83366 |
|
2526 |
|
115 |
|
6099 |
|
8129 |
|
|
|
|
|
|
Participants |
157319 |
|
142300 |
|
1957 |
|
*/ |
|
314 |
|
12748 |
|
|
|
Others (including rollovers) |
16107 |
|
14018 |
|
194 |
|
1 |
|
53 |
|
1841 |
|
|
Noncash contributions |
1540 |
|
1325 |
|
158 |
|
- |
|
1 |
|
55 |
|
Total contributions |
275201 |
|
241009 |
|
4836 |
|
116 |
|
6467 |
|
22774 |
|
|
|
|
|
|
Interest earnings: |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Interest-bearing cash |
994 |
|
830 |
|
12 |
|
*/ |
|
63 |
|
90 |
|
|
U. S. Government securities |
1044 |
|
864 |
|
47 |
|
2 |
|
121 |
|
11 |
|
Corporate debt instruments |
788 |
|
546 |
|
36 |
|
1 |
|
171 |
|
34 |
|
Non-participant loans |
54 |
|
47 |
|
*/ |
|
*/ |
|
2 |
|
5 |
|
Participant loans |
2429 |
|
2303 |
|
35 |
|
*/ |
|
21 |
|
70 |
|
|
Other or unspecified interest |
5393 |
|
2821 |
|
11 |
|
2 |
|
343 |
|
2216 |
|
|
Total interest earnings |
10702 |
|
7411 |
|
140 |
|
5 |
|
721 |
|
2425 |
|
|
Dividends: |
|
|
|
|
|
|
|
|
|
|
|
|
|
Preferred stock |
560 |
|
210 |
|
309 |
|
*/ |
|
13 |
|
28 |
|
Common stock |
6469 |
|
4979 |
|
912 |
|
5 |
|
210 |
|
362 |
|
|
|
Registered investment company shares (e.g., mutual funds) |
27734 |
|
24582 |
|
170 |
|
21 |
|
673 |
|
2290 |
|
|
|
Total dividend income |
34763 |
|
29771 |
|
1390 |
|
26 |
|
896 |
|
2680 |
|
|
|
Rents |
37 |
|
35 |
|
- |
|
- |
|
2 |
|
1 |
|
Net gain (loss) on sale of assets |
4622 |
|
3109 |
|
849 |
|
16 |
|
370 |
|
277 |
|
|
Unrealized appreciation: |
|
|
|
|
|
|
|
|
|
|
|
|
|
Unrealized appreciation of real estate |
-11 |
|
-56 |
|
40 |
|
- |
|
-19 |
|
24 |
|
|
Other unrealized appreciation |
2658 |
|
-1098 |
|
1863 |
|
3 |
|
106 |
|
1785 |
|
|
|
|
|
|
Total unrealized appreciation |
2648 |
|
-1154 |
|
1903 |
|
3 |
|
87 |
|
1809 |
|
|
|
|
|
|
Net invest. gain from common/col. trusts |
5635 |
|
5135 |
|
-15 |
|
2 |
|
407 |
|
107 |
|
|
Net invest. gain from pooled sep. accounts |
-176 |
|
-973 |
|
1 |
|
1 |
|
217 |
|
579 |
|
|
Net invest. gain from master trusts |
2057 |
|
1434 |
|
755 |
|
57 |
|
6 |
|
-196 |
|
|
|
Net invest. gain from 103-12 invest. entities |
26 |
|
-15 |
|
*/ |
|
3 |
|
6 |
|
33 |
|
Net invest. gain from reg. invest. companies |
-40788 |
|
-39331 |
|
-506 |
|
6 |
|
215 |
|
-1172 |
|
|
|
|
Other or unspecified income |
2021 |
|
1165 |
|
250 |
|
1 |
|
258 |
|
346 |
|
|
Total Income |
296747 |
|
247596 |
|
9601 |
|
235 |
|
9652 |
|
29663 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
90
600
600
6
3
20
7
False
False
Table D2. Income Statement of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
|
|
|
Income and Expenses |
Total |
Profit |
Stock Bonus Plans |
Target Benefit Plans |
Money Purchase Plans |
Other |
Defined |
Sharing and |
Defined |
Contribution |
Thrift Savings |
Contribution |
Plans |
Plans |
|
Plans |
|
Expenses |
|
|
|
|
|
|
|
|
|
|
|
Benefit payments and payments to provide |
|
|
|
|
|
|
|
|
|
|
|
benefits: |
|
|
|
|
|
|
|
|
|
|
|
Direct benefit payments |
235554 |
|
206371 |
|
7473 |
|
207 |
|
5936 |
|
15566 |
|
|
|
|
|
|
|
Payments to insurance carriers for benefits |
509 |
|
50 |
|
*/ |
|
*/ |
|
84 |
|
375 |
|
Other or unspecified benefits |
2528 |
|
2152 |
|
31 |
|
1 |
|
205 |
|
139 |
|
|
Total benefit payments |
238591 |
|
208573 |
|
7504 |
|
209 |
|
6225 |
|
16080 |
|
|
|
|
|
|
|
Interest expense |
755 |
|
215 |
|
399 |
|
- |
|
1 |
|
140 |
|
Corrective distributions |
471 |
|
462 |
|
*/ |
|
- |
|
-2 |
|
11 |
|
Deemed distribution of partic. loans |
668 |
|
593 |
|
2 |
|
*/ |
|
25 |
|
47 |
|
|
Administrative expenses: |
|
|
|
|
|
|
|
|
|
|
|
|
|
Professional fees |
404 |
|
336 |
|
7 |
|
1 |
|
38 |
|
22 |
|
Contract administrator fees |
634 |
|
543 |
|
6 |
|
*/ |
|
35 |
|
49 |
|
Investment advisory and management fees |
965 |
|
775 |
|
35 |
|
4 |
|
107 |
|
44 |
|
Other or unspecified admin. expenses |
1129 |
|
936 |
|
79 |
|
1 |
|
65 |
|
47 |
|
Total administrative expenses |
3131 |
|
2591 |
|
127 |
|
6 |
|
245 |
|
162 |
|
|
|
Unspecified expenses |
42 |
|
23 |
|
11 |
|
*/ |
|
*/ |
|
8 |
|
Total Expenses |
243658 |
|
212456 |
|
8044 |
|
215 |
|
6494 |
|
16448 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Income |
53090 |
|
35140 |
|
1557 |
|
20 |
|
3158 |
|
13215 |
|
|
|
|
|
|
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
*/ Less than $500,000. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99
600
600
3
20
7
False
False
Table D3. Number of 401(k) Type Plans, Total Participants, Active Participants, |
Assets, Contributions, and Benefits |
by type of plan, 2011 |
Type of Plan 1/ |
Number of Plans |
Total Participants (thousands) |
Active Participants (thousands) 2/ |
Total Assets (millions) 3/ |
Total Contributions (millions) 4/ |
Total Benefits (millions) 5/ |
Total |
513496 |
72968 |
61371 |
3146851 |
285679 |
252692 |
|
|
|
|
|
|
Profit sharing and thrift-savings |
510958 |
71701 |
60401 |
3078257 |
280712 |
247453 |
|
|
|
|
|
|
Stock bonus |
198 |
580 |
423 |
45749 |
3025 |
3717 |
|
|
|
Target benefit |
35 |
1 |
1 |
27 |
4 |
1 |
Money purchase |
633 |
288 |
214 |
13142 |
983 |
879 |
|
|
Annuity-403(b)(1) |
676 |
176 |
140 |
5326 |
446 |
342 |
Custodial account-403(b)(7) |
337 |
96 |
87 |
1354 |
179 |
97 |
Other defined contribution |
600 |
114 |
98 |
2635 |
298 |
183 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ About 1% of defined contribution plans report more than one plan type. These plans are assigned whichever plan type appears first in the list. As of 2009, annuity-403(b)(1) plans and custodial account-403(b)(7) plans established or maintained by an employer as described in DOL Regulation 29 CFR 2510.3-2(f) are required to file participation and financial information. Annuity-403(b)(1) plans and custodial account-403(b)(7) plans that are not required to file this information may or may not choose to do so. In the event that this information is provided, it is tabulated. |
2/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
3/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
4/ Includes both employer and employee contributions. |
5/ Amounts shown include both benefits paid directly from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
20
7
False
False
Table D4. Number of 401(k) Type Plans |
|
by number of participants and primary |
|
or supplemental status, 2011 |
|
Number of Participants |
Total |
401(k) is Only Plan Sponsored by Employer |
Employer Sponsoring 401(k) Plan Also Sponsors Other Pension Plan(s) |
Total |
513496 |
481103 |
32393 |
|
None or not reported |
20742 |
19909 |
833 |
|
2-9 |
158230 |
149006 |
9223 |
|
10-24 |
132749 |
126313 |
6436 |
|
25-49 |
82344 |
78186 |
4157 |
|
50-99 |
57131 |
53550 |
3580 |
|
100-249 |
35047 |
31923 |
3124 |
|
250-499 |
12715 |
11101 |
1613 |
|
500-999 |
6730 |
5636 |
1094 |
|
1,000-2,499 |
4268 |
3277 |
991 |
|
2,500-4,999 |
1730 |
1174 |
556 |
|
5,000-9,999 |
899 |
558 |
342 |
10,000-19,999 |
495 |
279 |
216 |
20,000-49,999 |
293 |
133 |
160 |
50,000 or more |
125 |
58 |
67 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
20
7
False
False
25
Table D5. Number of Active Participants in 401(k) Type Plans |
by number of participants and primary |
|
or supplemental status, 2011 |
|
(numbers in thousands) |
Number of Participants |
Total |
401(k) is Only Plan Sponsored by Employer |
Employer Sponsoring 401(k) Plan Also Sponsors Other Pension Plan(s) |
Total |
61371 |
43129 |
18241 |
2-9 |
824 |
779 |
45 |
10-24 |
2044 |
1946 |
98 |
25-49 |
2810 |
2668 |
142 |
50-99 |
3848 |
3606 |
242 |
100-249 |
4580 |
4164 |
417 |
250-499 |
3652 |
3188 |
464 |
500-999 |
3860 |
3228 |
632 |
1,000-2,499 |
5459 |
4193 |
1266 |
2,500-4,999 |
4935 |
3401 |
1534 |
5,000-9,999 |
5062 |
3182 |
1881 |
10,000-19,999 |
5601 |
3258 |
2343 |
20,000-49,999 |
7308 |
3534 |
3775 |
50,000 or more |
11386 |
5984 |
5402 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. The number of active participants also includes double counting of workers in more than one plan. Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
20
7
False
False
Table D6. Number of Defined Contribution Plans and Active Participants |
by size of plan and extent of participant direction of investments, 2011 |
|
|
|
|
|
|
|
|
|
Number of Participants |
Total |
Participant Directs All Investments |
Participant Directs |
|
Participant Does |
|
Investment of Portion |
|
Not Direct Any |
|
Of Assets 1/ |
|
Investments |
|
Number of Plans |
Active |
Number of Plans |
Active |
Number of Plans |
Active |
Number of Plans |
Active |
Participants |
Participants |
Participants |
Participants |
(thousands) |
(thousands) |
(thousands) |
(thousands) |
Total |
638390 |
73668 |
487798 |
60908 |
17997 |
5040 |
132595 |
7720 |
None or not reported |
28526 |
- |
20174 |
- |
686 |
- |
7666 |
- |
2-9 |
221367 |
1095 |
144615 |
745 |
6531 |
33 |
70222 |
317 |
10-24 |
155089 |
2367 |
122508 |
1895 |
4789 |
71 |
27792 |
401 |
25-49 |
93033 |
3160 |
78631 |
2691 |
2540 |
83 |
11863 |
386 |
50-99 |
65054 |
4364 |
56144 |
3794 |
1511 |
97 |
7399 |
473 |
100-249 |
40799 |
5305 |
35872 |
4707 |
858 |
105 |
4069 |
494 |
250-499 |
15806 |
4490 |
13888 |
3977 |
341 |
91 |
1578 |
421 |
500-999 |
8564 |
4824 |
7492 |
4261 |
213 |
120 |
859 |
442 |
1,000-2,499 |
5586 |
7017 |
4771 |
6022 |
201 |
246 |
614 |
750 |
2,500-4,999 |
2259 |
6392 |
1843 |
5236 |
131 |
367 |
285 |
788 |
5,000-9,999 |
1165 |
6494 |
961 |
5413 |
81 |
422 |
123 |
659 |
10,000-19,999 |
645 |
7108 |
520 |
5819 |
47 |
496 |
78 |
793 |
20,000-49,999 |
359 |
8771 |
277 |
6920 |
45 |
1030 |
36 |
821 |
50,000 or more |
137 |
12281 |
102 |
9427 |
23 |
1879 |
12 |
975 |
|
|
|
|
|
|
|
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
NOTE: Excludes plans covering only one participant. |
1/ Generally, the portion would consist of employee contributions. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
93
600
600
3
20
7
False
False
Table D6(a). Number of non-401(k) Defined Contribution Plans and Active Participants |
by size of plan and extent of participant direction of investments, 2011 |
|
|
|
|
|
|
|
|
|
Number of Participants |
Total |
Participant Directs All Investments |
Participant Directs |
|
Participant Does |
|
Investment of Portion |
|
Not Direct Any |
|
Of Assets 1/ |
|
Investments |
|
Number of Plans |
Active |
Number of Plans |
Active |
Number of Plans |
Active |
Number of Plans |
Active |
Participants |
Participants |
Participants |
Participants |
(thousands) |
(thousands) |
(thousands) |
(thousands) |
Total |
124953 |
12305 |
39416 |
6139 |
2290 |
454 |
83247 |
5712 |
None or not reported |
7791 |
- |
2146 |
- |
133 |
- |
5512 |
- |
2-9 |
63176 |
271 |
18032 |
75 |
1132 |
5 |
44013 |
191 |
10-24 |
22346 |
323 |
6216 |
92 |
492 |
7 |
15638 |
224 |
25-49 |
10690 |
350 |
3378 |
115 |
190 |
6 |
7122 |
228 |
50-99 |
7925 |
516 |
2911 |
201 |
105 |
6 |
4909 |
309 |
100-249 |
5754 |
725 |
2561 |
341 |
90 |
11 |
3103 |
373 |
250-499 |
3092 |
838 |
1738 |
478 |
49 |
13 |
1305 |
347 |
500-999 |
1835 |
964 |
1077 |
575 |
37 |
20 |
722 |
369 |
1,000-2,499 |
1319 |
1559 |
788 |
921 |
23 |
25 |
508 |
614 |
2,500-4,999 |
530 |
1457 |
292 |
798 |
14 |
40 |
224 |
619 |
5,000-9,999 |
267 |
1437 |
164 |
903 |
12 |
62 |
90 |
472 |
10,000-19,999 |
150 |
1507 |
79 |
798 |
7 |
69 |
64 |
640 |
20,000-49,999 |
66 |
1463 |
32 |
753 |
3 |
60 |
30 |
649 |
50,000 or more |
12 |
896 |
2 |
88 |
3 |
130 |
7 |
678 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
NOTE: Excludes plans covering only one participant. |
1/ Generally, the portion would consist of employee contributions. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
94
600
600
3
20
7
False
False
Table D6(b). Number of 401(k) Type Plans and Active Participants |
by size of plan and extent of participant direction of investments, 2011 |
|
|
|
|
|
|
|
|
|
Number of Participants |
Total |
Participant Directs All Investments |
Participant Directs |
|
Participant Does |
|
Investment of Portion |
|
Not Direct Any |
|
Of Assets 1/ |
|
Investments |
|
Number of Plans |
Active |
Number of Plans |
Active |
Number of Plans |
Active |
Number of Plans |
Active |
Participants |
Participants |
Participants |
Participants |
(thousands) |
(thousands) |
(thousands) |
(thousands) |
Total |
513438 |
61363 |
448382 |
54769 |
15707 |
4586 |
49348 |
2008 |
None or not reported |
20735 |
- |
18028 |
- |
554 |
- |
2154 |
- |
2-9 |
158191 |
824 |
126583 |
670 |
5400 |
28 |
26209 |
126 |
10-24 |
132744 |
2044 |
116293 |
1803 |
4297 |
64 |
12154 |
177 |
25-49 |
82344 |
2810 |
75253 |
2576 |
2350 |
77 |
4740 |
157 |
50-99 |
57129 |
3848 |
53233 |
3594 |
1405 |
90 |
2490 |
164 |
100-249 |
35045 |
4580 |
33311 |
4366 |
768 |
94 |
966 |
120 |
250-499 |
12715 |
3652 |
12150 |
3499 |
292 |
78 |
273 |
75 |
500-999 |
6729 |
3860 |
6416 |
3686 |
176 |
100 |
137 |
74 |
1,000-2,499 |
4267 |
5458 |
3983 |
5101 |
177 |
221 |
106 |
136 |
2,500-4,999 |
1729 |
4935 |
1551 |
4438 |
117 |
327 |
61 |
169 |
5,000-9,999 |
898 |
5057 |
797 |
4510 |
69 |
360 |
32 |
187 |
10,000-19,999 |
495 |
5601 |
441 |
5021 |
39 |
427 |
14 |
154 |
20,000-49,999 |
293 |
7308 |
245 |
6167 |
42 |
969 |
6 |
172 |
50,000 or more |
125 |
11386 |
100 |
9339 |
20 |
1750 |
5 |
297 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
NOTE: Excludes plans covering only one participant. |
1/ Generally, the portion would consist of employee contributions. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
93
600
600
3
20
7
False
False
Table D7. Balance Sheet of 401(k) Type Plans |
by extent of participant direction of investments, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
|
Participant Directs Investment of Portion of Assets 1/ |
Participant Does Not Direct Any Investments |
Participant Directs |
All Investments |
|
|
|
|
|
|
|
|
|
|
|
Partnership/joint venture interests |
2429 |
|
1207 |
|
680 |
|
542 |
|
|
Employer real property |
250 |
|
193 |
|
55 |
|
3 |
|
Real estate (other than employer real property) |
886 |
|
474 |
|
178 |
|
233 |
|
Employer securities |
163717 |
|
94060 |
|
62235 |
|
7422 |
|
Participant loans |
56415 |
|
46251 |
|
8550 |
|
1614 |
|
Loans (other than to participants) |
1938 |
|
791 |
|
221 |
|
926 |
|
Other investments 2/ |
2535713 |
|
2050931 |
|
379448 |
|
105334 |
|
|
|
|
|
Form 5500 Short Form Assets 3/ |
385503 |
|
330833 |
|
18558 |
|
36112 |
|
Total Assets |
3146851 |
|
2524741 |
|
469925 |
|
152184 |
|
|
|
|
|
|
|
|
|
|
Total Liabilities |
12921 |
|
6953 |
|
2710 |
|
3258 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
3133930 |
|
2517789 |
|
467216 |
|
148926 |
|
|
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
NOTE: Excludes plans covering only one participant. |
1/ Generally, the portion would consist of employee contributions. |
2/ This table summarizes assets that appear on both the Schedule H (for plans with 100 or more participants) and Schedule I (for plans with fewer than 100 participants). All asset items that appear on the more detailed Schedule H but not the Schedule I are grouped under "Other investments." Tables D9-D10 summarize the more detailed Schedule H asset information for large plans. |
3/ The Form 5500 Short Form shares no asset items with Schedule H nor Schedule I. Therefore, the total assets reported by Form 5500 Short Form filers is summarized on this line item. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
9
7
R10C8:R17C8
False
False
29
255
61
255
104
255
145
255
Table D8. Income Statement of 401(k) Type Plans |
by extent of participant direction of investments, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
Income and Expenses |
Total |
|
Participant Directs Investment of Portion of Assets 1/ |
Participant Does Not Direct Any Investments |
Participant Directs |
All Investments |
|
|
Income |
|
|
|
|
|
|
|
Employer contributions |
95015 |
|
79141 |
|
11147 |
|
4727 |
Participant contributions |
171498 |
|
146010 |
|
19394 |
|
6094 |
Contributions from others (including rollovers) |
18096 |
|
16181 |
|
1138 |
|
778 |
Noncash contributions |
1069 |
|
689 |
|
364 |
|
15 |
All other income 2/ |
-691 |
|
-7546 |
|
5805 |
|
1050 |
Total Income |
284988 |
|
234475 |
|
37848 |
|
12665 |
|
|
|
|
|
|
|
|
Expenses |
|
|
|
|
|
|
|
Total benefit payments |
252692 |
|
206079 |
|
36204 |
|
10409 |
Certain deemed and/or corrective distributions 3/ |
1446 |
|
1329 |
|
81 |
|
36 |
Administrative expenses 4/ |
3356 |
|
2658 |
|
469 |
|
229 |
Other or unspecified expenses |
463 |
|
241 |
|
159 |
|
63 |
Total Expenses |
257957 |
|
210306 |
|
36913 |
|
10738 |
|
|
|
|
|
|
|
|
Net Income |
27030 |
|
24170 |
|
935 |
|
1926 |
|
|
NOTE: Excludes plans covering only one participant. |
1/ Generally, the portion would consist of employee contributions. |
2/ This table summarizes income and expenses that appear on the Schedule H (for plans with 100 or more participants), the Schedule I (for plans with fewer than 100 participants), and the Form 5500 Short Form. All income and expense items that appear on the more detailed Schedule H but not the Schedule I or Short Form (e.g., Interest earnings, Dividends, Rents, and several line items reporting realized or unrealized gains/losses on investments) are grouped under "All other income" or "Other expenses." Tables D9-D10 summarize the more detailed Schedule H income information for large plans. |
3/ For plans filing Schedule H or Schedule I, this line item represents the combination of "Corrective distributions" and "Certain deemed distributions of participant loans" to be consistent with the Form 5500 Short Form line item "Certain deemed and/or corrective distributions." |
4/ For Schedule H filers, "Administrative expenses" is equal to the "Total administrative expenses" line item, while for Schedule I and Form 5500 Short Form filers, "Administrative expenses" include only the "Administrative service providers" line item. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
98
600
600
3
20
7
False
False
Table D9. Balance Sheet of 401(k) Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
|
Participant Directs Investment of Portion of Assets 1/ |
Participant Does Not Direct Any Investments |
Participant Directs |
All Investments |
|
|
Assets |
|
|
|
|
|
|
|
|
Total noninterest-bearing cash |
4162 |
|
3383 |
|
691 |
|
88 |
|
Employer contrib. receivable |
19147 |
|
15790 |
|
2557 |
|
800 |
|
Participant contrib. receivable |
1587 |
|
1341 |
|
189 |
|
57 |
|
Other receivables |
13656 |
|
7710 |
|
421 |
|
5524 |
|
Interest-bearing cash |
46947 |
|
37586 |
|
6271 |
|
3091 |
|
U. S. Government securities |
26626 |
|
15970 |
|
2267 |
|
8389 |
|
Corporate debt instruments: Preferred |
3934 |
|
1130 |
|
635 |
|
2168 |
|
Corporate debt instruments: All other |
11435 |
|
7221 |
|
1904 |
|
2311 |
|
Preferred stock |
251 |
|
126 |
|
21 |
|
104 |
|
Common stock |
48938 |
|
34085 |
|
6123 |
|
8730 |
|
Partnership/joint venture interests |
1530 |
|
687 |
|
554 |
|
290 |
|
Real estate (exc. employer real property) |
187 |
|
73 |
|
69 |
|
46 |
|
Loans (other than to participants) |
1437 |
|
579 |
|
130 |
|
728 |
|
Participant loans |
55265 |
|
45215 |
|
8504 |
|
1546 |
|
Assets in common/collective trusts |
342904 |
|
281020 |
|
43428 |
|
18456 |
|
Assets in pooled separate accounts |
92225 |
|
85421 |
|
4456 |
|
2348 |
|
|
|
|
(continued...) |
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|
|
|
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|
|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
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|
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|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
97
600
600
3
20
7
False
False
Table D9. Balance Sheet of 401(k) Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
|
Participant Directs Investment of Portion of Assets 1/ |
Participant Does Not Direct Any Investments |
Participant Directs |
All Investments |
|
|
Assets in master trusts |
611116 |
|
422264 |
|
181513 |
|
7338 |
|
Assets in 103-12 investment entities |
1057 |
|
947 |
|
53 |
|
57 |
|
Assets in registered investment comp. |
1092898 |
|
956861 |
|
103277 |
|
32761 |
|
Assets in insurance co. general accounts |
64781 |
|
56530 |
|
6465 |
|
1785 |
|
Other general investments |
57930 |
|
44704 |
|
12443 |
|
784 |
|
Employer securities |
161816 |
|
93172 |
|
61607 |
|
7037 |
|
Employer real property |
234 |
|
182 |
|
52 |
|
1 |
|
Buildings and other property used by plan |
3 |
|
2 |
|
2 |
|
*/ |
|
Other or unspecified assets |
29904 |
|
27484 |
|
1099 |
|
1321 |
|
Total Assets |
2689970 |
|
2139482 |
|
444729 |
|
105759 |
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
|
|
Benefit claims payable |
506 |
|
364 |
|
101 |
|
41 |
|
Operating payables |
1458 |
|
1292 |
|
132 |
|
33 |
|
Acquisition indebtedness |
947 |
|
159 |
|
689 |
|
99 |
|
Other liabilities |
7197 |
|
2654 |
|
1693 |
|
2850 |
|
Total Liabilities |
10108 |
|
4470 |
|
2615 |
|
3023 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
2679862 |
|
2135012 |
|
442114 |
|
102736 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
1/ Generally, the portion would consist of employee contributions. |
*/ Less than $500,000. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
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|
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|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
98
600
600
3
20
7
False
False
Table D10. Income Statement of 401(k) Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
Income and Expenses |
Total |
|
Participant Directs Investment of Portion of Assets 1/ |
Participant Does Not Direct Any Investments |
Participant Directs |
All Investments |
|
|
Income |
|
|
|
|
|
|
|
|
Contributions received or receivable from: |
|
|
|
|
|
|
|
|
Employers |
78189 |
|
65036 |
|
10050 |
|
3103 |
|
Participants |
144025 |
|
121815 |
|
17885 |
|
4325 |
|
Others (including rollovers) |
14059 |
|
12728 |
|
1012 |
|
319 |
|
Noncash contributions |
1057 |
|
685 |
|
362 |
|
10 |
|
Total contributions |
237330 |
|
200263 |
|
29309 |
|
7758 |
|
Interest earnings: |
|
|
|
|
|
|
|
|
Interest-bearing cash |
612 |
|
276 |
|
303 |
|
33 |
|
U. S. Government securities |
812 |
|
354 |
|
49 |
|
410 |
|
Corporate debt instruments |
444 |
|
311 |
|
68 |
|
66 |
|
Non-participant loans |
43 |
|
32 |
|
8 |
|
3 |
|
Participant loans |
2307 |
|
1922 |
|
321 |
|
63 |
|
Other or unspecified interest |
2628 |
|
2123 |
|
407 |
|
98 |
|
Total interest earnings |
6846 |
|
5017 |
|
1156 |
|
673 |
|
Dividends: |
|
|
|
|
|
|
|
|
Preferred stock |
179 |
|
59 |
|
115 |
|
6 |
|
Common stock |
4933 |
|
3200 |
|
1447 |
|
286 |
|
Registered investment company shares (e.g., mutual funds) |
24288 |
|
21385 |
|
2320 |
|
583 |
|
Total dividend income |
29400 |
|
24644 |
|
3881 |
|
875 |
|
Rents |
20 |
|
17 |
|
3 |
|
1 |
|
Net gain (loss) on sale of assets |
2804 |
|
1172 |
|
1270 |
|
363 |
|
Unrealized appreciation: |
|
|
|
|
|
|
|
|
Unrealized appreciation of real estate |
-80 |
|
-95 |
|
*/ |
|
16 |
|
Other unrealized appreciation |
-1756 |
|
-2030 |
|
781 |
|
-508 |
|
Total unrealized appreciation |
-1835 |
|
-2125 |
|
781 |
|
-492 |
|
Net invest. gain from common/col. trusts |
4528 |
|
3853 |
|
620 |
|
55 |
|
Net invest. gain from pooled sep. accounts |
-1123 |
|
-1089 |
|
-61 |
|
28 |
|
Net invest. gain from master trusts |
1968 |
|
174 |
|
1863 |
|
-69 |
|
Net invest. gain from 103-12 invest. entities |
-69 |
|
-54 |
|
-11 |
|
-5 |
|
Net invest. gain from reg. invest. companies |
-40114 |
|
-35189 |
|
-3920 |
|
-1005 |
|
Other or unspecified income |
1106 |
|
393 |
|
202 |
|
511 |
|
Total Income |
240860 |
|
197075 |
|
35093 |
|
8692 |
|
|
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
88
600
600
75
3
20
7
False
False
Table D10. Income Statement of 401(k) Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
|
|
Income and Expenses |
Total |
|
Participant Directs Investment of Portion of Assets 1/ |
Participant Does Not Direct Any Investments |
Participant Directs |
All Investments |
|
|
Expenses |
|
|
|
|
|
|
|
|
Benefit payments and payments to provide |
|
|
|
|
|
|
|
|
benefits: |
|
|
|
|
|
|
|
|
Direct benefit payments |
202951 |
|
163701 |
|
32720 |
|
6531 |
|
Payments to insurance carriers for benefits |
48 |
|
43 |
|
3 |
|
3 |
|
Other or unspecified benefits |
2263 |
|
1849 |
|
174 |
|
239 |
|
Total benefit payments |
205262 |
|
165593 |
|
32897 |
|
6773 |
|
Interest expense |
462 |
|
434 |
|
24 |
|
5 |
|
Corrective distributions |
576 |
|
515 |
|
48 |
|
12 |
|
Deemed distribution of participant loans |
177 |
|
34 |
|
134 |
|
9 |
|
Administrative expenses: |
|
|
|
|
|
|
|
|
Professional fees |
302 |
|
238 |
|
51 |
|
13 |
|
Contract administrator fees |
530 |
|
455 |
|
51 |
|
24 |
|
Investment advisory and management fees |
705 |
|
526 |
|
136 |
|
44 |
|
Other or unspecified admin. expenses |
930 |
|
742 |
|
160 |
|
28 |
|
Total administrative expenses |
2468 |
|
1961 |
|
398 |
|
109 |
|
Unspecified expenses |
19 |
|
17 |
|
1 |
|
1 |
|
Total Expenses |
208964 |
|
168554 |
|
33502 |
|
6909 |
|
|
|
|
|
|
|
|
|
|
Net Income |
31896 |
|
28522 |
|
1592 |
|
1783 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
1/ Generally, the portion would consist of employee contributions. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
95
600
600
75
3
20
7
False
False
Table D11. Number of Employee Stock Ownership Plans (ESOPs), Total |
Participants, Active Participants, Assets, Contributions, and Benefits |
by type of plan, 2011 |
|
|
Type of Plan 1/ |
Number of Plans |
Total Participants (thousands) |
Active Participants (thousands) 2/ |
Total Assets (millions) 3/ |
Total Contributions (millions) 4/ |
Total Benefits (millions) 5/ |
Total |
6801 |
13441 |
10272 |
940336 |
60634 |
69913 |
Profit sharing and thrift-savings |
2140 |
11747 |
9040 |
830598 |
55817 |
62280 |
Stock bonus |
2890 |
1230 |
885 |
83746 |
3899 |
6509 |
Target benefit |
2 |
1 |
1 |
80 |
4 |
3 |
Money purchase |
35 |
3 |
2 |
217 |
6 |
18 |
Other defined contribution |
1733 |
460 |
345 |
25695 |
908 |
1105 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ About 1% of defined contribution plans report more than one plan type. These plans are assigned whichever plan type appears first in the list. |
2/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
3/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
4/ Includes both employer and employee contributions. |
5/ Amounts shown include both benefits paid directly from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
20
7
False
False
18
Table D12. Number of Employee Stock Ownership Plans (ESOPs), Total |
Participants, Active Participants, Assets, Contributions, and Benefits |
by type of ESOP, 2011 |
|
|
|
|
|
|
|
Type of Plan |
Number of Plans |
Total Participants (thousands) |
Active Participants (thousands) 1/ |
Total Assets (millions) 2/ |
Total Contributions (millions) 3/ |
Total Benefits (millions) 4/ |
Total |
6801 |
13441 |
10272 |
940336 |
60634 |
69913 |
Nonleveraged ESOPs |
3825 |
11067 |
8431 |
755718 |
49867 |
58472 |
Leveraged ESOPs |
2976 |
2374 |
1842 |
184618 |
10767 |
11442 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
2/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
3/ Includes both employer and employee contributions. |
4/ Amounts shown include both benefits paid directly from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
20
7
False
False
Table D13. Number of Employee Stock Ownership Plans (ESOPs) |
|
by number of participants and primary or supplemental status, 2011 |
|
|
|
|
Number of Participants |
Total |
ESOP is Only Plan Sponsored by Employer |
Employer Sponsoring ESOP Plan Also Sponsors Another Pension Plan(s) |
Total |
6801 |
2352 |
4448 |
None or not reported |
260 |
124 |
136 |
2-9 |
298 |
221 |
77 |
10-24 |
720 |
353 |
367 |
25-49 |
1199 |
464 |
734 |
50-99 |
1448 |
447 |
1001 |
100-249 |
1317 |
372 |
945 |
250-499 |
558 |
156 |
402 |
500-999 |
305 |
81 |
224 |
1,000-2,499 |
217 |
51 |
166 |
2,500-4,999 |
146 |
28 |
118 |
5,000-9,999 |
100 |
17 |
83 |
10,000-19,999 |
103 |
19 |
84 |
20,000-49,999 |
85 |
10 |
74 |
50,000 or more |
45 |
8 |
37 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
20
7
False
False
Table D14. Balance Sheet of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by leveraged status, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Nonleveraged |
Leveraged |
ESOPs |
ESOPs |
Assets |
|
|
|
|
|
|
Total noninterest-bearing cash |
805 |
|
748 |
|
57 |
|
Employer contrib. receivable |
6078 |
|
4998 |
|
1080 |
|
Participant contrib. receivable |
309 |
|
263 |
|
46 |
|
Other receivables |
5716 |
|
5541 |
|
175 |
|
Interest-bearing cash |
10444 |
|
9413 |
|
1031 |
|
U. S. Government securities |
15958 |
|
15582 |
|
376 |
|
Corporate debt instruments: Preferred |
2441 |
|
2340 |
|
100 |
|
Corporate debt instruments: All other |
4979 |
|
4610 |
|
369 |
|
Preferred stock |
102 |
|
94 |
|
8 |
|
Common stock |
18489 |
|
15418 |
|
3071 |
|
Partnership/joint venture interests |
276 |
|
267 |
|
9 |
|
Real estate (exc. employer real property) |
2 |
|
*/ |
|
1 |
|
Loans (other than to participants) |
1000 |
|
1000 |
|
- |
|
Participant loans |
16038 |
|
13594 |
|
2444 |
|
Assets in common/collective trusts |
110233 |
|
94526 |
|
15706 |
|
Assets in pooled separate accounts |
4494 |
|
3750 |
|
743 |
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
20
7
False
False
Table D14. Balance Sheet of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by leveraged status, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Type of Asset or Liability |
Total |
Nonleveraged |
Leveraged |
ESOPs |
ESOPs |
Assets in master trusts |
340114 |
|
292987 |
|
47128 |
|
Assets in 103-12 investment entities |
6 |
|
6 |
|
- |
|
Assets in registered investment comp. |
153238 |
|
124025 |
|
29213 |
|
Assets in ins. co. general accounts |
14309 |
|
12975 |
|
1334 |
|
Other general investments |
19495 |
|
12902 |
|
6594 |
|
Employer securities |
204146 |
|
135557 |
|
68588 |
|
Employer real property |
40 |
|
23 |
|
17 |
|
Buildings and other property used by plan |
- |
|
- |
|
- |
|
Other or unspecified assets |
322 |
|
219 |
|
103 |
|
Total Assets |
929032 |
|
750839 |
|
178193 |
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
Benefit claims payable |
224 |
|
172 |
|
52 |
|
Operating payables |
1098 |
|
904 |
|
194 |
|
Acquisition indebtedness |
7440 |
|
1587 |
|
5853 |
|
Other liabilities |
9684 |
|
3740 |
|
5943 |
|
Total Liabilities |
18446 |
|
6404 |
|
12042 |
|
|
|
|
|
|
|
|
Net Assets |
910586 |
|
744435 |
|
166151 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Total asset amounts shown exclude funds held by life insurance companies under group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
*/ Less than $500,000. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
20
7
False
False
Table D15. Income Statement of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by leveraged status, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Nonleveraged |
Leveraged |
ESOPs |
ESOPs |
Income |
|
|
|
|
|
|
Contributions received or receivable from: |
|
|
|
|
|
|
Employers |
21111 |
|
16800 |
|
4312 |
|
Participants |
34650 |
|
29304 |
|
5346 |
|
Others (including rollovers) |
1507 |
|
1248 |
|
258 |
|
Noncash contributions |
1416 |
|
1010 |
|
407 |
|
Total contributions |
58685 |
|
48362 |
|
10323 |
|
Interest earnings: |
|
|
|
|
|
|
Interest-bearing cash |
313 |
|
275 |
|
38 |
|
U. S. Government securities |
526 |
|
522 |
|
5 |
|
Corporate debt instruments |
188 |
|
183 |
|
5 |
|
Non-participant loans |
14 |
|
10 |
|
4 |
|
Participant loans |
617 |
|
513 |
|
105 |
|
Other or unspecified interest |
767 |
|
511 |
|
256 |
|
Total interest earnings |
2425 |
|
2013 |
|
412 |
|
Dividends: |
|
|
|
|
|
|
Preferred stock |
464 |
|
297 |
|
167 |
|
Common stock |
4427 |
|
3450 |
|
977 |
|
Registered investment company shares (e.g., mutual funds) |
3295 |
|
2583 |
|
711 |
|
Total dividend income |
8186 |
|
6331 |
|
1855 |
|
Rents |
*/ |
|
- |
|
*/ |
|
Net gain (loss) on sale of assets |
2918 |
|
1813 |
|
1105 |
|
Unrealized appreciation: |
|
|
|
|
|
|
Unrealized appreciation of real estate |
96 |
|
83 |
|
13 |
|
Other unrealized appreciation |
4887 |
|
2075 |
|
2812 |
|
Total unrealized appreciation |
4984 |
|
2159 |
|
2825 |
|
Net invest. gain from common/col. trusts |
1878 |
|
1787 |
|
92 |
|
Net invest. gain from pooled sep. accounts |
64 |
|
46 |
|
19 |
|
Net invest. gain from master trusts |
3148 |
|
2785 |
|
363 |
|
Net invest. gain from 103-12 inv. entities |
-10 |
|
3 |
|
-13 |
|
Net invest. gain from reg. invest. companies |
-5759 |
|
-4975 |
|
-784 |
|
Other or unspecified income |
1345 |
|
984 |
|
361 |
|
Total Income |
77864 |
|
61305 |
|
16558 |
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
92
600
600
3
20
7
False
False
Table D15. Income Statement of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by leveraged status, 2011 |
(amounts in millions) |
|
|
|
|
|
|
|
Income and Expenses |
Total |
Nonleveraged |
Leveraged |
ESOPs |
ESOPs |
Expenses |
|
|
|
|
|
|
Benefit payments and payments to provide |
|
|
|
|
|
|
benefits: |
|
|
|
|
|
|
Direct benefit payments |
66928 |
|
55941 |
|
10987 |
|
Payments to insurance carriers for benefits |
3 |
|
2 |
|
2 |
|
Other or unspecified benefits |
181 |
|
141 |
|
41 |
|
Total benefit payments |
67113 |
|
56083 |
|
11029 |
|
Interest expense |
13 |
|
10 |
|
3 |
|
Corrective distributions |
118 |
|
106 |
|
12 |
|
Deemed distrib. of partic. loans |
747 |
|
141 |
|
605 |
|
Administrative expenses: |
|
|
|
|
|
|
Professional fees |
91 |
|
51 |
|
40 |
|
Contract administrator fees |
95 |
|
85 |
|
10 |
|
Investment advisory and management fees |
209 |
|
183 |
|
27 |
|
Other or unspecified admin. expenses |
218 |
|
132 |
|
85 |
|
Total administrative expenses |
613 |
|
451 |
|
162 |
|
Unspecified expenses |
18 |
|
*/ |
|
18 |
|
Total Expenses |
68621 |
|
56792 |
|
11828 |
|
|
|
|
|
|
|
|
Net Income |
9243 |
|
4513 |
|
4730 |
|
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
*/ Less than $500,000. |
- Missing data. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
20
7
False
False
Table D16. Number of Defined Contribution Plans, Total Participants, |
Active Participants, Assets, Contributions, and Benefits |
by 401(k) and ESOP status, 2011 |
|
|
|
|
|
|
|
401(k) / ESOP Status |
Number of Plans |
Total Participants (thousands) |
Active Participants (thousands) 1/ |
Total Assets (millions) 2/ |
Total Contributions (millions) 3/ |
Total Benefits (millions) 4/ |
Total |
638390 |
88705 |
73668 |
3829487 |
330213 |
299335 |
401(k), not ESOP |
512152 |
61327 |
52452 |
2309470 |
229339 |
189740 |
ESOP, not 401(k) |
5515 |
1812 |
1362 |
103317 |
4326 |
6981 |
401(k) and ESOP |
1286 |
11629 |
8910 |
837019 |
56308 |
62933 |
Not 401(k), not ESOP |
119438 |
13938 |
10943 |
579680 |
40240 |
39681 |
|
NOTE: Total participant and active participant definitions were changed beginning with the 2005 Private Pension Plan Bulletin. See the related Appendix in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. As in previous bulletins, the term "Participants" refers to active, retired, and separated vested participants not yet in pay status. The number of participants also includes double counting of workers in more than one plan. For Form 5500 Short Form filers, this number may also include deceased participants whose beneficiaries are receiving or are entitled to receive benefits. |
NOTE: Excludes plans covering only one participant. |
1/ Active participants include any workers currently in employment covered by a plan and who are earning or retaining credited service under a plan. This category includes any nonvested former employees who have not yet incurred a break in service. Active participants also include individuals who are eligible to elect to have the employer make payments to a Code section 401(k) plan. For Form 5500 Short Form filers, all reported participants are assumed to be active. |
2/ Total asset amounts shown exclude funds held by life insurance companies under allocated group insurance contracts for payment of retirement benefits. These excluded funds make up roughly 10 to 15 percent of total pension fund assets. |
3/ Includes both employer and employee contributions. |
4/ Amounts shown include both benefits paid directly from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
SOURCE: Form 5500 filings for plan years ending in 2011. |
600
600
3
20
7
False
False