lawrench
Ryan Brake
2020-07-21T20:24:14Z
2003-12-02T15:27:41Z
2022-09-22T15:43:08Z
US Department of Labor
16.00
0x0101009592D5DB7F511A4CB595E0EB258E90D9
12570
23250
32767
32767
912
False
False
Table A1. Number of Pension Plans, Total Participants, Active Participants, |
Assets, Contributions, and Benefits |
by type of plan, 2020 |
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|
|
|
|
|
|
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 |
746610 |
142274 |
97300 |
11909158 |
694195 |
960184 |
Defined Benefit |
46577 |
31900 |
12010 |
3543686 |
108241 |
256577 |
Cash Balance |
23088 |
9881 |
3810 |
1293649 |
26660 |
89930 |
Other Defined Benefit |
23489 |
22019 |
8200 |
2250037 |
81580 |
166647 |
|
Defined Contribution |
700034 |
110374 |
85290 |
8365472 |
585954 |
703607 |
401(k)-Type |
621509 |
92032 |
72214 |
7068770 |
517108 |
614814 |
403(b) |
20732 |
9647 |
6797 |
679918 |
41216 |
43848 |
Other Defined Contribution |
57793 |
8694 |
6279 |
616784 |
27631 |
44945 |
|
NOTES: Total participants, active participants, and total assets are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 An annuity arrangement under Code section 403(b)(1) and custodial account arrangement under Code section 403(b)(7) are grouped under the category of 403(b). These numbers may not represent all 403(b) plans because those 403(b) plans that are not established or maintained by an employer as described in DOL Regulation 29 C.F.R § 2510.3-2(f) are exempt from filing a Form 5500/5500-SF. These data include only 403(b) plans that file the Form 5500 or Form 5500-SF. Additional information on 403(b) filing requirements can be found in Field Assistance Bulletins 2009-02 and 2010-01. Approximately 0.05% of individual account plans indicate both 401(k) and 403(b) plan characteristics. For purposes of this report, they are classified as 401(k)-type plans. |
2 The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
3 Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
4 This report defines Total Contributions as employer and employee contributions. |
5 Amounts shown include both benefits paid directly to participants and beneficiaries from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
*/ Fewer than 500 participants. |
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**/ Less than $500,000. |
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- Missing or zero. |
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SOURCE: Form 5500 filings for plan years ending in 2020. |
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600
600
85
3
14
R15C1:R15C7
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, 2020 |
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|
|
|
|
|
|
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 |
93676 |
128977 |
86877 |
10826707 |
607015 |
831980 |
Defined Benefit |
6932 |
31423 |
11674 |
3473973 |
100155 |
235641 |
Cash Balance |
1259 |
9623 |
3594 |
1262243 |
22009 |
83682 |
Other Defined Benefit |
5673 |
21800 |
8079 |
2211730 |
78146 |
151959 |
Defined Contribution |
86744 |
97554 |
75203 |
7352734 |
506860 |
596339 |
401(k)-Type |
73504 |
80377 |
62978 |
6181520 |
443871 |
523106 |
403(b) |
7629 |
9228 |
6514 |
660105 |
39459 |
39255 |
Other Defined Contribution |
5611 |
7949 |
5712 |
511110 |
23530 |
33977 |
|
NOTES: Total participants, active participants, and total assets are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 An annuity arrangement under Code section 403(b)(1) and custodial account arrangement under Code section 403(b)(7) are grouped under the category of 403(b). These numbers may not represent all 403(b) plans because those 403(b) plans that are not established or maintained by an employer as described in DOL Regulation 29 C.F.R § 2510.3-2(f) are exempt from filing a Form 5500/5500-SF. These data include only 403(b) plans that file the Form 5500 or Form 5500-SF. Additional information on 403(b) filing requirements can be found in Field Assistance Bulletins 2009-02 and 2010-01. Approximately 0.05% of individual account plans indicate both 401(k) and 403(b) plan characteristics. For purposes of this report, they are classified as 401(k)-type plans. |
2 The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
3 Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
4 This report defines Total Contributions as employer and employee contributions. |
5 Amounts shown include both benefits paid directly to participants and beneficiaries from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
*/ Fewer than 500 participants. |
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**/ Less than $500,000. |
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- Missing or zero. |
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|
SOURCE: Form 5500 filings for plan years ending in 2020. |
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|
600
600
8
3
22
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, 2020 |
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|
|
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|
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 |
652934 |
13297 |
10422 |
1082451 |
87180 |
128204 |
Defined Benefit |
39645 |
477 |
336 |
69713 |
8086 |
20936 |
Cash Balance |
21829 |
258 |
216 |
31407 |
4651 |
6248 |
Other Defined Benefit |
17815 |
219 |
120 |
38306 |
3435 |
14688 |
Defined Contribution |
613290 |
12820 |
10086 |
1012738 |
79094 |
107268 |
401(k)-Type |
548005 |
11655 |
9236 |
887251 |
73237 |
91708 |
403(b) |
13103 |
419 |
283 |
19813 |
1757 |
4592 |
Other Defined Contribution |
52182 |
745 |
567 |
105674 |
4100 |
10968 |
|
NOTES: Total participants, active participants, and total assets are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 An annuity arrangement under Code section 403(b)(1) and custodial account arrangement under Code section 403(b)(7) are grouped under the category of 403(b). These numbers may not represent all 403(b) plans because those 403(b) plans that are not established or maintained by an employer as described in DOL Regulation 29 C.F.R § 2510.3-2(f) are exempt from filing a Form 5500/5500-SF. These data include only 403(b) plans that file the Form 5500 or Form 5500-SF. Additional information on 403(b) filing requirements can be found in Field Assistance Bulletins 2009-02 and 2010-01. Approximately 0.05% of individual account plans indicate both 401(k) and 403(b) plan characteristics. For purposes of this report, they are classified as 401(k)-type plans. |
2 The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
3 Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
4 This report defines Total Contributions as employer and employee contributions. |
5 Amounts shown include both benefits paid directly to participants and beneficiaries from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
*/ Fewer than 500 participants. |
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**/ Less than $500,000. |
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|
- Missing or zero. |
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|
SOURCE: Form 5500 filings for plan years ending in 2020. |
600
600
6
3
19
R20C1:R20C7
False
False
Table A2. Number of Participants in Pension Plans |
by type of plan and type of participant, 2020 |
(thousands) |
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|
Type of Participant |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Active Participants 3 |
97300 |
12010 |
85290 |
84708 |
7336 |
77372 |
7512 |
4122 |
3390 |
5080 |
552 |
4527 |
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|
Retired or Separated Participants Receiving Benefits 4 |
12132 |
10939 |
1193 |
8081 |
7050 |
1031 |
3442 |
3322 |
121 |
609 |
568 |
41 |
Other Retired or Separated Participants with Vested Right to Benefits 4 |
32842 |
8951 |
23891 |
27055 |
5429 |
21626 |
4106 |
3089 |
1017 |
1681 |
434 |
1247 |
Total Participants |
142274 |
31900 |
110374 |
119844 |
19814 |
100029 |
15061 |
10532 |
4528 |
7370 |
1554 |
5816 |
Participants with Account Balances 5 |
84442 |
- |
84442 |
76496 |
- |
76496 |
3910 |
- |
3910 |
4036 |
- |
4036 |
Beneficiaries 6 |
2305 |
2027 |
278 |
1501 |
1260 |
241 |
698 |
673 |
25 |
106 |
94 |
11 |
|
|
Total Participants and Beneficiaries |
144578 |
33927 |
110652 |
121345 |
21074 |
100271 |
15759 |
11205 |
4554 |
7475 |
1648 |
5827 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
3 The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
4 Beginning with the 2014 Form 5500-SF, eligible filers report both total and active participants. As a result, retired or separated participants are imputed based on the historical distribution of retired or separated participants either receiving benefits or with the vested right to benefits. See the related Appendix G in the Private Pension Plan Bulletin Historical Tables and Graphs for more details. |
5 "Participants with Account Balances" are a subset of "Total Participants and Beneficiaries." |
6 Deceased participants whose beneficiaries are receiving or are entitled to receive benefits. Form 5500-SF filers include deceased participants with total participants but do not report on these participants separately. |
*/ Fewer than 500 participants. |
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**/ Less than $500,000. |
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- Missing or zero. |
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SOURCE: Form 5500 filings for plan years ending in 2020. |
69
600
600
3
20
R21C1:R21C13
False
False
24
Table A3. Balance Sheet of Pension Plans |
by type of plan, 2020 |
(millions) |
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
|
|
|
|
Partnership/Joint Venture Interests |
198255 |
187606 |
10649 |
|
|
|
Employer Real Property |
187 |
123 |
65 |
Real Estate (Other Than Employer Real Property) |
20602 |
18440 |
2162 |
|
|
|
Employer Securities |
353582 |
2242 |
351340 |
|
|
|
Participant Loans |
75024 |
82 |
74941 |
|
|
Loans (Other Than to Participants) |
6747 |
4391 |
2356 |
|
|
|
Other Investments 1 |
10272792 |
3272952 |
6999840 |
|
|
|
Form 5500-SF Assets 2 |
981968 |
57849 |
924120 |
|
|
|
Total Assets |
11909158 |
3543686 |
8365472 |
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|
|
Total Liabilities |
106020 |
62540 |
43480 |
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|
|
Net Assets |
11803138 |
3481146 |
8321993 |
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|
NOTES: Assets and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 "Other Investments" primarily includes investments in readily tradeable securities, registered investment companies, common collective trusts, and pooled separate accounts. Tables C4, C4(a), C5(a), C5(b), and C5(c) summarize the more detailed Schedule H asset information for large plans. |
2 The Form 5500-SF generally does not break out assets classes; therefore, all assets reported by Form 5500-SF filers are summarized on this line item. |
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*/ Fewer than 500 participants. |
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|
**/ Less than $500,000. |
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|
- Missing or zero. |
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SOURCE: Form 5500 filings for plan years ending in 2020. |
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600
600
3
20
R21C1:R21C4
False
False
27
56
97
137
178
218
247
288
319
359
390
471
Table A4. Income Statement of Pension Plans |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Income |
|
|
|
Employer Contributions |
301444 |
105417 |
196027 |
|
|
|
Participant Contributions |
330994 |
585 |
330409 |
|
|
Contributions From Others (Including Rollovers) |
60231 |
2191 |
58040 |
|
|
Noncash Contributions |
1526 |
49 |
1478 |
All Other Income 1 |
1456664 |
409858 |
1046806 |
|
|
|
Total Income |
2150859 |
518099 |
1632760 |
|
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|
Expenses |
|
|
|
|
|
|
Total Benefit Payments |
960184 |
256577 |
703607 |
|
|
|
Certain Deemed and/or Corrective Distributions 2 |
1999 |
10 |
1989 |
Administrative Expenses 3 |
22341 |
13261 |
9080 |
Other or Unspecified Expenses |
1429 |
172 |
1257 |
|
|
|
Total Expenses |
985953 |
270021 |
715932 |
|
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|
|
|
|
|
|
|
|
Net Income |
1164906 |
248078 |
916827 |
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|
|
NOTES: Excludes "one-participant plans." |
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|
Some totals do not equal the sum of the components due to rounding. |
|
|
|
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
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1 This table summarizes income and expenses that appear on the Schedule H (generally for plans with 100 or more participants), the Schedule I (generally for plans with fewer than 100 participants that file the Form 5500), and the Form 5500-SF. All income and expense items that appear on the more detailed Schedule H but not the Schedule I or Form 5500-SF (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 C8, C9(a), C9(b), and C9(c) 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-SF 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-SF filers, "Administrative Expenses" includes only the "Administrative Service Providers" line item. |
*/ Fewer than 500 participants. |
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|
**/ Less than $500,000. |
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|
- Missing or zero. |
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|
SOURCE: Form 5500 filings for plan years ending in 2020. |
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99
600
600
3
20
3
False
False
Table A5. Amount of Assets in Pension Plans |
by type of plan and method of funding, 2020 |
(millions) |
|
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|
|
Method of Funding |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding Arrangement for Investment of Assets |
|
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|
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|
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|
|
|
|
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|
Total |
11909158 |
3543686 |
8365472 |
10479148 |
2691972 |
7787176 |
830630 |
626861 |
203769 |
599380 |
224853 |
374527 |
|
Form 5500-SF 3 |
981968 |
57849 |
924120 |
976058 |
57762 |
918296 |
- |
- |
- |
5911 |
87 |
5824 |
|
Insurance |
66174 |
15413 |
50761 |
65026 |
14834 |
50192 |
226 |
177 |
49 |
922 |
401 |
520 |
|
Section 412(i) Ins. |
697 |
13 |
684 |
696 |
12 |
684 |
1 |
1 |
- |
- |
- |
- |
|
Trust |
6901172 |
2198692 |
4702480 |
6202884 |
1856204 |
4346680 |
381767 |
276535 |
105232 |
316521 |
65952 |
250568 |
|
Trust and Insurance |
3959144 |
1271720 |
2687424 |
3234480 |
763159 |
2471321 |
448636 |
350148 |
98488 |
276027 |
158412 |
117615 |
|
Not Determinable |
4 |
**/ |
4 |
4 |
**/ |
4 |
- |
- |
- |
- |
- |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding Arrangement for Payment of Benefits |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
11909158 |
3543686 |
8365472 |
10479148 |
2691972 |
7787176 |
830630 |
626861 |
203769 |
599380 |
224853 |
374527 |
Form 5500-SF 3 |
981968 |
57849 |
924120 |
976058 |
57762 |
918296 |
- |
- |
- |
5911 |
87 |
5824 |
Insurance |
73563 |
21635 |
51928 |
72090 |
20730 |
51359 |
130 |
130 |
- |
1344 |
775 |
569 |
Section 412(i) Ins. |
658 |
10 |
648 |
657 |
10 |
648 |
**/ |
**/ |
- |
- |
- |
- |
Trust |
7717697 |
2291478 |
5426220 |
6704556 |
1720514 |
4984043 |
603036 |
448024 |
155012 |
410105 |
122939 |
287166 |
Trust and Insurance |
3135268 |
1172715 |
1962553 |
2725783 |
892956 |
1832827 |
227464 |
178706 |
48757 |
182020 |
101052 |
80968 |
Not Determinable |
4 |
**/ |
4 |
4 |
**/ |
4 |
- |
- |
- |
- |
- |
- |
|
NOTES: Assets are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
3 Form 5500-SF filers do not report on the plan funding or benefit arrangements. |
*/ Fewer than 500 participants. |
|
|
|
|
|
|
|
|
|
|
|
|
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
77
600
600
3
35
R36C1:R36C13
False
False
39
Table A6. Collective Bargaining Status of Pension Plans, Total Participants, and Assets |
by type of plan, 2020 |
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 |
746610 |
142274 |
11909158 |
46577 |
31900 |
3543686 |
700034 |
110374 |
8365472 |
Single-Employer 2 |
739381 |
119844 |
10479148 |
45032 |
19814 |
2691972 |
694349 |
100029 |
7787176 |
Multiemployer 3 |
2438 |
15061 |
830630 |
1363 |
10532 |
626861 |
1076 |
4528 |
203769 |
Multiple−Employer |
4791 |
7370 |
599380 |
182 |
1554 |
224853 |
4609 |
5816 |
374527 |
Noncollectively Bargained Plans |
Total |
739161 |
109028 |
8894427 |
43630 |
15340 |
1941379 |
695531 |
93688 |
6953048 |
Single-Employer 2 |
734536 |
102986 |
8477898 |
43470 |
14213 |
1806692 |
691066 |
88773 |
6671206 |
Multiple−Employer |
4625 |
6042 |
416529 |
160 |
1127 |
134687 |
4465 |
4915 |
281842 |
Collectively Bargained Plans |
Total |
7449 |
33245 |
3014731 |
2947 |
16560 |
1602306 |
4503 |
16685 |
1412424 |
Single-Employer 2 |
4845 |
16857 |
2001250 |
1562 |
5601 |
885279 |
3283 |
11256 |
1115970 |
Multiemployer 3 |
2438 |
15061 |
830630 |
1363 |
10532 |
626861 |
1076 |
4528 |
203769 |
Multiple−Employer |
166 |
1327 |
182851 |
22 |
427 |
90166 |
144 |
900 |
92685 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
Some collectively bargained plans cover nonbargaining unit employees. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
2 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
3 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
83
600
600
3
17
R18C1:R18C11
False
False
Table B1. Distribution of Pension Plans |
by type of plan and number of participants, 2020 |
Total Participants |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
746610 |
46577 |
700034 |
739381 |
45032 |
694349 |
2438 |
1363 |
1076 |
4791 |
182 |
4609 |
None or Not Reported |
29858 |
3631 |
26227 |
29685 |
3612 |
26073 |
28 |
12 |
16 |
145 |
7 |
138 |
|
2-9 |
253832 |
22359 |
231472 |
253437 |
22346 |
231091 |
7 |
- |
7 |
387 |
13 |
374 |
|
10-24 |
185236 |
8671 |
176564 |
184727 |
8661 |
176066 |
7 |
5 |
2 |
501 |
5 |
496 |
|
25-49 |
107692 |
2940 |
104752 |
107056 |
2921 |
104135 |
18 |
12 |
6 |
617 |
7 |
610 |
|
50-99 |
76317 |
2043 |
74274 |
75575 |
2003 |
73572 |
52 |
27 |
24 |
690 |
13 |
677 |
|
100-249 |
47627 |
1785 |
45842 |
46686 |
1656 |
45030 |
179 |
104 |
75 |
762 |
25 |
737 |
|
250-499 |
20011 |
1193 |
18818 |
19170 |
1033 |
18137 |
287 |
147 |
140 |
554 |
13 |
541 |
|
500-999 |
11181 |
1109 |
10072 |
10349 |
844 |
9505 |
432 |
246 |
186 |
400 |
19 |
381 |
|
|
1,000-2,499 |
7860 |
1203 |
6656 |
6913 |
838 |
6075 |
606 |
344 |
262 |
340 |
21 |
319 |
|
2,500-4,999 |
3226 |
677 |
2549 |
2700 |
476 |
2223 |
367 |
184 |
183 |
159 |
17 |
142 |
|
5,000-9,999 |
1764 |
385 |
1378 |
1463 |
257 |
1206 |
197 |
112 |
85 |
104 |
16 |
88 |
|
10,000-19,999 |
1064 |
285 |
779 |
868 |
197 |
671 |
126 |
79 |
47 |
69 |
9 |
60 |
|
20,000-49,999 |
670 |
194 |
476 |
539 |
125 |
414 |
88 |
56 |
32 |
43 |
13 |
30 |
|
50,000 or More |
274 |
100 |
174 |
211 |
62 |
149 |
44 |
34 |
10 |
19 |
4 |
15 |
|
|
NOTES: Participants are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
77
600
600
3
29
10
False
False
14
Table B2. Distribution of Pension Plans |
by type of plan and amount of assets, 2020 |
Total Assets |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
746610 |
46577 |
700034 |
739381 |
45032 |
694349 |
2438 |
1363 |
1076 |
4791 |
182 |
4609 |
None or Not Reported |
33343 |
3634 |
29709 |
33157 |
3614 |
29543 |
31 |
13 |
18 |
154 |
7 |
147 |
$1-24K |
35856 |
204 |
35652 |
35784 |
198 |
35586 |
13 |
6 |
7 |
59 |
- |
59 |
25-49K |
21491 |
155 |
21336 |
21445 |
148 |
21296 |
8 |
7 |
1 |
39 |
- |
39 |
50-99K |
33953 |
565 |
33388 |
33865 |
549 |
33316 |
15 |
15 |
- |
73 |
1 |
72 |
100-249K |
73187 |
3334 |
69852 |
72973 |
3310 |
69663 |
30 |
23 |
7 |
183 |
1 |
182 |
250-499K |
82779 |
5151 |
77629 |
82532 |
5128 |
77405 |
28 |
21 |
7 |
219 |
2 |
217 |
500-999K |
107531 |
7814 |
99716 |
107169 |
7798 |
99370 |
21 |
14 |
7 |
341 |
2 |
339 |
1-2.49M |
156170 |
11732 |
144437 |
155408 |
11692 |
143716 |
53 |
29 |
24 |
708 |
11 |
697 |
2.5-4.9M |
89626 |
5431 |
84195 |
88911 |
5386 |
83525 |
75 |
36 |
39 |
640 |
9 |
631 |
5-9.9M |
50956 |
2063 |
48893 |
50194 |
2008 |
48186 |
132 |
46 |
86 |
630 |
9 |
621 |
10-24.9M |
32404 |
1673 |
30731 |
31404 |
1519 |
29885 |
298 |
134 |
164 |
702 |
20 |
682 |
25-49.9M |
11805 |
1095 |
10711 |
11109 |
916 |
10193 |
338 |
157 |
181 |
358 |
22 |
336 |
50-74.9M |
4560 |
612 |
3948 |
4191 |
478 |
3713 |
226 |
126 |
100 |
143 |
8 |
135 |
75-99.9M |
2424 |
400 |
2023 |
2177 |
299 |
1878 |
174 |
94 |
80 |
72 |
7 |
65 |
100-149.9M |
2643 |
543 |
2100 |
2327 |
400 |
1926 |
208 |
134 |
74 |
109 |
9 |
100 |
150-199.9M |
1474 |
329 |
1145 |
1284 |
244 |
1040 |
136 |
76 |
60 |
53 |
9 |
44 |
200-249.9M |
999 |
258 |
741 |
866 |
194 |
672 |
94 |
56 |
38 |
39 |
8 |
31 |
250-499.9M |
2263 |
582 |
1681 |
1911 |
415 |
1495 |
248 |
153 |
95 |
105 |
14 |
91 |
500-999.9M |
1438 |
408 |
1030 |
1231 |
295 |
936 |
146 |
97 |
49 |
61 |
16 |
45 |
1-2.49B |
1016 |
320 |
696 |
852 |
234 |
618 |
106 |
75 |
31 |
57 |
11 |
46 |
2.5B or More |
693 |
272 |
421 |
592 |
206 |
386 |
57 |
50 |
7 |
44 |
16 |
28 |
|
NOTES: Assets are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
The letters K, M, and B denote thousands, millions, and billions, respectively. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
78
600
600
3
30
R31C1:R31C13
False
False
14
Table B3. Distribution of Pension Plans |
by type of plan and industry, 2020 |
|
Industry |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
746610 |
46577 |
700034 |
739381 |
45032 |
694349 |
2438 |
1363 |
1076 |
4791 |
182 |
4609 |
|
|
|
|
|
|
|
|
|
|
Agriculture |
8534 |
443 |
8091 |
8409 |
423 |
7985 |
8 |
6 |
2 |
117 |
14 |
103 |
|
|
|
|
|
|
|
Mining |
3305 |
231 |
3074 |
3260 |
229 |
3031 |
5 |
2 |
3 |
40 |
- |
40 |
|
|
|
|
|
|
|
Utilities |
2724 |
333 |
2391 |
2694 |
325 |
2369 |
5 |
1 |
4 |
25 |
7 |
18 |
|
|
|
|
|
|
|
Construction |
65830 |
3259 |
62570 |
64140 |
2618 |
61522 |
1268 |
632 |
636 |
422 |
9 |
413 |
|
|
|
|
|
|
|
|
Manufacturing |
73807 |
4694 |
69113 |
73151 |
4531 |
68620 |
171 |
133 |
38 |
485 |
30 |
455 |
|
|
|
|
|
|
|
Wholesale Trade |
37567 |
2433 |
35135 |
37272 |
2402 |
34870 |
34 |
23 |
11 |
261 |
8 |
253 |
|
|
|
|
|
|
|
Retail Trade |
43567 |
1662 |
41904 |
43064 |
1592 |
41471 |
85 |
68 |
17 |
418 |
2 |
416 |
|
|
|
|
|
|
|
Transportation |
14985 |
735 |
14250 |
14654 |
611 |
14043 |
178 |
118 |
59 |
154 |
6 |
148 |
|
|
|
|
|
|
|
Information |
14332 |
778 |
13554 |
14218 |
746 |
13472 |
39 |
27 |
12 |
75 |
5 |
70 |
|
|
|
|
|
|
|
Finance, Insurance, and Real Estate |
68677 |
5523 |
63155 |
67838 |
5327 |
62511 |
320 |
173 |
147 |
519 |
23 |
496 |
|
|
|
|
|
|
|
Services |
397551 |
25844 |
371707 |
395241 |
25670 |
369571 |
206 |
123 |
83 |
2104 |
51 |
2053 |
|
|
|
|
|
|
|
Misc. Organizations 3 |
15513 |
639 |
14874 |
15227 |
556 |
14671 |
118 |
56 |
62 |
169 |
27 |
142 |
|
|
|
|
|
|
|
Industry Not Reported |
218 |
2 |
216 |
215 |
2 |
213 |
2 |
- |
2 |
1 |
- |
1 |
|
|
|
|
|
|
|
|
NOTES: Industry classifications are consistent with definitions of principal business activity listed in the 2020 Form 5500 Instructions. These principal business activity codes are based on the North American Industry Classification System. |
Excludes "one-participant plans." |
|
|
|
|
|
|
|
|
|
Some totals do not equal the sum of the components due to rounding. |
|
|
|
|
|
|
|
|
|
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
|
|
|
|
|
|
|
|
|
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
|
|
|
|
|
|
|
|
|
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
|
|
|
|
|
|
|
|
|
3 Religious, grantmaking, civic, professional, labor, and similar organizations. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
77
600
600
3
26
R27C1:R27C13
False
False
14
Table B4. Distribution of Participants |
by type of plan and number of participants, 2020 |
(thousands) |
Total Participants |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
142274 |
31900 |
110374 |
119844 |
19814 |
100029 |
15061 |
10532 |
4528 |
7370 |
1554 |
5816 |
2-9 |
1292 |
104 |
1189 |
1290 |
104 |
1187 |
*/ |
- |
*/ |
2 |
*/ |
2 |
10-24 |
2892 |
129 |
2763 |
2883 |
129 |
2754 |
*/ |
*/ |
*/ |
8 |
*/ |
8 |
25-49 |
3763 |
101 |
3662 |
3740 |
100 |
3640 |
1 |
*/ |
*/ |
22 |
*/ |
22 |
50-99 |
5350 |
144 |
5206 |
5296 |
140 |
5156 |
4 |
2 |
2 |
49 |
1 |
48 |
100-249 |
7320 |
295 |
7025 |
7165 |
272 |
6893 |
31 |
18 |
13 |
124 |
4 |
119 |
250-499 |
6994 |
428 |
6566 |
6687 |
367 |
6320 |
110 |
56 |
54 |
198 |
5 |
193 |
500-999 |
7784 |
791 |
6993 |
7191 |
600 |
6591 |
311 |
176 |
135 |
281 |
14 |
267 |
|
1,000-2,499 |
12177 |
1926 |
10252 |
10672 |
1341 |
9331 |
974 |
553 |
421 |
532 |
32 |
500 |
2,500-4,999 |
11299 |
2403 |
8896 |
9431 |
1685 |
7746 |
1308 |
657 |
651 |
560 |
61 |
499 |
5,000-9,999 |
12212 |
2692 |
9519 |
10115 |
1789 |
8325 |
1364 |
792 |
572 |
733 |
111 |
622 |
10,000-19,999 |
14877 |
4021 |
10856 |
12091 |
2764 |
9327 |
1815 |
1134 |
681 |
971 |
123 |
848 |
20,000-49,999 |
20538 |
5949 |
14588 |
16507 |
3816 |
12691 |
2732 |
1760 |
972 |
1298 |
374 |
925 |
50,000 or More |
35776 |
12918 |
22858 |
26776 |
6706 |
20070 |
6409 |
5382 |
1027 |
2591 |
830 |
1761 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
79
600
600
3
25
R26C1:R26C13
False
False
14
Table B5. Distribution of Participants |
by type of plan and amount of assets, 2020 |
(thousands) |
Total Assets |
Total |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
142274 |
31900 |
110374 |
119844 |
19814 |
100029 |
15061 |
10532 |
4528 |
7370 |
1554 |
5816 |
None or Not Reported |
156 |
2 |
153 |
153 |
2 |
150 |
2 |
*/ |
2 |
1 |
*/ |
1 |
$1-24K |
452 |
4 |
448 |
449 |
3 |
446 |
1 |
1 |
1 |
1 |
- |
1 |
25-49K |
289 |
1 |
288 |
289 |
1 |
288 |
*/ |
*/ |
- |
1 |
- |
1 |
50-99K |
480 |
5 |
475 |
476 |
3 |
473 |
2 |
2 |
- |
2 |
*/ |
2 |
100-249K |
1169 |
30 |
1139 |
1155 |
24 |
1132 |
7 |
6 |
1 |
7 |
- |
7 |
250-499K |
1572 |
53 |
1519 |
1550 |
42 |
1508 |
14 |
11 |
3 |
8 |
*/ |
8 |
500-999K |
2512 |
91 |
2421 |
2479 |
78 |
2401 |
16 |
13 |
3 |
17 |
*/ |
17 |
1-2.49M |
5518 |
182 |
5337 |
5418 |
162 |
5256 |
37 |
20 |
17 |
63 |
*/ |
63 |
2.5-4.9M |
5647 |
160 |
5487 |
5494 |
135 |
5360 |
59 |
25 |
34 |
94 |
*/ |
93 |
5-9.9M |
6562 |
209 |
6354 |
6265 |
152 |
6113 |
124 |
56 |
68 |
174 |
1 |
173 |
10-24.9M |
8963 |
443 |
8520 |
8300 |
334 |
7965 |
318 |
105 |
213 |
346 |
4 |
342 |
25-49.9M |
7066 |
553 |
6513 |
6185 |
395 |
5791 |
493 |
141 |
352 |
388 |
17 |
371 |
50-74.9M |
4595 |
542 |
4053 |
3906 |
350 |
3556 |
404 |
188 |
217 |
285 |
4 |
280 |
75-99.9M |
3435 |
453 |
2983 |
2909 |
279 |
2630 |
391 |
167 |
224 |
135 |
7 |
128 |
100-149.9M |
5122 |
890 |
4232 |
4160 |
560 |
3600 |
675 |
318 |
357 |
287 |
12 |
275 |
150-199.9M |
4222 |
731 |
3491 |
3469 |
444 |
3025 |
599 |
269 |
330 |
153 |
18 |
135 |
200-249.9M |
3168 |
709 |
2459 |
2564 |
464 |
2100 |
432 |
226 |
206 |
172 |
19 |
153 |
250-499.9M |
10938 |
2375 |
8562 |
8864 |
1421 |
7443 |
1508 |
894 |
614 |
566 |
60 |
505 |
500-999.9M |
12136 |
2983 |
9153 |
9814 |
1814 |
8001 |
1645 |
1054 |
591 |
677 |
116 |
561 |
1-2.49B |
16543 |
5406 |
11137 |
12733 |
3412 |
9321 |
2682 |
1810 |
872 |
1128 |
184 |
944 |
2.5B or More |
41729 |
16079 |
25650 |
33211 |
9741 |
23470 |
5652 |
5227 |
425 |
2866 |
1111 |
1755 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
The letters K, M, and B denote thousands, millions, and billions, respectively. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
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|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
77
600
600
3
30
R31C1:R31C13
False
False
14
Table B6. Distribution of Participants |
by type of plan and industry, 2020 |
(thousands) |
|
Industry |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
142274 |
31900 |
110374 |
119844 |
19814 |
100029 |
15061 |
10532 |
4528 |
7370 |
1554 |
5816 |
|
|
|
|
|
|
|
|
|
|
Agriculture |
921 |
93 |
829 |
796 |
45 |
750 |
23 |
15 |
8 |
103 |
32 |
71 |
|
|
|
|
|
|
|
Mining |
916 |
263 |
653 |
783 |
198 |
585 |
71 |
65 |
6 |
62 |
- |
62 |
|
|
|
|
|
|
|
Utilities |
1762 |
826 |
936 |
1563 |
737 |
826 |
18 |
*/ |
18 |
181 |
90 |
92 |
|
|
|
|
|
|
|
Construction |
9527 |
3553 |
5974 |
3476 |
56 |
3420 |
5859 |
3489 |
2370 |
192 |
7 |
185 |
|
|
|
|
|
|
|
|
Manufacturing |
26002 |
8674 |
17328 |
23866 |
7435 |
16431 |
945 |
796 |
149 |
1191 |
443 |
748 |
|
|
|
|
|
|
|
Wholesale Trade |
4507 |
510 |
3997 |
4203 |
434 |
3770 |
67 |
51 |
16 |
237 |
25 |
211 |
|
|
|
|
|
|
|
Retail Trade |
15521 |
2230 |
13291 |
13557 |
587 |
12971 |
1752 |
1643 |
110 |
211 |
*/ |
210 |
|
|
|
|
|
|
|
Transportation |
6752 |
2202 |
4550 |
4700 |
777 |
3923 |
1922 |
1387 |
535 |
130 |
38 |
92 |
|
|
|
|
|
|
|
Information |
5322 |
1616 |
3705 |
4208 |
922 |
3285 |
384 |
240 |
144 |
729 |
454 |
276 |
|
|
|
|
|
|
|
Finance, Insurance, and Real Estate |
14195 |
4628 |
9567 |
11897 |
3247 |
8650 |
1749 |
1247 |
502 |
549 |
134 |
415 |
|
|
|
|
|
|
|
Services |
54401 |
6495 |
47906 |
48881 |
4756 |
44125 |
1952 |
1429 |
524 |
3568 |
311 |
3257 |
|
|
|
|
|
|
|
Misc. Organizations 3 |
2403 |
810 |
1593 |
1870 |
620 |
1250 |
316 |
169 |
147 |
217 |
21 |
196 |
|
|
|
|
|
|
|
Industry Not Reported |
45 |
- |
45 |
44 |
- |
44 |
1 |
- |
1 |
*/ |
- |
*/ |
|
|
|
|
|
|
|
|
NOTES: Industry classifications are consistent with definitions of principal business activity listed in the 2020 Form 5500 Instructions. These principal business activity codes are based on the North American Industry Classification System. |
Participants are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
|
|
|
|
|
|
|
|
|
3 Religious, grantmaking, civic, professional, labor, and similar organizations. |
|
|
|
|
|
|
|
|
|
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
76
600
600
3
29
R30C1:R30C13
False
False
14
Table B7. Distribution of Active Participants |
by type of plan, 2020 |
(thousands) |
|
|
|
|
|
Type of Plan 1 |
Total Plans |
Single−Employer Plans 2 |
Multiemployer Plans 3 |
Multiple−Employer Plans |
Total |
97300 |
84708 |
7512 |
5080 |
Defined Benefit |
12010 |
7336 |
4122 |
552 |
Defined Contribution |
85290 |
77372 |
3390 |
4527 |
401(k)-Type |
72214 |
66650 |
1282 |
4282 |
403(b) |
6797 |
6592 |
2 |
203 |
Other Defined Contribution |
6279 |
4130 |
2107 |
42 |
|
NOTES: Active participants are tabulated as of the end of the plan year. |
The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 An annuity arrangement under Code section 403(b)(1) and custodial account arrangement under Code section 403(b)(7) are grouped under the category of 403(b). These numbers may not represent all 403(b) plans because those 403(b) plans that are not established or maintained by an employer as described in DOL Regulation 29 C.F.R § 2510.3-2(f) are exempt from filing a Form 5500/5500-SF. These data include only 403(b) plans that file the Form 5500 or Form 5500-SF. Additional information on 403(b) filing requirements can be found in Field Assistance Bulletins 2009-02 and 2010-01. Approximately 0.05% of individual account plans indicate both 401(k) and 403(b) plan characteristics. For purposes of this report, they are classified as 401(k)-type plans. |
|
|
|
2 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
3 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
|
|
|
|
|
|
|
|
|
|
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
600
600
3
13
R14C1:R14C5
False
False
Table B8. Number of Plans |
by type of plan and method of funding, 2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
Method of Funding |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding Arrangement for Investment of Assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
746610 |
46577 |
700034 |
739381 |
45032 |
694349 |
2438 |
1363 |
1076 |
4791 |
182 |
4609 |
|
Form 5500-SF 3 |
607187 |
36997 |
570190 |
605174 |
36970 |
568205 |
- |
- |
- |
2013 |
27 |
1985 |
|
Insurance |
3952 |
317 |
3635 |
3894 |
303 |
3591 |
11 |
6 |
5 |
46 |
7 |
39 |
|
Section 412(i) Ins. |
138 |
96 |
43 |
135 |
93 |
43 |
3 |
3 |
- |
- |
- |
- |
|
Trust |
83802 |
7460 |
76343 |
80733 |
6365 |
74368 |
1635 |
982 |
653 |
1434 |
112 |
1322 |
|
Trust and Insurance |
51395 |
1704 |
49692 |
49309 |
1298 |
48011 |
789 |
371 |
418 |
1297 |
35 |
1262 |
|
Not Determinable |
135 |
4 |
131 |
134 |
3 |
131 |
- |
- |
- |
1 |
1 |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding Arrangement for Payment of Benefits |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
746610 |
46577 |
700034 |
739381 |
45032 |
694349 |
2438 |
1363 |
1076 |
4791 |
182 |
4609 |
Form 5500-SF 3 |
607187 |
36997 |
570190 |
605174 |
36970 |
568205 |
- |
- |
- |
2013 |
27 |
1985 |
Insurance |
3704 |
339 |
3366 |
3643 |
324 |
3319 |
11 |
7 |
4 |
50 |
8 |
42 |
|
Section 412(i) Ins. |
136 |
93 |
43 |
133 |
91 |
43 |
2 |
2 |
- |
- |
- |
- |
|
Trust |
100627 |
7536 |
93091 |
96925 |
6256 |
90670 |
1973 |
1168 |
805 |
1728 |
112 |
1616 |
|
Trust and Insurance |
34822 |
1608 |
33213 |
33371 |
1389 |
31981 |
452 |
185 |
267 |
999 |
34 |
965 |
|
Not Determinable |
135 |
4 |
131 |
134 |
3 |
131 |
- |
- |
- |
1 |
1 |
- |
|
|
|
|
|
|
NOTES: Excludes "one-participant plans." |
|
Some totals do not equal the sum of the components due to rounding. |
|
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
|
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
3 Form 5500-SF filers do not report on the plan funding or benefit arrangements. |
*/ Fewer than 500 participants. |
|
|
|
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
79
600
600
3
19
1
False
False
Table B9. Number of Participants |
by type of plan and method of funding, 2020 |
(thousands) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Method of Funding |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding Arrangement for Investment of Assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
142274 |
31900 |
110374 |
119844 |
19814 |
100029 |
15061 |
10532 |
4528 |
7370 |
1554 |
5816 |
|
Form 5500-SF 3 |
13497 |
445 |
13052 |
13405 |
444 |
12961 |
- |
- |
- |
92 |
1 |
91 |
|
Insurance |
1494 |
146 |
1348 |
1457 |
139 |
1318 |
5 |
2 |
2 |
32 |
4 |
28 |
|
Section 412(i) Ins. |
14 |
1 |
13 |
14 |
1 |
13 |
*/ |
*/ |
- |
- |
- |
- |
|
Trust |
75947 |
20218 |
55729 |
64333 |
14391 |
49942 |
7640 |
5209 |
2431 |
3974 |
619 |
3355 |
|
Trust and Insurance |
51275 |
11090 |
40185 |
40588 |
4839 |
35749 |
7416 |
5321 |
2095 |
3271 |
930 |
2341 |
|
Not Determinable |
47 |
*/ |
47 |
47 |
*/ |
47 |
- |
- |
- |
*/ |
*/ |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Funding Arrangement for Payment of Benefits |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
142274 |
31900 |
110374 |
119844 |
19814 |
100029 |
15061 |
10532 |
4528 |
7370 |
1554 |
5816 |
|
Form 5500-SF 3 |
13497 |
445 |
13052 |
13405 |
444 |
12961 |
- |
- |
- |
92 |
1 |
91 |
|
Insurance |
1384 |
196 |
1187 |
1355 |
188 |
1167 |
5 |
3 |
2 |
24 |
5 |
19 |
|
Section 412(i) Ins. |
13 |
1 |
13 |
13 |
1 |
13 |
*/ |
*/ |
- |
- |
- |
- |
|
Trust |
88727 |
22235 |
66492 |
72594 |
13462 |
59132 |
11325 |
7748 |
3578 |
4807 |
1025 |
3782 |
|
Trust and Insurance |
38606 |
9023 |
29583 |
32430 |
5719 |
26710 |
3730 |
2781 |
949 |
2446 |
523 |
1924 |
|
Not Determinable |
47 |
*/ |
47 |
47 |
*/ |
47 |
- |
- |
- |
*/ |
*/ |
- |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NOTES: Participants are tabulated as of the end of the plan year. |
|
Excludes "one-participant plans." |
|
Some totals do not equal the sum of the components due to rounding. |
|
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
|
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
3 Form 5500-SF filers do not report on the plan funding or benefit arrangements. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
77
600
600
3
29
R30C1:R30C13
False
False
36
Table C1. Distribution of Assets |
by number of participants, 2020 |
(millions) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Participants |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
11909158 |
3543686 |
8365472 |
10479148 |
2691972 |
7787176 |
830630 |
626861 |
203769 |
599380 |
224853 |
374527 |
None or Not Reported |
7780 |
5760 |
2020 |
7750 |
5760 |
1990 |
**/ |
- |
**/ |
30 |
**/ |
30 |
2-9 |
209061 |
28134 |
180927 |
208625 |
28105 |
180520 |
2 |
- |
2 |
434 |
29 |
406 |
10-24 |
261206 |
14492 |
246714 |
260417 |
14485 |
245933 |
4 |
1 |
3 |
784 |
6 |
778 |
25-49 |
268304 |
8529 |
259775 |
266503 |
8486 |
258017 |
24 |
9 |
15 |
1777 |
34 |
1743 |
50-99 |
336100 |
12798 |
323302 |
332395 |
12560 |
319835 |
201 |
71 |
130 |
3504 |
167 |
3337 |
100-249 |
451611 |
33502 |
418108 |
441550 |
31842 |
409708 |
2084 |
1065 |
1020 |
7977 |
596 |
7381 |
250-499 |
437819 |
46985 |
390835 |
418466 |
42186 |
376280 |
7966 |
4175 |
3792 |
11387 |
624 |
10763 |
500-999 |
520720 |
98770 |
421950 |
481174 |
82753 |
398422 |
22435 |
13951 |
8483 |
17110 |
2066 |
15045 |
1,000-2,499 |
905945 |
211771 |
694174 |
802923 |
161710 |
641213 |
70968 |
45605 |
25363 |
32054 |
4456 |
27598 |
2,500-4,999 |
968134 |
273328 |
694806 |
836238 |
209402 |
626836 |
97049 |
55439 |
41609 |
34848 |
8487 |
26360 |
5,000-9,999 |
1106301 |
312268 |
794033 |
945865 |
230642 |
715223 |
95495 |
62092 |
33403 |
64941 |
19534 |
45408 |
10,000-19,999 |
1356977 |
468823 |
888153 |
1158652 |
363399 |
795253 |
113342 |
90329 |
23013 |
84983 |
15095 |
69888 |
20,000-49,999 |
2048037 |
692179 |
1355858 |
1779637 |
526792 |
1252846 |
159392 |
119582 |
39810 |
109008 |
45805 |
63202 |
50,000 or More |
3031163 |
1336347 |
1694816 |
2538952 |
973851 |
1565101 |
261667 |
234540 |
27127 |
230544 |
127955 |
102588 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
75
600
600
3
24
R25C1:R25C13
False
False
14
Table C2. Distribution of Assets |
by amount of assets, 2020 |
(millions) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Assets |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
11909158 |
3543686 |
8365472 |
10479148 |
2691972 |
7787176 |
830630 |
626861 |
203769 |
599380 |
224853 |
374527 |
$1-24K |
352 |
2 |
350 |
351 |
2 |
350 |
**/ |
**/ |
**/ |
1 |
- |
1 |
25-49K |
795 |
6 |
790 |
794 |
6 |
788 |
**/ |
**/ |
**/ |
1 |
- |
1 |
50-99K |
2505 |
44 |
2461 |
2498 |
43 |
2455 |
1 |
1 |
- |
6 |
**/ |
5 |
100-249K |
12443 |
586 |
11857 |
12406 |
582 |
11823 |
5 |
4 |
1 |
32 |
**/ |
32 |
250-499K |
30374 |
1905 |
28469 |
30284 |
1897 |
28387 |
10 |
8 |
2 |
80 |
1 |
79 |
500-999K |
78467 |
5744 |
72724 |
78198 |
5731 |
72467 |
16 |
11 |
5 |
253 |
2 |
251 |
1-2.49M |
254105 |
18936 |
235168 |
252806 |
18870 |
233936 |
87 |
45 |
42 |
1212 |
21 |
1191 |
2.5-4.9M |
314670 |
18692 |
295978 |
312082 |
18526 |
293556 |
290 |
134 |
156 |
2297 |
32 |
2265 |
5-9.9M |
354481 |
14141 |
340340 |
349008 |
13728 |
335280 |
985 |
347 |
638 |
4488 |
66 |
4421 |
10-24.9M |
497695 |
26848 |
470847 |
481294 |
24217 |
457077 |
5069 |
2299 |
2770 |
11332 |
332 |
11000 |
25-49.9M |
410702 |
39138 |
371564 |
385726 |
32568 |
353158 |
12389 |
5813 |
6576 |
12588 |
758 |
11830 |
50-74.9M |
278589 |
37654 |
240935 |
255910 |
29437 |
226473 |
13903 |
7723 |
6180 |
8777 |
495 |
8282 |
75-99.9M |
209762 |
34580 |
175182 |
188412 |
25849 |
162563 |
15066 |
8144 |
6921 |
6285 |
587 |
5697 |
100-149.9M |
321640 |
66894 |
254746 |
282704 |
49160 |
233544 |
25683 |
16584 |
9098 |
13254 |
1149 |
12105 |
150-199.9M |
255227 |
56932 |
198294 |
222162 |
42085 |
180077 |
23745 |
13293 |
10452 |
9319 |
1555 |
7765 |
200-249.9M |
222792 |
57255 |
165538 |
192943 |
43150 |
149793 |
20905 |
12328 |
8577 |
8944 |
1777 |
7168 |
250-499.9M |
796550 |
206888 |
589662 |
672931 |
147967 |
524964 |
87239 |
53849 |
33389 |
36380 |
5071 |
31309 |
500-999.9M |
1007694 |
290054 |
717640 |
862096 |
209046 |
653050 |
102021 |
68846 |
33175 |
43577 |
12162 |
31415 |
1-2.49B |
1554024 |
499555 |
1054468 |
1300306 |
365945 |
934361 |
161466 |
114261 |
47205 |
92251 |
19349 |
72902 |
2.5B or More |
5306290 |
2167831 |
3138460 |
4596237 |
1663164 |
2933073 |
361749 |
323171 |
38579 |
348304 |
181496 |
166808 |
|
NOTES: Assets are tabulated as of the end of the plan year. |
NOTES: Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
The letters K, M, and B denote thousands, millions, and billions, respectively. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
81
600
600
3
28
R29C1:R29C13
False
False
14
Table C3. Distribution of Assets |
by industry, 2020 |
(millions) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Industry |
Total Plans |
Single−Employer Plans 1 |
Multiemployer Plans 2 |
Multiple−Employer Plans |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
Defined Benefit |
Defined Contribution |
Total |
11909158 |
3543686 |
8365472 |
10479148 |
2691972 |
7787176 |
830630 |
626861 |
203769 |
599380 |
224853 |
374527 |
|
|
|
|
|
|
|
|
|
Agriculture |
38080 |
6611 |
31469 |
31506 |
3314 |
28192 |
692 |
468 |
224 |
5883 |
2829 |
3053 |
|
|
|
|
Mining |
95124 |
26373 |
68751 |
86182 |
22641 |
63541 |
3959 |
3732 |
228 |
4982 |
- |
4982 |
|
|
|
|
|
|
|
Utilities |
416778 |
234325 |
182453 |
384145 |
218797 |
165348 |
1280 |
19 |
1260 |
31353 |
15509 |
15844 |
|
|
|
|
|
|
Construction |
653271 |
285188 |
368083 |
215868 |
5400 |
210468 |
422544 |
278978 |
143566 |
14859 |
811 |
14049 |
|
|
|
|
|
|
|
|
|
Manufacturing |
3318373 |
1260841 |
2057533 |
3100361 |
1143992 |
1956368 |
35535 |
32428 |
3106 |
182478 |
84420 |
98058 |
|
|
|
|
|
|
|
|
Wholesale Trade |
369056 |
51418 |
317638 |
346475 |
46952 |
299523 |
2393 |
1852 |
541 |
20188 |
2613 |
17575 |
|
|
|
|
|
|
|
|
|
Retail Trade |
496948 |
73366 |
423582 |
450530 |
35437 |
415092 |
38879 |
37915 |
964 |
7539 |
14 |
7526 |
|
|
|
|
|
|
|
|
Transportation |
500294 |
214221 |
286073 |
359481 |
97926 |
261555 |
124253 |
112295 |
11958 |
16560 |
4001 |
12559 |
|
|
|
|
|
|
Information |
602156 |
182048 |
420108 |
491632 |
108631 |
383002 |
19923 |
13113 |
6810 |
90600 |
60304 |
30296 |
|
|
|
|
|
|
|
|
Finance, Insurance, and Real Estate |
1534463 |
517746 |
1016718 |
1405577 |
432073 |
973504 |
84674 |
69256 |
15419 |
44212 |
16417 |
27795 |
|
|
|
|
|
|
|
|
Services |
3752757 |
652648 |
3100109 |
3506666 |
556679 |
2949988 |
77031 |
61350 |
15682 |
169059 |
34619 |
134440 |
|
|
|
|
|
|
|
|
|
Misc. Organizations 3 |
127247 |
38902 |
88345 |
96117 |
20131 |
75986 |
19467 |
15454 |
4012 |
11663 |
3317 |
8346 |
|
|
|
|
|
|
|
|
|
Industry Not Reported |
4611 |
- |
4611 |
4608 |
- |
4608 |
**/ |
- |
**/ |
3 |
- |
3 |
|
|
|
|
|
|
|
|
|
NOTES: Industry classifications are consistent with definitions of principal business activity listed in the 2020 Form 5500 Instructions. These principal business activity codes are based on the North American Industry Classification System. |
Assets are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This report defines Single-Employer as single-employer plans and plans of controlled groups of corporations that are filing as a single-employer plan in accordance with the Form 5500 instructions. All defined benefit plans paying premiums to PBGC's single-employer program are included (except for those that indicated being multiple-employer plans on the Form 5500 or Form 5500-SF). |
2 This report defines all defined benefit plans paying premiums to PBGC's multiemployer program to be multiemployer plans. |
3 Religious, grantmaking, civic, professional, labor, and similar organizations. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
76
600
600
3
24
R25
False
False
14
Table C4. Balance Sheet of Pension Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets |
|
|
|
Total Noninterest-Bearing Cash |
12002 |
6556 |
5445 |
|
|
|
Employer Contrib. Receivable |
72108 |
36620 |
35487 |
|
|
|
Participant Contrib. Receivable |
2655 |
19 |
2636 |
|
|
Other Receivables |
47624 |
31988 |
15636 |
|
|
|
Interest-Bearing Cash |
93341 |
35815 |
57526 |
|
|
|
U.S. Government Securities |
210356 |
172485 |
37871 |
|
|
|
Corporate Debt Instruments: Preferred |
76052 |
67931 |
8121 |
|
|
|
Corporate Debt Instruments: All Other |
259936 |
236661 |
23276 |
|
|
|
Preferred Stock |
2042 |
1479 |
562 |
|
|
Common Stock |
367366 |
255009 |
112356 |
|
|
|
Partnership/Joint Venture Interests |
196189 |
187398 |
8791 |
|
|
Real Estate (Other Than Employer Real Property) |
18826 |
18167 |
659 |
|
|
Loans (Other Than to Participants) |
5681 |
4267 |
1415 |
|
|
|
Participant Loans |
74368 |
73 |
74295 |
|
|
Assets in Common/Collective Trusts |
2218894 |
451377 |
1767516 |
|
|
|
Assets in Pooled Separate Accounts |
214882 |
42130 |
172752 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
6
3
6
1
False
False
Table C4. Balance Sheet of Pension Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets in Master Trusts |
2756765 |
1444731 |
1312033 |
|
|
|
Assets in 103-12 Investment Entities |
125902 |
118199 |
7702 |
|
|
|
Assets in Registered Investment Companies |
3222880 |
259540 |
2963341 |
|
|
|
Assets in Insurance Co. General Accounts |
218050 |
13974 |
204076 |
|
|
|
Other General Investments |
223925 |
84889 |
139036 |
|
|
|
Employer Securities |
330927 |
2232 |
328695 |
|
|
|
Employer Real Property |
157 |
118 |
39 |
Buildings and Other Property Used by Plan |
833 |
809 |
24 |
Other or Unspecified Assets |
74946 |
1504 |
73442 |
|
|
|
Total Assets |
10826707 |
3473973 |
7352734 |
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
Benefit Claims Payable |
2685 |
1312 |
1373 |
|
|
Operating Payables |
10196 |
8310 |
1886 |
|
|
|
Acquisition Indebtedness |
15923 |
1902 |
14021 |
|
|
|
Other Liabilities |
63755 |
45471 |
18284 |
|
|
|
Total Liabilities |
92559 |
56995 |
35564 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
10734148 |
3416978 |
7317171 |
|
|
|
|
|
|
|
NOTES: Participants, assets, and liabilities are tabulated as of the end of the plan year. |
|
|
|
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
|
|
|
Some totals do not equal the sum of the components due to rounding. |
|
|
|
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
|
|
|
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
25
R26C1:R26C4
False
False
Table C4(a). Spread Balance Sheet of Pension Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets |
|
|
|
Total Noninterest-Bearing Cash |
20045 |
12485 |
7561 |
|
|
|
Employer Contrib. Receivable |
72102 |
36589 |
35513 |
|
|
|
Participant Contrib. Receivable |
2655 |
19 |
2636 |
|
|
Other Receivables |
157642 |
83856 |
73786 |
|
|
|
Interest-Bearing Cash |
273638 |
112384 |
161254 |
|
|
|
U.S. Government Securities |
707894 |
413686 |
294208 |
|
|
|
Corporate Debt Instruments: Preferred |
193740 |
144533 |
49207 |
|
|
|
Corporate Debt Instruments: All Other |
796334 |
614940 |
181394 |
|
|
|
Preferred Stock |
26431 |
20597 |
5834 |
|
|
Common Stock |
2443243 |
921496 |
1521747 |
|
|
|
Partnership/Joint Venture Interests |
394695 |
375803 |
18892 |
|
|
Real Estate (Other Than Employer Real Property) |
62436 |
49412 |
13025 |
|
|
Loans (Other Than to Participants) |
31024 |
16603 |
14422 |
|
|
|
Participant Loans |
75000 |
95 |
74905 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
19
3
False
False
Table C4(a). Spread Balance Sheet of Pension Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets in Registered Investment Companies |
4234260 |
411743 |
3822517 |
|
|
|
Assets in Insurance Co. General Accounts |
267802 |
20044 |
247758 |
|
|
|
Other General Investments |
558849 |
225647 |
333202 |
|
|
|
Employer Securities |
432751 |
11393 |
421358 |
|
|
|
Employer Real Property |
385 |
336 |
49 |
Buildings and Other Property Used by Plan |
833 |
809 |
24 |
Other or Unspecified Assets |
74946 |
1504 |
73442 |
|
|
|
Total Assets |
10826707 |
3473973 |
7352734 |
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
Benefit Claims Payable |
2685 |
1312 |
1373 |
|
|
Operating Payables |
10196 |
8310 |
1886 |
|
|
|
Acquisition Indebtedness |
15923 |
1902 |
14021 |
|
|
|
Other Liabilities |
63755 |
45471 |
18284 |
|
|
|
Total Liabilities |
92559 |
56995 |
35564 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
10734148 |
3416978 |
7317171 |
|
|
|
|
|
|
|
NOTE: This table provides an estimate of the underlying asset allocation of investments in direct filing entities (DFEs), even if there were multiple layers of investment through various DFEs. Hence, there are no line items for interests in common/collective trusts, master trust investment accounts, pooled separate accounts or 103-12 Investment Entities. The dollar amounts of these investments are included on the line items in this table. For information on the methodology used to make these estimates, see the DFE User Guide at https://www.dol.gov/agencies/ebsa/researchers/statistics/retirement-bulletins/direct-filing-entity. |
|
|
|
Participants, assets, and liabilities are tabulated as of the end of the plan year. |
|
|
|
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
|
|
|
Some totals do not equal the sum of the components due to rounding. |
|
|
|
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
|
|
|
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
24
R25C1:R25C4
False
False
Table C5(a). Balance Sheet of Single-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets |
|
|
|
Total Noninterest-Bearing Cash |
8410 |
3667 |
4743 |
|
|
|
Employer Contrib. Receivable |
58974 |
26025 |
32949 |
|
|
|
Participant Contrib. Receivable |
2403 |
13 |
2390 |
|
|
Other Receivables |
33343 |
23243 |
10100 |
|
|
|
Interest-Bearing Cash |
72628 |
20150 |
52479 |
|
|
|
U.S. Government Securities |
162131 |
137295 |
24836 |
|
|
|
Corporate Debt Instruments: Preferred |
60361 |
55390 |
4971 |
|
|
|
Corporate Debt Instruments: All Other |
212272 |
197524 |
14748 |
|
|
|
Preferred Stock |
1718 |
1198 |
519 |
|
|
Common Stock |
242126 |
149594 |
92532 |
|
|
|
Partnership/Joint Venture Interests |
100442 |
96677 |
3766 |
|
|
Real Estate (Other Than Employer Real Property) |
6686 |
6544 |
142 |
|
|
Loans (Other Than to Participants) |
3435 |
2180 |
1255 |
|
|
|
Participant Loans |
69138 |
20 |
69119 |
|
|
Assets in Common/Collective Trusts |
1870887 |
264414 |
1606473 |
|
|
|
Assets in Pooled Separate Accounts |
175256 |
29242 |
146014 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
3
22
3
False
False
Table C5(a). Balance Sheet of Single-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets in Master Trusts |
2541571 |
1282396 |
1259175 |
|
|
|
Assets in 103-12 Investment Entities |
85287 |
81318 |
3969 |
|
|
|
Assets in Registered Investment Companies |
2919436 |
180193 |
2739243 |
|
|
|
Assets in Insurance Co. General Accounts |
199619 |
12782 |
186837 |
|
|
|
Other General Investments |
178630 |
49191 |
129439 |
|
|
|
Employer Securities |
325077 |
1930 |
323147 |
|
|
|
Employer Real Property |
149 |
110 |
39 |
Buildings and Other Property Used by Plan |
1 |
1 |
**/ |
Other or Unspecified Assets |
73475 |
1478 |
71997 |
|
|
|
Total Assets |
9403457 |
2622576 |
6780881 |
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
Benefit Claims Payable |
2334 |
1211 |
1123 |
|
|
Operating Payables |
7975 |
6266 |
1708 |
|
|
|
Acquisition Indebtedness |
15561 |
1540 |
14020 |
|
|
|
Other Liabilities |
43080 |
27216 |
15864 |
|
|
|
Total Liabilities |
68949 |
36234 |
32716 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
9334508 |
2586342 |
6748166 |
|
|
|
|
NOTES: Participants, assets, and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
33
5
False
False
Table C5(b). Balance Sheet of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets |
|
|
|
|
|
|
Total Noninterest-Bearing Cash |
3271 |
2793 |
478 |
|
|
|
Employer Contrib. Receivable |
8876 |
7924 |
952 |
|
|
Participant Contrib. Receivable |
76 |
4 |
72 |
|
|
|
Other Receivables |
9294 |
8394 |
901 |
|
|
|
Interest-Bearing Cash |
16977 |
14856 |
2121 |
|
|
|
U.S. Government Securities |
41796 |
31602 |
10194 |
|
|
|
Corporate Debt Instruments: Preferred |
13927 |
11286 |
2641 |
|
|
|
Corporate Debt Instruments: All Other |
40350 |
32773 |
7578 |
|
|
Preferred Stock |
278 |
241 |
37 |
|
|
|
Common Stock |
110242 |
99148 |
11093 |
|
|
Partnership/Joint Venture Interests |
88988 |
84680 |
4307 |
|
|
Real Estate (Other Than Employer Real Property) |
11740 |
11225 |
515 |
|
|
|
Loans (Other Than to Participants) |
2084 |
1981 |
104 |
|
|
Participant Loans |
1098 |
53 |
1045 |
|
|
|
Assets in Common/Collective Trusts |
215140 |
167037 |
48103 |
|
|
|
Assets in Pooled Separate Accounts |
22475 |
11076 |
11399 |
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
22
3
False
False
Table C5(b). Balance Sheet of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets in Master Trusts |
11161 |
7244 |
3917 |
|
|
|
Assets in 103-12 Investment Entities |
32728 |
29036 |
3692 |
|
|
|
Assets in Registered Investment Companies |
148209 |
71089 |
77120 |
|
|
|
Assets in Insurance Co. General Accounts |
13008 |
1060 |
11948 |
|
|
|
Other General Investments |
37589 |
32209 |
5380 |
|
|
|
Employer Securities |
302 |
302 |
**/ |
Employer Real Property |
9 |
9 |
**/ |
Buildings and Other Property Used by Plan |
749 |
733 |
16 |
|
|
|
Other or Unspecified Assets |
33 |
26 |
7 |
|
|
|
Total Assets |
830399 |
626779 |
203620 |
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
Benefit Claims Payable |
295 |
59 |
236 |
|
|
|
Operating Payables |
2069 |
1939 |
130 |
|
|
|
Acquisition Indebtedness |
358 |
358 |
**/ |
|
|
|
Other Liabilities |
19329 |
17270 |
2059 |
|
|
|
Total Liabilities |
22051 |
19625 |
2426 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
808348 |
607154 |
201194 |
|
NOTES: Participants, assets, and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
28
6
False
False
Table C5(c). Balance Sheet of Multiple-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets |
|
|
|
|
|
|
Total Noninterest-Bearing Cash |
321 |
97 |
224 |
|
|
|
Employer Contrib. Receivable |
4257 |
2671 |
1587 |
|
|
Participant Contrib. Receivable |
176 |
2 |
173 |
|
|
|
Other Receivables |
4987 |
351 |
4635 |
|
|
|
Interest-Bearing Cash |
3736 |
809 |
2926 |
|
|
|
U.S. Government Securities |
6429 |
3588 |
2841 |
|
|
|
Corporate Debt Instruments: Preferred |
1764 |
1255 |
509 |
|
|
|
Corporate Debt Instruments: All Other |
7314 |
6364 |
950 |
|
|
Preferred Stock |
46 |
40 |
6 |
|
|
|
Common Stock |
14998 |
6267 |
8731 |
|
|
Partnership/Joint Venture Interests |
6759 |
6041 |
718 |
|
|
Real Estate (Other Than Employer Real Property) |
400 |
398 |
2 |
|
|
|
Loans (Other Than to Participants) |
162 |
106 |
56 |
|
|
Participant Loans |
4131 |
**/ |
4131 |
|
|
|
Assets in Common/Collective Trusts |
132867 |
19927 |
112941 |
|
|
|
Assets in Pooled Separate Accounts |
17151 |
1812 |
15339 |
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
22
3
False
False
Table C5(c). Balance Sheet of Multiple-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total |
Defined Benefit |
Defined Contribution |
Assets in Master Trusts |
204032 |
155091 |
48941 |
|
|
|
Assets in 103-12 Investment Entities |
7887 |
7846 |
42 |
|
|
|
Assets in Registered Investment Companies |
155235 |
8257 |
146978 |
|
|
|
Assets in Insurance Co. General Accounts |
5423 |
132 |
5291 |
|
|
|
Other General Investments |
7706 |
3488 |
4218 |
|
|
|
Employer Securities |
5547 |
- |
5547 |
Employer Real Property |
- |
- |
- |
Buildings and Other Property Used by Plan |
83 |
75 |
8 |
|
|
|
Other or Unspecified Assets |
1438 |
- |
1438 |
|
|
|
Total Assets |
592851 |
224618 |
368233 |
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
Benefit Claims Payable |
56 |
42 |
14 |
|
|
|
Operating Payables |
153 |
105 |
48 |
|
|
|
Acquisition Indebtedness |
4 |
4 |
**/ |
|
|
|
Other Liabilities |
1345 |
985 |
360 |
|
|
|
Total Liabilities |
1558 |
1136 |
422 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
591293 |
223482 |
367811 |
|
NOTES: Participants, assets, and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
29
6
False
False
Table C6. Percentage Distribution of Assets in Defined Benefit Plans |
with 100 or More Participants |
by type of asset and amount of assets, 2020 |
Type of Asset |
Total |
$1-0.9M |
$1.0M-9.9M |
$10.0M-249.9M |
$250.0M-999.9M |
$1.0B or More |
|
|
|
|
|
|
|
Total Assets |
1 |
1 |
1 |
1 |
1 |
1 |
|
|
|
|
|
|
|
Cash |
1.2 |
55.7 |
5.8 |
2 |
1.5 |
1.1000000000000001 |
Receivables |
2 |
11.7 |
3.1 |
2.1 |
1.8 |
2 |
U.S. Government Securities |
5 |
1.3 |
1.7 |
2.7 |
3.9 |
5.4 |
Corporate Debt Instruments: Preferred |
2 |
- |
0.6 |
0.8 |
1.3 |
2.2000000000000002 |
Corporate Debt Instruments: All Other |
6.8 |
2.7 |
2.2999999999999998 |
4 |
5.7 |
7.4 |
|
Corporate Stocks |
7.4 |
1 |
7.1 |
7.1 |
7.8 |
7.3 |
Real Estate (Other Than Employer Real Property) |
0.5 |
- |
0.1 |
0.2 |
0.4 |
0.6 |
Loans |
0.1 |
- |
*/ |
*/ |
*/ |
0.2 |
Assets in Common/Collective Trusts |
13 |
*/ |
6.8 |
18.2 |
22.3 |
10.7 |
Assets in Pooled Separate Accounts |
1.2 |
2.7 |
11.7 |
4 |
1.4 |
0.8 |
Assets in Master Trusts |
41.6 |
2.5 |
6.3 |
17.8 |
27.6 |
47 |
Assets in 103-12 Investment Entities |
3.4 |
- |
0.1 |
1.7 |
2.5 |
3.8 |
Assets in Registered Investment Companies |
7.5 |
11.8 |
41.8 |
32.799999999999997 |
15 |
3.1 |
Assets in Ins. Co. General Accounts |
0.4 |
4.9000000000000004 |
3.3 |
0.9 |
0.5 |
0.3 |
Employer Securities |
0.1 |
- |
0.1 |
0.1 |
0.1 |
0.1 |
Other or Unspecified Investments |
7.9 |
5.6 |
9.1 |
5.6 |
8.1 |
8.1 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
The letters M and B in the column headings denote millions and billions, respectively. |
Percentage distributions do not sum to 100 percent due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Less than 0.05 percent. |
**/ Less than $500,000. |
|
|
|
- Missing or zero. |
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
95
600
600
3
19
7
False
False
Table C7. Percentage Distribution of Assets in Defined Contribution Plans |
with 100 or More Participants |
by type of asset and amount of assets, 2020 |
|
|
|
|
|
|
|
Type of Asset |
Total |
$1-0.9M |
$1.0M-9.9M |
$10.0M-249.9M |
$250.0M-999.9M |
$1.0B or More |
|
|
|
|
|
|
|
Total Assets |
1 |
1 |
1 |
1 |
1 |
1 |
|
|
|
|
|
|
|
Cash |
0.9 |
1.4 |
1.1000000000000001 |
1.2 |
1 |
0.7 |
Receivables |
0.7 |
1 |
0.6 |
0.7 |
0.7 |
0.8 |
U.S. Government Securities |
0.5 |
*/ |
*/ |
0.1 |
0.2 |
0.8 |
Corporate Debt Instruments: Preferred |
0.1 |
*/ |
*/ |
*/ |
0.1 |
0.2 |
Corporate Debt Instruments: All Other |
0.3 |
*/ |
*/ |
0.1 |
0.2 |
0.4 |
Corporate Stocks |
1.5 |
0.2 |
0.3 |
0.7 |
0.6 |
2.2000000000000002 |
Real Estate (Other Than Employer Real Property) |
*/ |
*/ |
*/ |
*/ |
*/ |
*/ |
Loans |
1 |
0.9 |
1.1000000000000001 |
1 |
1.1000000000000001 |
1 |
Assets in Common/Collective Trusts |
24 |
3.8 |
4.9000000000000004 |
9.1999999999999993 |
18.899999999999999 |
32.4 |
Assets in Pooled Separate Accounts |
2.2999999999999998 |
11 |
12.9 |
5.2 |
2.1 |
0.8 |
Assets in Master Trusts |
17.8 |
0.1 |
0.1 |
1.7 |
8.3000000000000007 |
28 |
Assets in 103-12 Investment Entities |
0.1 |
0.3 |
0.2 |
0.1 |
0.1 |
0.1 |
Assets in Registered Investment Companies |
40.299999999999997 |
40.5 |
54.5 |
68.2 |
58.4 |
23 |
Assets in Ins. Co. General Accounts |
2.8 |
1.5 |
3.3 |
4.2 |
3.6 |
1.9 |
Employer Securities |
4.5 |
1.6 |
2 |
3.9 |
3.5 |
5.0999999999999996 |
Other or Unspecified Investments |
3 |
37.9 |
18.899999999999999 |
3.6 |
1.4 |
2.6 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
The letters M and B in the column headings denote millions and billions, respectively. |
Percentage distributions do not sum to 100 percent due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Less than 0.05 percent. |
**/ Less than $500,000. |
|
|
|
- Missing or zero. |
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
95
600
600
3
28
8
False
False
Table C8. Income Statement of Pension Plans With 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Income |
|
|
|
Contributions Received or Receivable From: |
|
|
|
Employers |
265673 |
97418 |
168255 |
|
|
|
|
Participants |
288812 |
577 |
288235 |
|
|
|
Others (Including Rollovers) |
51090 |
2112 |
48978 |
|
|
|
Noncash Contributions |
1439 |
48 |
1392 |
|
Total Contributions |
607015 |
100155 |
506860 |
|
|
|
|
Interest Earnings: |
|
|
|
|
|
|
|
Interest-Bearing Cash |
1193 |
532 |
661 |
|
|
|
|
U.S. Government Securities |
3802 |
3151 |
651 |
|
|
|
|
Corporate Debt Instruments |
10884 |
10036 |
848 |
|
|
|
Non-Participant Loans |
124 |
54 |
70 |
|
Participant Loans |
3931 |
1 |
3930 |
|
|
|
Other or Unspecified Interest |
10111 |
3460 |
6651 |
|
|
|
|
Total Interest Earnings |
30045 |
17234 |
12811 |
|
|
|
|
Dividends: |
|
|
|
|
|
|
|
Preferred Stock |
657 |
119 |
538 |
|
|
|
Common Stock |
12167 |
4564 |
7603 |
|
|
|
|
Registered Investment Company Shares (e.g., Mutual Funds) |
96952 |
6043 |
90909 |
|
|
|
|
Total Dividend Income |
109776 |
10726 |
99050 |
|
|
|
|
Rents |
243 |
232 |
12 |
|
Net Gain (Loss) on Sale of Assets |
21468 |
16645 |
4824 |
|
|
|
|
Unrealized Appreciation (Depreciation): |
|
|
|
|
|
|
|
Unrealized Appreciation of Real Estate |
2238 |
539 |
1699 |
|
|
|
Other Unrealized Appreciation |
122523 |
80267 |
42256 |
|
|
|
|
Total Unrealized Appreciation (Depreciation) |
124761 |
80806 |
43955 |
|
|
|
|
Net Investment Gain (Loss) From: |
|
|
|
|
|
|
|
Common/Collective Trusts |
268443 |
47493 |
220950 |
|
|
|
|
Pooled Separate Accounts |
32178 |
6713 |
25465 |
|
|
|
Master Trusts |
336400 |
185019 |
151380 |
|
|
|
|
103-12 Investment Entities |
12117 |
11105 |
1012 |
|
|
|
Registered Investment Companies |
352009 |
20059 |
331950 |
|
|
|
|
Other or Unspecified Income |
34430 |
5798 |
28632 |
|
|
|
Total Income |
1928885 |
501985 |
1426900 |
|
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
87
600
600
15
3
38
3
False
False
Table C8. Income Statement of Pension Plans With 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Expenses |
|
|
|
Benefit Payments and Payments to Provide |
|
|
|
|
Benefits: |
|
|
|
Direct Benefit Payments |
808697 |
219130 |
589567 |
Payments to Insurance Carriers for Benefits |
14983 |
13723 |
1260 |
Other or Unspecified Benefits |
8299 |
2788 |
5511 |
Total Benefit Payments |
831980 |
235641 |
596339 |
Interest Expense |
714 |
38 |
676 |
Corrective Distributions |
714 |
**/ |
713 |
Deemed Distribution of Participant Loans |
784 |
**/ |
784 |
Administrative Expenses: |
|
|
|
Professional Fees |
2535 |
1906 |
629 |
Contract Administrator Fees |
2534 |
893 |
1641 |
Investment Advisory and Management Fees |
6280 |
4533 |
1747 |
Other or Unspecified Admin. Expenses |
8135 |
5520 |
2615 |
Total Administrative Expenses |
19484 |
12852 |
6632 |
Unspecified Expenses |
56 |
2 |
54 |
Total Expenses |
853731 |
248533 |
605198 |
|
|
|
|
Net Income |
1075154 |
253452 |
821701 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
40
9
False
False
Table C9(a). Income Statement of Single-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Income |
|
|
|
Contributions Received or Receivable From: |
|
|
|
Employers |
206886 |
57068 |
149818 |
Participants |
270430 |
367 |
270063 |
Others (Including Rollovers) |
45936 |
142 |
45794 |
Noncash Contributions |
1332 |
48 |
1284 |
Total Contributions |
524583 |
57625 |
466959 |
Interest Earnings: |
|
|
|
Interest-Bearing Cash |
988 |
413 |
575 |
U.S. Government Securities |
2749 |
2329 |
420 |
Corporate Debt Instruments |
8910 |
8418 |
492 |
Non-Participant Loans |
92 |
32 |
60 |
Participant Loans |
3660 |
1 |
3659 |
Other or Unspecified Interest |
7874 |
1801 |
6074 |
Total Interest Earnings |
24274 |
12994 |
11280 |
Dividends: |
|
|
|
Preferred Stock |
636 |
105 |
530 |
Common Stock |
9635 |
2525 |
7110 |
Registered Investment Company Shares (e.g., Mutual Funds) |
88786 |
4207 |
84579 |
Total Dividend Income |
99056 |
6837 |
92219 |
Rents |
72 |
64 |
7 |
Net Gain (Loss) on Sale of Assets |
17233 |
12478 |
4755 |
Unrealized Appreciation (Depreciation): |
|
|
|
Unrealized Appreciation of Real Estate |
2183 |
513 |
1670 |
Other Unrealized Appreciation |
98916 |
60984 |
37932 |
Total Unrealized Appreciation (Depreciation) |
101099 |
61497 |
39602 |
Net Investment Gain (Loss) From: |
|
|
|
Common/Collective Trusts |
233318 |
30417 |
202901 |
Pooled Separate Accounts |
27834 |
5929 |
21905 |
Master Trusts |
309415 |
164132 |
145282 |
103-12 Investment Entities |
8421 |
7706 |
715 |
Registered Investment Companies |
326744 |
17251 |
309493 |
Other or Unspecified Income |
32155 |
4560 |
27595 |
Total Income |
1704205 |
381491 |
1322713 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
85
600
600
3
39
3
False
False
Table C9(a). Income Statement of Single-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Expenses |
|
|
|
Benefit Payments and Payments to Provide |
|
|
|
Benefits: |
|
|
|
Direct Benefit Payments |
698478 |
155554 |
542924 |
Payments to Insurance Carriers for Benefits |
12715 |
11476 |
1239 |
Other or Unspecified Benefits |
7565 |
2358 |
5207 |
Total Benefit Payments |
718758 |
169388 |
549370 |
Interest Expense |
676 |
2 |
675 |
Corrective Distributions |
656 |
**/ |
656 |
Deemed Distribution of Participant Loans |
702 |
- |
702 |
Administrative Expenses: |
|
|
|
Professional Fees |
1933 |
1435 |
499 |
Contract Administrator Fees |
1935 |
556 |
1379 |
Investment Advisory and Management Fees |
3770 |
2356 |
1414 |
Other or Unspecified Admin. Expenses |
6237 |
3920 |
2316 |
Total Administrative Expenses |
13876 |
8267 |
5609 |
Unspecified Expenses |
55 |
1 |
54 |
Total Expenses |
734724 |
177658 |
557065 |
|
|
|
|
Net Income |
969481 |
203833 |
765648 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
12
3
31
7
False
False
Table C9(b). Income Statement of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Income |
|
|
|
Contributions Received or Receivable From: |
|
|
|
Employers |
44284 |
34130 |
10153 |
Participants |
1744 |
32 |
1712 |
Others (Including Rollovers) |
2164 |
1969 |
195 |
Noncash Contributions |
1 |
- |
1 |
Total Contributions |
48192 |
36132 |
12061 |
Interest Earnings: |
|
|
|
Interest-Bearing Cash |
147 |
109 |
38 |
U.S. Government Securities |
904 |
688 |
215 |
Corporate Debt Instruments |
1688 |
1371 |
317 |
Non-Participant Loans |
17 |
16 |
1 |
Participant Loans |
55 |
1 |
54 |
Other or Unspecified Interest |
1957 |
1593 |
365 |
Total Interest Earnings |
4768 |
3777 |
990 |
Dividends: |
|
|
|
Preferred Stock |
13 |
12 |
2 |
Common Stock |
2086 |
1890 |
196 |
Registered Investment Company Shares (e.g., Mutual Funds) |
3763 |
1666 |
2098 |
Total Dividend Income |
5862 |
3567 |
2295 |
Rents |
167 |
165 |
2 |
Net Gain (Loss) on Sale of Assets |
3835 |
3435 |
400 |
Unrealized Appreciation (Depreciation): |
|
|
|
Unrealized Appreciation of Real Estate |
17 |
-13 |
30 |
Other Unrealized Appreciation |
19747 |
17233 |
2514 |
Total Unrealized Appreciation (Depreciation) |
19764 |
17220 |
2543 |
Net Investment Gain (Loss) From: |
|
|
|
Common/Collective Trusts |
18939 |
15120 |
3819 |
Pooled Separate Accounts |
1782 |
571 |
1211 |
Master Trusts |
234 |
469 |
-234 |
103-12 Investment Entities |
2044 |
1753 |
292 |
Registered Investment Companies |
8203 |
2432 |
5770 |
Other or Unspecified Income |
1155 |
997 |
158 |
Total Income |
114944 |
85638 |
29306 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
85
600
600
18
3
39
3
False
False
Table C9(b). Income Statement of Multiemployer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Expenses |
|
|
|
Benefit Payments and Payments to Provide |
|
|
|
Benefits: |
|
|
|
Direct Benefit Payments |
60257 |
46758 |
13499 |
Payments to Insurance Carriers for Benefits |
35 |
29 |
6 |
Other or Unspecified Benefits |
325 |
300 |
26 |
Total Benefit Payments |
60618 |
47087 |
13531 |
Interest Expense |
37 |
37 |
**/ |
Corrective Distributions |
4 |
- |
4 |
Deemed Distribution of Participant Loans |
49 |
- |
49 |
Administrative Expenses: |
|
|
|
Professional Fees |
478 |
390 |
89 |
Contract Administrator Fees |
422 |
317 |
105 |
Investment Advisory and Management Fees |
2288 |
2059 |
230 |
Other or Unspecified Admin. Expenses |
1294 |
1134 |
160 |
Total Administrative Expenses |
4482 |
3899 |
583 |
Unspecified Expenses |
**/ |
**/ |
- |
Total Expenses |
65190 |
51023 |
14167 |
|
|
|
|
Net Income |
49754 |
34615 |
15139 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
27
R28C1:R29C4
False
False
Table C9(c). Income Statement of Multiple-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Income |
|
|
|
Contributions Received or Receivable From: |
|
|
|
Employers |
14503 |
6220 |
8283 |
Participants |
16639 |
178 |
16461 |
Others (Including Rollovers) |
2990 |
1 |
2990 |
Noncash Contributions |
107 |
- |
107 |
Total Contributions |
34239 |
6399 |
27840 |
Interest Earnings: |
|
|
|
Interest-Bearing Cash |
57 |
9 |
48 |
U.S. Government Securities |
149 |
133 |
16 |
Corporate Debt Instruments |
286 |
247 |
39 |
Non-Participant Loans |
15 |
6 |
8 |
Participant Loans |
216 |
**/ |
216 |
Other or Unspecified Interest |
280 |
67 |
213 |
Total Interest Earnings |
1003 |
463 |
541 |
Dividends: |
|
|
|
Preferred Stock |
8 |
2 |
6 |
Common Stock |
446 |
149 |
297 |
Registered Investment Company Shares (e.g., Mutual Funds) |
4403 |
171 |
4233 |
Total Dividend Income |
4857 |
322 |
4535 |
Rents |
5 |
2 |
3 |
Net Gain (Loss) on Sale of Assets |
400 |
732 |
-332 |
Unrealized Appreciation (Depreciation): |
|
|
|
Unrealized Appreciation of Real Estate |
38 |
38 |
**/ |
Other Unrealized Appreciation |
3860 |
2050 |
1810 |
Total Unrealized Appreciation (Depreciation) |
3898 |
2088 |
1810 |
Net Investment Gain (Loss) From: |
|
|
|
Common/Collective Trusts |
16186 |
1956 |
14230 |
Pooled Separate Accounts |
2562 |
213 |
2349 |
Master Trusts |
26751 |
20418 |
6333 |
103-12 Investment Entities |
1652 |
1646 |
6 |
Registered Investment Companies |
17062 |
376 |
16686 |
Other or Unspecified Income |
1120 |
241 |
879 |
Total Income |
109736 |
34855 |
74881 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
85
600
600
3
39
3
False
False
Table C9(c). Income Statement of Multiple-Employer Pension Plans |
with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total |
Defined Benefit |
Defined Contribution |
Expenses |
|
|
|
Benefit Payments and Payments to Provide |
|
|
|
Benefits: |
|
|
|
Direct Benefit Payments |
49962 |
16818 |
33144 |
Payments to Insurance Carriers for Benefits |
2233 |
2218 |
15 |
Other or Unspecified Benefits |
409 |
130 |
279 |
Total Benefit Payments |
52603 |
19166 |
33437 |
Interest Expense |
1 |
**/ |
1 |
Corrective Distributions |
54 |
- |
54 |
Deemed Distribution of Participant Loans |
34 |
**/ |
34 |
Administrative Expenses: |
|
|
|
Professional Fees |
123 |
82 |
41 |
Contract Administrator Fees |
176 |
20 |
156 |
Investment Advisory and Management Fees |
222 |
118 |
103 |
Other or Unspecified Admin. Expenses |
605 |
466 |
139 |
Total Administrative Expenses |
1126 |
686 |
440 |
Unspecified Expenses |
**/ |
- |
**/ |
Total Expenses |
53817 |
19851 |
33966 |
|
|
|
|
Net Income |
55919 |
15004 |
40915 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
29
R30C1:R30C4
False
False
Table C10. Percentage Distribution of Income of Defined Benefit Plans |
with 100 or More Participants |
by source of income and amount of assets, 2020 |
|
|
|
|
|
|
|
Type of Income |
Total |
$1-0.9M |
$1.0M-9.9M |
$10.0M-249.9M |
$250.0M-999.9M |
$1.0B or More |
|
|
|
|
|
|
|
Total Income |
1 |
1 |
1 |
1 |
1 |
1 |
|
|
|
|
|
|
|
Employer Contributions |
19.399999999999999 |
34.200000000000003 |
42.4 |
28.5 |
24.2 |
17.399999999999999 |
Participant Contributions |
0.1 |
- |
0.1 |
0.1 |
0.1 |
0.1 |
Other or Unspecified Contributions |
0.4 |
25.4 |
5.5 |
0.2 |
0.1 |
0.5 |
Total Contributions |
20 |
59.5 |
48 |
28.8 |
24.4 |
18.100000000000001 |
Interest on Interest-Bearing Cash |
0.1 |
0.3 |
0.6 |
0.3 |
0.2 |
0.1 |
Interest on U.S. Government Securities |
0.6 |
*/ |
0.3 |
0.5 |
0.7 |
0.6 |
Interest on Corporate Debt Instruments |
2 |
0.1 |
0.5 |
1.1000000000000001 |
1.5 |
2.2000000000000002 |
Interest on Non-Participant Loans |
*/ |
- |
*/ |
*/ |
*/ |
*/ |
Interest on Participant Loans |
*/ |
- |
*/ |
*/ |
*/ |
*/ |
Other or Unspecified Interest |
0.7 |
0.1 |
0.9 |
0.5 |
0.7 |
0.7 |
Total Interest Earnings |
3.4 |
0.4 |
2.2999999999999998 |
2.4 |
3 |
3.6 |
Total Dividends Income |
2.1 |
3.1 |
6.5 |
6.1 |
3.3 |
1.5 |
Net Gain (Loss) on Sale of Assets |
3.3 |
1.2 |
2.2999999999999998 |
3.2 |
5.0999999999999996 |
3 |
Total Unrealized Appreciation (Depreciation) |
16.100000000000001 |
-0.1 |
5.9 |
10.9 |
12 |
17.5 |
Net Invest. Gain (Loss) from Common/Col. Trusts |
9.5 |
-6.5 |
2.5 |
13 |
16.399999999999999 |
7.8 |
Net Invest. Gain (Loss) From Pooled Sep. Accounts |
1.3 |
9.1 |
6.4 |
3.6 |
1.4 |
1.1000000000000001 |
Net Invest. Gain (Loss) From Master Trusts |
36.9 |
3.2 |
3.7 |
16 |
25.3 |
41.4 |
Net Invest. Gain (Loss) from 103-12 Invest. Entities |
2.2000000000000002 |
- |
0.1 |
-1.9 |
0.2 |
3.1 |
Net Invest. Gain (Loss) From Registered Invest. Co. |
4 |
10.5 |
15.2 |
15.8 |
7.6 |
2 |
Other or Unspecified Income |
1.2 |
19.399999999999999 |
6.9 |
2.2000000000000002 |
1.2 |
1.1000000000000001 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
The letters M and B in the column headings denote millions and billions, respectively. |
Percentage distributions do not sum to 100 percent due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Less than 0.05 percent. |
**/ Less than $500,000. |
|
|
|
- Missing or zero. |
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
87
600
600
3
29
R30C1:R30C7
False
False
Table C11. Percentage Distribution of Income of Defined Contribution Plans |
with 100 or More Participants |
by source of income and amount of assets, 2020 |
|
|
|
|
|
|
|
Type of Income |
Total |
$1-0.9M |
$1.0M-9.9M |
$10.0M-249.9M |
$250.0M-999.9M |
$1.0B or More |
|
|
|
|
|
|
|
Total Income |
1 |
1 |
1 |
1 |
1 |
1 |
|
|
|
|
|
|
|
Employer Contributions |
11.8 |
19.399999999999999 |
14.1 |
12.5 |
12.4 |
11.1 |
Participant Contributions |
20.2 |
47.3 |
32.6 |
22.2 |
19.100000000000001 |
18.899999999999999 |
Other or Unspecified Contributions |
3.5 |
7.3 |
5.9 |
4.5 |
3.8 |
2.9 |
Total Contributions |
35.5 |
74 |
52.6 |
39.200000000000003 |
35.200000000000003 |
32.799999999999997 |
Interest on Interest-Bearing Cash |
*/ |
0.1 |
0.1 |
0.1 |
0.1 |
*/ |
Interest on U.S. Government Securities |
*/ |
*/ |
*/ |
*/ |
*/ |
0.1 |
Interest on Corporate Debt Instruments |
0.1 |
*/ |
*/ |
*/ |
*/ |
0.1 |
Interest on Non-Participant Loans |
*/ |
*/ |
*/ |
*/ |
*/ |
*/ |
Interest on Participant Loans |
0.3 |
0.1 |
0.2 |
0.3 |
0.3 |
0.3 |
Other or Unspecified Interest |
0.5 |
0.1 |
0.3 |
0.5 |
0.5 |
0.4 |
Total Interest Earnings |
0.9 |
0.3 |
0.6 |
0.9 |
0.9 |
0.9 |
Total Dividends Income |
6.9 |
2.4 |
5.5 |
9.5 |
9.1 |
5.0999999999999996 |
Net Gain (Loss) on Sale of Assets |
0.3 |
*/ |
0.1 |
0.3 |
0.3 |
0.4 |
Total Unrealized Appreciation (Depreciation) |
3.1 |
-5.2 |
-1.4 |
2.7 |
2.9 |
3.6 |
Net Invest. Gain (Loss) from Common/Col. Trusts |
15.5 |
0.9 |
1.9 |
4.0999999999999996 |
10.7 |
23.2 |
Net Invest. Gain (Loss) From Pooled Sep. Accounts |
1.8 |
3.3 |
7.7 |
3.7 |
1.3 |
0.7 |
Net Invest. Gain (Loss) From Master Trusts |
10.6 |
*/ |
0.1 |
1 |
5.0999999999999996 |
17.600000000000001 |
Net Invest. Gain (Loss) from 103-12 Invest. Entities |
0.1 |
0.1 |
0.1 |
0.1 |
0.1 |
0.1 |
Net Invest. Gain (Loss) From Registered Invest. Co. |
23.3 |
10 |
22.8 |
36.1 |
33.299999999999997 |
13.9 |
Other or Unspecified Income |
2 |
14.1 |
10 |
2.5 |
1.1000000000000001 |
1.6 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
The letters M and B in the column headings denote millions and billions, respectively. |
Percentage distributions do not sum to 100 percent due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Less than 0.05 percent. |
**/ Less than $500,000. |
|
|
|
- Missing or zero. |
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
87
600
600
3
30
R31C1:R31C7
False
False
Table C12. Percentage of Defined Benefit Plans, Active Participants, and Assets |
|
|
|
|
|
|
Affected by the Suspension of Benefit Accruals |
|
|
|
|
|
|
by number of participants, 2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Participants |
Number of Plans |
Number of Active Participants (thousands) 1 |
Total Assets (millions) |
Total |
Percent Frozen |
Total |
Percent In Frozen Plans |
Total |
Percent In Frozen Plans |
Total |
46577 |
0.193 |
12010 |
0.11900000000000001 |
3543686 |
0.191 |
None or Not Reported |
3631 |
45.9 |
- |
- |
5760 |
3.4 |
2-9 |
22359 |
11.1 |
89 |
9.1999999999999993 |
28134 |
12.8 |
10-24 |
8671 |
13.5 |
101 |
10.3 |
14492 |
13.7 |
25-49 |
2940 |
21.2 |
69 |
13.7 |
8529 |
19.7 |
50-99 |
2043 |
34.299999999999997 |
77 |
20 |
12798 |
29.2 |
100-249 |
1785 |
41.2 |
114 |
25.8 |
33502 |
30.7 |
250-499 |
1193 |
41.4 |
148 |
24.9 |
46985 |
30.1 |
500-999 |
1109 |
35.299999999999997 |
262 |
22.6 |
98770 |
23 |
1,000-2,499 |
1203 |
30.3 |
653 |
18.600000000000001 |
211771 |
23.4 |
2,500-4,999 |
677 |
27.5 |
830 |
18.100000000000001 |
273328 |
23 |
5,000-9,999 |
385 |
22.9 |
928 |
16.399999999999999 |
312268 |
19.5 |
10,000-19,999 |
285 |
21.1 |
1487 |
12 |
468823 |
18 |
20,000-49,999 |
194 |
20.100000000000001 |
2178 |
12 |
692179 |
20.9 |
50,000 or More |
100 |
14 |
5073 |
7.8 |
1336347 |
16.100000000000001 |
|
NOTES: Participants and assets are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
"Suspension of Benefit Accruals" refers to plans in which no participants accrue any new benefits regardless of continuing service or compensation. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
|
|
|
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
600
600
3
28
R29C1:R29C7
False
False
Table C13. Percentage of Defined Benefit Plans, Active Participants, and Assets |
|
|
|
|
|
|
Affected by the Suspension of Benefit Accruals |
|
|
|
|
|
|
by industry, 2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Industry |
Number of Plans |
Number of Active Participants (thousands) 1 |
Total Assets (millions) |
Total |
Percent Frozen |
Total |
Percent In Frozen Plans |
Total |
Percent In Frozen Plans |
Total |
46577 |
0.193 |
12010 |
0.11900000000000001 |
3543686 |
0.191 |
Agriculture |
443 |
27.699999999999996 |
32 |
13.900000000000002 |
6611 |
24.3 |
Mining |
231 |
35.200000000000003 |
52 |
29.299999999999997 |
26373 |
39.1 |
Utilities |
333 |
14.800000000000002 |
385 |
2.2000000000000002 |
234325 |
4.0999999999999996 |
Construction |
3259 |
12.9 |
1647 |
0.5 |
285188 |
0.90000000000000013 |
Manufacturing |
4694 |
37.700000000000003 |
2194 |
19.3 |
1260841 |
22.2 |
Wholesale Trade |
2433 |
21.6 |
166 |
29.9 |
51418 |
35.5 |
Retail Trade |
1662 |
19.3 |
899 |
3.6000000000000005 |
73366 |
7.5 |
Transportation |
735 |
24.6 |
855 |
11.1 |
214221 |
18.3 |
Information |
778 |
27.800000000000004 |
518 |
12.6 |
182048 |
13.600000000000001 |
Finance, Insurance, and Real Estate |
5523 |
18.5 |
1857 |
11.1 |
517746 |
17.7 |
Services |
25844 |
15.6 |
2899 |
17.399999999999999 |
652648 |
28.6 |
Misc. Organizations 2 |
639 |
41.5 |
508 |
2.2999999999999998 |
38902 |
16.600000000000001 |
Industry Not Reported |
2 |
0 |
- |
0 |
- |
0 |
|
NOTES: Industry classifications are consistent with definitions of principal business activity listed in the 2020 Form 5500 Instructions. These principal business activity codes are based on the North American Industry Classification System. |
NOTES: Participants and assets are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
"Suspension of Benefit Accruals" refers to plans in which no participants accrue any new benefits regardless of continuing service or compensation. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
2 Religious, grantmaking, civic, professional, labor, and similar organizations. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
99
600
600
3
28
R29C1:R29C7
False
False
Table D1. Balance Sheet of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
|
Type of Asset or Liability |
Total Defined Contribution Plans |
401(k)-Type |
403(b) |
Other Defined Contribution Plans |
Assets |
|
|
|
|
Total Noninterest-Bearing Cash |
5445 |
4412 |
337 |
697 |
Employer Contrib. Receivable |
35487 |
28696 |
1387 |
5404 |
Participant Contrib. Receivable |
2636 |
2345 |
194 |
96 |
Other Receivables |
15636 |
10550 |
3880 |
1207 |
Interest-Bearing Cash |
57526 |
47966 |
3871 |
5689 |
U.S. Government Securities |
37871 |
29014 |
10 |
8847 |
Corporate Debt Instruments: Preferred |
8121 |
5608 |
**/ |
2512 |
Corporate Debt Instruments: All Other |
23276 |
15863 |
3 |
7410 |
Preferred Stock |
562 |
375 |
**/ |
187 |
Common Stock |
112356 |
95686 |
28 |
16642 |
Partnership/Joint Venture Interests |
8791 |
2141 |
3 |
6647 |
Real Estate (Other Than Employer Real Prop.) |
659 |
127 |
**/ |
532 |
Loans (Other Than to Participants) |
1415 |
1288 |
6 |
121 |
Participant Loans |
74295 |
69726 |
3386 |
1183 |
Assets in Common/Collective Trusts |
1767516 |
1689793 |
1383 |
76340 |
Assets in Pooled Separate Accounts |
172752 |
150658 |
12132 |
9962 |
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
3
4
2
False
False
Table D1. Balance Sheet of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
|
Type of Asset or Liability |
Total Defined Contribution Plans |
401(k)-Type |
403(b) |
Other Defined Contribution Plans |
|
|
|
|
|
Assets in Master Trusts |
1312033 |
1266592 |
3919 |
41523 |
Assets in 103-12 Investment Entities |
7702 |
3147 |
8 |
4547 |
Assets in Registered Investment Comp. |
2963341 |
2307562 |
515761 |
140017 |
Assets in Ins. Co. General Accounts |
204076 |
86651 |
99572 |
17853 |
Other General Investments |
139036 |
120944 |
10332 |
7761 |
Employer Securities |
328695 |
175227 |
- |
153468 |
Employer Real Property |
39 |
3 |
- |
37 |
Buildings and Other Prop. Used by Plan |
24 |
11 |
- |
14 |
Other or Unspecified Assets |
73442 |
67137 |
3892 |
2413 |
Total Assets |
7352734 |
6181520 |
660105 |
511110 |
|
|
|
|
|
Liabilities |
|
|
|
|
Benefit Claims Payable |
1373 |
1036 |
4 |
333 |
|
Operating Payables |
1886 |
1614 |
4 |
268 |
|
Acquisition Indebtedness |
14021 |
166 |
**/ |
13854 |
|
Other Liabilities |
18284 |
7450 |
21 |
10813 |
|
Total Liabilities |
35564 |
10267 |
29 |
25268 |
|
|
|
|
|
|
|
Net Assets |
7317171 |
6171253 |
660075 |
485842 |
|
|
NOTES: An annuity arrangement under Code section 403(b)(1) and custodial account arrangement under Code section 403(b)(7) are grouped under the category of 403(b). These numbers may not represent all 403(b) plans because those 403(b) plans that are not established or maintained by an employer as described in DOL Regulation 29 C.F.R § 2510.3-2(f) are exempt from filing a Form 5500/5500-SF. These data include only 403(b) plans that file the Form 5500 or Form 5500-SF. Additional information on 403(b) filing requirements can be found in Field Assistance Bulletins 2009-02 and 2010-01. Approximately 0.05% of individual account plans indicate both 401(k) and 403(b) plan characteristics. For purposes of this report, they are classified as 401(k)-type plans. |
Participants, assets, and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
|
|
|
|
**/ Less than $500,000. |
|
|
|
|
- Missing or zero. |
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
600
600
15
3
27
R28C1:R28C5
False
False
Table D2. Income Statement of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
|
Income and Expenses |
Total Defined Contribution Plans |
401(k)-Type |
403(b) |
Other Defined Contribution Plans |
Income |
|
|
|
|
Contributions Received or Receivable From: |
|
|
|
|
Employers |
168255 |
136429 |
11424 |
20402 |
|
|
|
|
|
Participants |
288235 |
262336 |
23968 |
1931 |
|
|
Others (Including Rollovers) |
48978 |
44529 |
4066 |
383 |
|
Noncash Contributions |
1392 |
577 |
**/ |
814 |
Total Contributions |
506860 |
443871 |
39459 |
23530 |
|
|
|
|
|
Interest Earnings: |
|
|
|
|
|
|
|
|
|
Interest-Bearing Cash |
661 |
460 |
100 |
101 |
|
U.S. Government Securities |
651 |
453 |
1 |
197 |
Corporate Debt Instruments |
848 |
554 |
1 |
294 |
Non-Participant Loans |
70 |
63 |
1 |
6 |
Participant Loans |
3930 |
3694 |
178 |
58 |
|
Other or Unspecified Interest |
6651 |
2725 |
3296 |
630 |
|
Total Interest Earnings |
12811 |
7948 |
3577 |
1285 |
|
Dividends: |
|
|
|
|
|
Preferred Stock |
538 |
211 |
1 |
325 |
Common Stock |
7603 |
5632 |
36 |
1934 |
|
|
Registered Investment Company Shares (e.g., Mutual
Funds) |
90909 |
73919 |
12259 |
4731 |
|
|
Total Dividend Income |
99050 |
79763 |
12296 |
6990 |
|
|
Rents |
12 |
5 |
- |
7 |
Net Gain (Loss) on Sale of Assets |
4824 |
2984 |
21 |
1819 |
|
Unrealized Appreciation (Depreciation): |
|
|
|
|
|
Unrealized Appreciation of Real Estate |
1699 |
1427 |
3 |
270 |
|
Other Unrealized Appreciation |
42256 |
25563 |
906 |
15787 |
|
|
|
|
|
Total Unrealized Appreciation (Depreciation) |
43955 |
26990 |
909 |
16056 |
|
|
|
|
|
Net Investment Gain (Loss) From: |
|
|
|
|
|
|
|
|
|
Common/Collective Trusts |
220950 |
213801 |
68 |
7081 |
|
Pooled Separate Accounts |
25465 |
23236 |
740 |
1489 |
|
Master Trusts |
151380 |
146921 |
650 |
3810 |
|
|
103-12 Investment Entities |
1012 |
429 |
89 |
494 |
Registered Investment Companies |
331950 |
261170 |
58586 |
12194 |
|
|
|
Other or Unspecified Income |
28632 |
23910 |
1277 |
3445 |
|
Total Income |
1426900 |
1231027 |
117672 |
78201 |
|
|
|
|
|
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
83
600
600
18
3
4
2
False
False
Table D2. Income Statement of Defined Contribution Plans with 100 or More Participants |
by type of plan, 2020 |
(millions) |
|
|
|
|
|
Income and Expenses |
Total Defined Contribution Plans |
401(k)-Type |
403(b) |
Other Defined Contribution Plans |
Expenses |
|
|
|
|
Benefit Payments and Payments to Provide |
|
|
|
|
Benefits: |
|
|
|
|
Direct Benefit Payments |
589567 |
518610 |
37800 |
33157 |
|
|
|
|
|
|
Payments to Insurance Carriers for Benefits |
1260 |
47 |
1043 |
170 |
|
Other or Unspecified Benefits |
5511 |
4450 |
411 |
650 |
|
Total Benefit Payments |
596339 |
523106 |
39255 |
33977 |
|
|
|
|
|
|
Interest Expense |
676 |
42 |
**/ |
634 |
|
Corrective Distributions |
713 |
691 |
8 |
14 |
|
Deemed Distribution of Participant Loans |
784 |
681 |
73 |
30 |
|
Administrative Expenses: |
|
|
|
|
|
Professional Fees |
629 |
509 |
30 |
89 |
|
Contract Administrator Fees |
1641 |
1377 |
161 |
103 |
|
Investment Advisory and Management Fees |
1747 |
1401 |
88 |
257 |
|
Other or Unspecified Admin. Expenses |
2615 |
2261 |
183 |
171 |
|
Total Administrative Expenses |
6632 |
5548 |
463 |
620 |
|
|
Unspecified Expenses |
54 |
29 |
1 |
24 |
|
Total Expenses |
605198 |
530098 |
39800 |
35300 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Income |
821701 |
700929 |
77872 |
42901 |
|
|
|
|
|
|
|
NOTES: An annuity arrangement under Code section 403(b)(1) and custodial account arrangement under Code section 403(b)(7) are grouped under the category of 403(b). These numbers may not represent all 403(b) plans because those 403(b) plans that are not established or maintained by an employer as described in DOL Regulation 29 C.F.R § 2510.3-2(f) are exempt from filing a Form 5500/5500-SF. These data include only 403(b) plans that file the Form 5500 or Form 5500-SF. Additional information on 403(b) filing requirements can be found in Field Assistance Bulletins 2009-02 and 2010-01. Approximately 0.05% of individual account plans indicate both 401(k) and 403(b) plan characteristics. For purposes of this report, they are classified as 401(k)-type plans. |
Participants are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
|
|
|
|
**/ Less than $500,000. |
|
|
|
|
- Missing or zero. |
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99
600
600
3
26
R27
False
False
33
4
Table D3. Number of 401(k)-Type Plans |
|
by number of participants and primary |
|
or supplemental status, 2020 |
|
Total Participants |
Total |
401(k) is Only Plan Sponsored by Employer |
Employer Sponsoring 401(k) Plan Also Sponsors Other Pension Plan(s) |
Total |
621509 |
581198 |
40311 |
None or Not Reported |
22203 |
21159 |
1044 |
2-9 |
199845 |
185892 |
13952 |
10-24 |
162426 |
152226 |
10200 |
25-49 |
96421 |
91276 |
5145 |
50-99 |
67111 |
63445 |
3666 |
100-249 |
40219 |
37701 |
2518 |
250-499 |
15613 |
14349 |
1264 |
500-999 |
8154 |
7333 |
821 |
1,000-2,499 |
5310 |
4609 |
701 |
2,500-4,999 |
2010 |
1654 |
355 |
5,000-9,999 |
1096 |
841 |
255 |
10,000-19,999 |
586 |
412 |
174 |
20,000-49,999 |
368 |
222 |
146 |
50,000 or More |
150 |
79 |
71 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
|
|
|
**/ Less than $500,000. |
|
|
|
- Missing or zero. |
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
600
600
3
24
R25C1:R25C4
False
False
27
Table D4. Number of Active Participants in 401(k)-Type Plans |
by number of participants and primary |
|
or supplemental status, 2020 |
|
(thousands) |
Total Participants |
Total |
401(k) is Only Plan Sponsored by Employer |
Employer Sponsoring 401(k) Plan Also Sponsors Other Pension Plan(s) |
Total |
72214 |
54652 |
17562 |
2-9 |
881 |
822 |
60 |
10-24 |
2011 |
1897 |
114 |
25-49 |
2641 |
2512 |
129 |
50-99 |
3703 |
3510 |
193 |
100-249 |
4853 |
4552 |
301 |
250-499 |
4238 |
3898 |
340 |
500-999 |
4423 |
3977 |
447 |
1,000-2,499 |
6335 |
5513 |
823 |
2,500-4,999 |
5453 |
4527 |
925 |
5,000-9,999 |
5806 |
4497 |
1310 |
10,000-19,999 |
6308 |
4443 |
1865 |
20,000-49,999 |
8605 |
5454 |
3150 |
50,000 or More |
16956 |
9051 |
7905 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
|
|
|
|
|
|
The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
|
|
|
|
|
|
Excludes "one-participant plans." |
|
|
|
|
|
|
Some totals do not equal the sum of the components due to rounding. |
|
|
|
|
|
|
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
|
|
|
|
|
|
*/ Fewer than 500 participants. |
|
|
|
|
|
|
|
|
|
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
600
600
3
24
R25C1:R25C4
False
False
Table D5. Number of Defined Contribution Plans and Active Participants |
by size of plan and extent of participant direction of investments, 2020 |
|
|
|
|
|
|
|
|
|
Size of Plan
(Total Participants) |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion Of Assets |
Participant Does Not Direct Any Investments |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Total |
700034 |
85290 |
607143 |
76716 |
12507 |
3197 |
80383 |
5377 |
None or Not Reported |
26227 |
- |
21251 |
- |
598 |
- |
4379 |
- |
2-9 |
231472 |
999 |
185960 |
821 |
5235 |
20 |
40278 |
158 |
10-24 |
176564 |
2175 |
155813 |
1937 |
2828 |
33 |
17924 |
205 |
25-49 |
104752 |
2851 |
95672 |
2617 |
1491 |
38 |
7589 |
196 |
50-99 |
74274 |
4062 |
68384 |
3762 |
1068 |
55 |
4823 |
245 |
100-249 |
45842 |
5484 |
42593 |
5123 |
546 |
61 |
2703 |
300 |
250-499 |
18818 |
5027 |
17414 |
4676 |
218 |
56 |
1186 |
295 |
500-999 |
10072 |
5349 |
9300 |
4965 |
153 |
78 |
619 |
306 |
1,000-2,499 |
6656 |
7777 |
6055 |
7112 |
135 |
152 |
466 |
513 |
2,500-4,999 |
2549 |
6808 |
2250 |
6066 |
92 |
242 |
207 |
501 |
5,000-9,999 |
1378 |
7245 |
1220 |
6447 |
54 |
286 |
104 |
512 |
10,000-19,999 |
779 |
8282 |
680 |
7256 |
40 |
421 |
58 |
604 |
20,000-49,999 |
476 |
10898 |
408 |
9428 |
35 |
722 |
33 |
748 |
50,000 or More |
174 |
18334 |
145 |
16505 |
16 |
1035 |
13 |
794 |
|
|
|
|
|
|
|
|
|
NOTES: Participants are tabulated as of the end of the plan year. |
The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
94
600
600
3
3
25
R26C1:R26C9
False
False
Table D5(a). Number of non-401(k) Defined Contribution Plans and Active Participants |
by size of plan and extent of participant direction of investments, 2020 |
|
|
|
|
|
|
|
|
|
Size of Plan
(Total Participants) |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion Of Assets |
Participant Does Not Direct Any Investments |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Total |
78525 |
13076 |
36769 |
8449 |
1120 |
458 |
40636 |
4169 |
None or Not Reported |
4025 |
- |
1452 |
- |
60 |
- |
2512 |
- |
2-9 |
31628 |
118 |
12573 |
46 |
507 |
2 |
18547 |
70 |
10-24 |
14138 |
164 |
6045 |
70 |
209 |
2 |
7885 |
91 |
25-49 |
8331 |
210 |
4045 |
100 |
100 |
2 |
4186 |
107 |
50-99 |
7163 |
359 |
3891 |
198 |
87 |
4 |
3185 |
157 |
100-249 |
5623 |
631 |
3510 |
399 |
44 |
5 |
2068 |
227 |
250-499 |
3205 |
789 |
2176 |
536 |
26 |
6 |
1003 |
247 |
500-999 |
1918 |
926 |
1361 |
652 |
27 |
14 |
530 |
260 |
1,000-2,499 |
1346 |
1442 |
942 |
1000 |
19 |
24 |
386 |
418 |
2,500-4,999 |
539 |
1355 |
356 |
903 |
16 |
45 |
166 |
407 |
5,000-9,999 |
283 |
1438 |
196 |
1021 |
7 |
36 |
80 |
381 |
10,000-19,999 |
193 |
1974 |
135 |
1353 |
8 |
86 |
50 |
535 |
20,000-49,999 |
108 |
2294 |
72 |
1522 |
7 |
137 |
28 |
634 |
50,000 or More |
24 |
1378 |
12 |
647 |
2 |
95 |
10 |
635 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
94
600
600
3
3
21
R22C1:R24C9
False
False
Table D5(b). Number of 401(k)-Type Plans and Active Participants |
by size of plan and extent of participant direction of investments, 2020 |
|
|
|
|
|
|
|
|
|
Size of Plan
(Total Participants) |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion Of Assets |
Participant Does Not Direct Any Investments |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Number of Plans |
Active Participants (thousands) |
Total |
621509 |
72214 |
570375 |
68267 |
11387 |
2739 |
39747 |
1208 |
None or Not Reported |
22203 |
- |
19798 |
- |
538 |
- |
1867 |
- |
2-9 |
199845 |
881 |
173386 |
775 |
4727 |
18 |
21731 |
88 |
10-24 |
162426 |
2011 |
149768 |
1866 |
2619 |
30 |
10039 |
114 |
25-49 |
96421 |
2641 |
91626 |
2517 |
1391 |
36 |
3403 |
89 |
50-99 |
67111 |
3703 |
64492 |
3564 |
981 |
51 |
1637 |
87 |
100-249 |
40219 |
4853 |
39083 |
4724 |
501 |
56 |
634 |
73 |
250-499 |
15613 |
4238 |
15238 |
4140 |
191 |
50 |
183 |
48 |
500-999 |
8154 |
4423 |
7938 |
4313 |
126 |
64 |
90 |
46 |
1,000-2,499 |
5310 |
6335 |
5114 |
6112 |
116 |
128 |
81 |
95 |
2,500-4,999 |
2010 |
5453 |
1893 |
5163 |
76 |
197 |
41 |
94 |
5,000-9,999 |
1096 |
5806 |
1024 |
5426 |
47 |
249 |
24 |
131 |
10,000-19,999 |
586 |
6308 |
545 |
5904 |
32 |
335 |
8 |
69 |
20,000-49,999 |
368 |
8605 |
335 |
7906 |
28 |
585 |
5 |
114 |
50,000 or More |
150 |
16956 |
133 |
15858 |
14 |
940 |
3 |
159 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
|
|
|
|
- Missing or zero. |
|
|
|
|
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
94
600
600
3
3
22
R23C1:R23C9
False
False
Table D6. Balance Sheet of 401(k)-Type Plans |
by extent of participant direction of investments, 2020 |
(millions) |
|
|
|
|
|
Type of Asset or Liability |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion of Assets |
Participant Does Not Direct Any Investments |
|
|
|
|
|
Partnership/Joint Venture Interests |
3271 |
2026 |
506 |
739 |
Employer Real Property |
18 |
9 |
5 |
4 |
Real Estate (Other Than Employer Real Property) |
997 |
598 |
142 |
257 |
Employer Securities |
179820 |
122038 |
53350 |
4432 |
Participant Loans |
70326 |
63468 |
5807 |
1051 |
Loans (Other Than to Participants) |
1833 |
1441 |
167 |
225 |
Other Investments 1 |
5976713 |
5333288 |
549124 |
94302 |
Form 5500-SF Assets 2 |
835791 |
760879 |
22178 |
52733 |
Total Assets |
7068770 |
6283748 |
631280 |
153742 |
|
|
|
|
|
Total Liabilities |
11632 |
9074 |
2022 |
535 |
|
|
|
|
|
Net Assets |
7057139 |
6274673 |
629258 |
153208 |
|
NOTES: Assets and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 "Other investments" primarily includes investments in readily tradeable securities, registered investment companies, common collective trusts, and pooled separate accounts. Tables C4-C5 summarize the more detailed Schedule H asset information for large plans. |
2 The Form 5500-SF generally does not break out assets classes; therefore, all assets reported by Form 5500-SF filers are summarized on this line item. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
- Missing or zero. |
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
97
600
600
3
22
R23C1:R23C5
False
False
28
60
103
144
Table D7. Income Statement of 401(k)-Type Plans |
by extent of participant direction of investments, 2020 |
(millions) |
|
|
|
|
|
Income and Expenses |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion of Assets |
Participant Does Not Direct Any Investments |
Income |
|
|
|
|
Employer Contributions |
160304 |
144566 |
11862 |
3875 |
Participant Contributions |
303296 |
278573 |
18960 |
5763 |
Contributions from Others (Including Rollovers) |
52874 |
49259 |
2376 |
1239 |
Noncash Contributions |
634 |
510 |
120 |
4 |
All Other Income 1 |
899970 |
809635 |
71697 |
18638 |
Total Income |
1417077 |
1282543 |
105015 |
29519 |
|
|
|
|
|
Expenses |
|
|
|
|
Total Benefit Payments |
614814 |
547771 |
53724 |
13319 |
Certain Deemed and/or Corrective Distributions 2 |
1821 |
1737 |
59 |
24 |
Administrative Expenses 3 |
7754 |
7065 |
429 |
260 |
Other or Unspecified Expenses |
330 |
243 |
51 |
36 |
Total Expenses |
624719 |
556816 |
54263 |
13640 |
|
|
|
|
|
Net Income |
792359 |
725727 |
50752 |
15880 |
|
NOTES: Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 This table summarizes income and expenses that appear on the Schedule H (generally for plans with 100 or more participants), the Schedule I (generally for plans with fewer than 100 participants that file the Form 5500), and the Form 5500-SF. All income and expense items that appear on the more detailed Schedule H but not the Schedule I or Form 5500-SF (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 or Unspecified Expenses." Table D9 summarizes 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-SF 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-SF filers, "Administrative Expenses" includes only the "Administrative service providers" line item. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
- Missing or zero. |
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
95
600
600
3
20
False
False
Table D8. Balance Sheet of 401(k)-Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2020 |
(millions) |
|
|
|
|
|
Type of Asset or Liability |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion of Assets |
Participant Does Not Direct Any Investments |
Assets |
|
|
|
|
Total Noninterest-Bearing Cash |
4412 |
4252 |
131 |
28 |
Employer Contrib. Receivable |
28696 |
25035 |
2728 |
932 |
Participant Contrib. Receivable |
2345 |
2180 |
134 |
31 |
Other Receivables |
10550 |
9819 |
448 |
282 |
Interest-Bearing Cash |
47966 |
42573 |
3989 |
1404 |
U.S. Government Securities |
29014 |
27450 |
1370 |
194 |
Corporate Debt Instruments: Preferred |
5608 |
4842 |
471 |
296 |
Corporate Debt Instruments: All Other |
15863 |
14148 |
1524 |
191 |
Preferred Stock |
375 |
274 |
43 |
58 |
Common Stock |
95686 |
84937 |
8955 |
1794 |
Partnership/Joint Venture Interests |
2141 |
1420 |
355 |
366 |
Real Estate (Other Than Employer Real Property) |
127 |
58 |
38 |
31 |
Loans (Other Than to Participants) |
1288 |
1226 |
52 |
10 |
Participant Loans |
69726 |
62915 |
5786 |
1024 |
Assets in Common/Collective Trusts |
1689793 |
1500356 |
153740 |
35697 |
Assets in Pooled Separate Accounts |
150658 |
143540 |
4556 |
2562 |
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
95
600
600
3
R1C1:R1C5
False
False
Table D8. Balance Sheet of 401(k)-Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2020 |
(millions) |
|
|
|
|
|
Type of Asset or Liability |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion of Assets |
Participant Does Not Direct Any Investments |
Assets in Master Trusts |
1266592 |
1039475 |
221969 |
5147 |
Assets in 103-12 Investment Entities |
3147 |
2968 |
90 |
89 |
Assets in Registered Investment Comp. |
2307562 |
2149824 |
121421 |
36318 |
Assets in Insurance Co. General Accounts |
86651 |
79955 |
5410 |
1285 |
Other General Investments |
120944 |
103802 |
16299 |
843 |
Employer Securities |
175227 |
119284 |
51725 |
4217 |
Employer Real Property |
3 |
**/ |
2 |
- |
Buildings and Other Property Used by Plan |
11 |
3 |
8 |
**/ |
Other or Unspecified Assets |
67137 |
64590 |
1425 |
1121 |
Total Assets |
6181520 |
5484928 |
602671 |
93921 |
|
|
|
|
|
Liabilities |
|
|
|
|
Benefit Claims Payable |
1036 |
911 |
119 |
6 |
Operating Payables |
1614 |
1556 |
53 |
5 |
Acquisition Indebtedness |
166 |
23 |
124 |
20 |
Other Liabilities |
7450 |
5652 |
1644 |
154 |
Total Liabilities |
10267 |
8142 |
1939 |
186 |
|
|
|
|
|
Net Assets |
6171253 |
5476786 |
600732 |
93735 |
|
NOTES: Participants, assets, and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
- Missing or zero. |
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
3
27
R28C1:R28C5
False
False
Table D9. Income Statement of 401(k)-Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2020 |
(millions) |
|
|
|
|
|
Income and Expenses |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion of Assets |
Participant Does Not Direct Any Investments |
Income |
|
|
|
|
Contributions Received or Receivable From: |
|
|
|
|
Employers |
136429 |
122915 |
11245 |
2269 |
Participants |
262336 |
240280 |
18234 |
3822 |
Others (Including Rollovers) |
44529 |
41757 |
2167 |
605 |
Noncash Contributions |
577 |
488 |
88 |
2 |
Total Contributions |
443871 |
405439 |
31733 |
6698 |
Interest Earnings: |
|
|
|
|
Interest-Bearing Cash |
460 |
379 |
63 |
18 |
U.S. Government Securities |
453 |
427 |
21 |
5 |
Corporate Debt Instruments |
554 |
491 |
49 |
13 |
Non-Participant Loans |
63 |
60 |
3 |
**/ |
Participant Loans |
3694 |
3328 |
318 |
49 |
Other or Unspecified Interest |
2725 |
2301 |
345 |
79 |
Total Interest Earnings |
7948 |
6985 |
799 |
165 |
Dividends: |
|
|
|
|
Preferred Stock |
211 |
126 |
80 |
5 |
Common Stock |
5632 |
4402 |
1071 |
159 |
Registered Investment Company Shares (e.g., Mutual Funds) |
73919 |
68596 |
4275 |
1049 |
Total Dividend Income |
79763 |
73124 |
5426 |
1213 |
Rents |
5 |
1 |
2 |
1 |
Net Gain (Loss) on Sale of Assets |
2984 |
2009 |
1194 |
-219 |
Unrealized Appreciation (Depreciation): |
|
|
|
|
Unrealized Appreciation of Real Estate |
1427 |
705 |
268 |
454 |
Other Unrealized Appreciation |
25563 |
21766 |
3600 |
197 |
Total Unrealized Appreciation (Depreciation) |
26990 |
22471 |
3868 |
651 |
Net Investment Gain (Loss) From: |
|
|
|
|
Common/Collective Trusts |
213801 |
192635 |
17264 |
3902 |
Pooled Separate Accounts |
23236 |
22211 |
647 |
377 |
Master Trusts |
146921 |
122621 |
23693 |
606 |
103-12 Investment Entities |
429 |
426 |
2 |
1 |
Registered Investment Companies |
261170 |
242750 |
14062 |
4357 |
Other or Unspecified Income |
23910 |
22397 |
1152 |
361 |
Total Income |
1231027 |
1113069 |
99843 |
18114 |
|
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
85
600
600
3
R1C1:R1C5
False
False
Table D9. Income Statement of 401(k)-Type Plans with 100 or More Participants |
by extent of participant direction of investments, 2020 |
(millions) |
|
|
|
|
|
Income and Expenses |
Total |
Participant Directs All Investments |
Participant Directs Investment of Portion of Assets |
Participant Does Not Direct Any Investments |
Expenses |
|
|
|
|
Benefit Payments and Payments to Provide |
|
|
|
|
Benefits: |
|
|
|
|
Direct Benefit Payments |
518610 |
461542 |
49566 |
7502 |
Payments to Insurance Carriers for Benefits |
47 |
44 |
1 |
2 |
Other or Unspecified Benefits |
4450 |
4233 |
117 |
100 |
Total Benefit Payments |
523106 |
465820 |
49683 |
7604 |
Interest Expense |
42 |
4 |
36 |
2 |
Corrective Distributions |
691 |
660 |
26 |
5 |
Deemed Distribution of Participant Loans |
681 |
651 |
25 |
5 |
Administrative Expenses: |
|
|
|
|
Professional Fees |
509 |
457 |
37 |
15 |
Contract Administrator Fees |
1377 |
1293 |
67 |
17 |
Investment Advisory and Management Fees |
1401 |
1219 |
151 |
32 |
Other or Unspecified Admin. Expenses |
2261 |
2130 |
101 |
30 |
Total Administrative Expenses |
5548 |
5098 |
357 |
93 |
Unspecified Expenses |
29 |
27 |
1 |
1 |
Total Expenses |
530098 |
472260 |
50128 |
7710 |
|
|
|
|
|
Net Income |
700929 |
640809 |
49714 |
10405 |
|
NOTES: Participants are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
|
|
|
|
- Missing or zero. |
|
|
|
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
96
600
600
3
27
R28C1:R28C5
False
False
Table D10. Number of Employee Stock Ownership Plans (ESOPs), Total |
Participants, Active Participants, Assets, Contributions, and Benefits |
by type of ESOP, 2020 |
|
|
|
|
|
|
|
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 |
Total |
6383 |
13918 |
10154 |
1828232 |
94023 |
149153 |
Nonleveraged ESOPs |
3115 |
11998 |
8790 |
1551554 |
82562 |
127485 |
Leveraged ESOPs |
3267 |
1920 |
1364 |
276679 |
11461 |
21668 |
Stand-Alone ESOPs |
Total |
5398 |
1804 |
1279 |
183200 |
6006 |
14786 |
Nonleveraged ESOPs |
2373 |
956 |
677 |
80048 |
2641 |
8653 |
Leveraged ESOPs |
3024 |
848 |
602 |
103153 |
3366 |
6133 |
KSOPs |
Total |
985 |
12115 |
8874 |
1645032 |
88017 |
134367 |
Nonleveraged ESOPs |
742 |
11042 |
8113 |
1471506 |
79922 |
118832 |
Leveraged ESOPs |
243 |
1073 |
762 |
173526 |
8095 |
15535 |
|
NOTES: KSOPs are defined as ESOPs with a 401(k) plan feature. Stand-Alone ESOPs have no such feature. |
Total participants, active participants, and total assets are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 The definition of active participants includes individuals who are eligible to elect to have the employer make payments to a 401(k)-type plan (even if individuals are not contributing) and nonvested individuals who are earning or retaining credited service under the plan. For more information, please see the Instructions for Form 5500 at https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and- compliance/reporting-and-filing/form-5500. |
2 Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
3 This report defines Total Contributions as employer and employee contributions. |
4 Amounts shown include both benefits paid directly to participants and beneficiaries from trust funds and premium payments made by plans to insurance carriers. Amounts exclude benefits paid directly by insurance carriers. |
*/ Fewer than 500 participants. |
|
**/ Less than $500,000. |
|
- Missing or zero. |
|
SOURCE: Form 5500 filings for plan years ending in 2020. |
95
600
600
3
16
R17C1:R17C8
False
False
Table D11. Number of Employee Stock Ownership Plans (ESOPs) |
by number of participants, type of ESOP, and primary or supplemental status, 2020 |
|
|
|
|
|
Total Participants |
Total Plans |
Stand−Alone ESOPs |
KSOPs |
Total |
ESOP is Only Plan Sponsored by Employer |
ESOP is One of Multiple Plans Sponsored by Employer |
Total |
ESOP is Only Plan Sponsored by Employer |
ESOP is One of Multiple Plans Sponsored by Employer |
Total |
ESOP is Only Plan Sponsored by Employer |
ESOP is One of Multiple Plans Sponsored by Employer |
Total |
6383 |
2076 |
4307 |
5398 |
1433 |
3965 |
985 |
643 |
342 |
None or Not Reported |
234 |
113 |
122 |
206 |
97 |
109 |
28 |
15 |
13 |
2-9 |
154 |
104 |
50 |
139 |
94 |
45 |
15 |
10 |
5 |
10-24 |
544 |
239 |
305 |
504 |
209 |
295 |
40 |
31 |
9 |
25-49 |
1073 |
340 |
733 |
991 |
272 |
719 |
82 |
68 |
13 |
50-99 |
1417 |
433 |
984 |
1291 |
319 |
973 |
125 |
114 |
11 |
100-249 |
1340 |
368 |
973 |
1185 |
229 |
957 |
155 |
139 |
16 |
250-499 |
622 |
179 |
443 |
540 |
114 |
426 |
83 |
65 |
17 |
500-999 |
337 |
97 |
241 |
284 |
54 |
230 |
53 |
42 |
11 |
1,000-2,499 |
246 |
68 |
177 |
169 |
28 |
141 |
77 |
40 |
36 |
2,500-4,999 |
114 |
50 |
63 |
48 |
12 |
36 |
65 |
38 |
27 |
5,000-9,999 |
95 |
27 |
67 |
19 |
4 |
15 |
75 |
23 |
52 |
10,000-19,999 |
86 |
24 |
62 |
15 |
1 |
14 |
71 |
23 |
48 |
20,000-49,999 |
75 |
25 |
50 |
3 |
- |
3 |
72 |
25 |
47 |
50,000 or More |
45 |
8 |
37 |
2 |
- |
2 |
43 |
8 |
35 |
|
|
NOTES: KSOPs are defined as ESOPs with a 401(k) plan feature. Stand-Alone ESOPs have no such feature. |
Even if the employer sponsors another pension plan(s), not all participants in the ESOP are necessarily covered by or even eligible for coverage under the other pension plans(s). |
Participants are tabulated as of the end of the plan year. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
|
|
|
**/ Less than $500,000. |
|
|
|
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
93
600
600
3
23
R24C1:R24C10
False
False
Table D12. Balance Sheet of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by type of ESOP and leveraged status, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total Plans |
Stand−Alone ESOPs |
KSOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Assets |
|
|
|
|
|
|
|
|
|
Total Noninterest-Bearing Cash |
394 |
246 |
148 |
241 |
102 |
139 |
153 |
145 |
9 |
Employer Contrib. Receivable |
8588 |
7314 |
1274 |
2142 |
1304 |
838 |
6446 |
6010 |
436 |
Participant Contrib. Receivable |
345 |
336 |
8 |
**/ |
**/ |
**/ |
344 |
336 |
8 |
Other Receivables |
3522 |
3203 |
318 |
288 |
67 |
221 |
3234 |
3137 |
97 |
Interest-Bearing Cash |
8952 |
7457 |
1495 |
1900 |
824 |
1075 |
7052 |
6632 |
420 |
U.S. Government Securities |
18902 |
18610 |
292 |
140 |
32 |
108 |
18762 |
18578 |
184 |
Corporate Debt Instruments: Preferred |
2978 |
2957 |
21 |
21 |
**/ |
21 |
2957 |
2957 |
**/ |
Corporate Debt Instruments: All Other |
8715 |
7507 |
1208 |
523 |
64 |
459 |
8192 |
7443 |
748 |
Preferred Stock |
146 |
123 |
23 |
37 |
18 |
18 |
109 |
104 |
5 |
Common Stock |
47772 |
46734 |
1038 |
1317 |
735 |
582 |
46455 |
45999 |
456 |
Partnership/Joint Venture Interests |
1 |
1 |
- |
**/ |
**/ |
- |
**/ |
**/ |
- |
Real Estate (Other Than Employer Real Property) |
**/ |
**/ |
- |
**/ |
**/ |
- |
- |
- |
- |
Loans (Other Than to Participants) |
1121 |
1121 |
- |
- |
- |
- |
1121 |
1121 |
- |
Participant Loans |
17932 |
16195 |
1737 |
64 |
6 |
58 |
17868 |
16189 |
1679 |
Assets in Common/Collective Trusts |
512630 |
452871 |
59759 |
4102 |
1480 |
2622 |
508528 |
451391 |
57137 |
Assets in Pooled Separate Accounts |
5495 |
5093 |
402 |
171 |
15 |
156 |
5324 |
5078 |
245 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
72
600
600
3
3
23
9
False
False
Table D12. Balance Sheet of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by type of ESOP and leveraged status, 2020 |
(millions) |
|
|
|
|
Type of Asset or Liability |
Total Plans |
Stand−Alone ESOPs |
KSOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Assets in Master Trusts |
647403 |
590149 |
57254 |
2350 |
1446 |
904 |
645053 |
588703 |
56350 |
Assets in 103-12 Investment Entities |
1748 |
1631 |
117 |
- |
- |
- |
1748 |
1631 |
117 |
Assets in Registered Investment Comp. |
186348 |
166380 |
19969 |
2852 |
1014 |
1838 |
183497 |
165366 |
18131 |
Assets in Ins. Co. General Accounts |
12333 |
12167 |
166 |
51 |
11 |
40 |
12282 |
12156 |
126 |
Other General Investments |
38561 |
29396 |
9165 |
39 |
26 |
13 |
38521 |
29369 |
9152 |
Employer Securities |
283884 |
175381 |
108503 |
148891 |
67442 |
81448 |
134994 |
107939 |
27055 |
Employer Real Property |
- |
- |
- |
- |
- |
- |
- |
- |
- |
Buildings and Other Property Used by Plan |
- |
- |
- |
- |
- |
- |
- |
- |
- |
Other or Unspecified Assets |
486 |
312 |
174 |
332 |
239 |
93 |
154 |
73 |
81 |
Total Assets |
1808256 |
1545185 |
263071 |
165462 |
74828 |
90634 |
1642794 |
1470358 |
172437 |
|
|
|
|
|
|
|
|
|
|
Liabilities |
|
|
|
|
|
|
|
|
|
Benefit Claims Payable |
623 |
535 |
88 |
147 |
74 |
73 |
476 |
461 |
14 |
Operating Payables |
1277 |
1119 |
158 |
157 |
7 |
150 |
1120 |
1112 |
9 |
Acquisition Indebtedness |
13821 |
913 |
12907 |
13659 |
893 |
12765 |
162 |
20 |
142 |
Other Liabilities |
13292 |
3269 |
10023 |
8646 |
303 |
8343 |
4645 |
2965 |
1680 |
Total Liabilities |
29012 |
5836 |
23176 |
22609 |
1278 |
21331 |
6404 |
4558 |
1845 |
|
|
|
|
|
|
|
|
|
|
Net Assets |
1779244 |
1539350 |
239895 |
142854 |
73550 |
69303 |
1636391 |
1465799 |
170591 |
|
NOTES: KSOPs are defined as ESOPs with a 401(k) plan feature. Stand-Alone ESOPs have no such feature. |
Participants, assets, and liabilities are tabulated as of the end of the plan year. |
Total asset amounts shown do not include the value of allocated insurance contracts described in 29 C.F.R § 2520.104-44. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
|
|
|
|
|
|
**/ Less than $500,000. |
|
|
|
|
|
|
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
72
600
600
3
29
R30C1:R30C10
False
False
Table D13. Income Statement of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by type of ESOP and leveraged status, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total Plans |
Stand−Alone ESOPs |
KSOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Income |
|
|
|
|
|
|
|
|
|
Contributions Received or Receivable From: |
|
|
|
|
|
|
|
|
|
Employers |
33643 |
28302 |
5341 |
4227 |
1574 |
2653 |
29416 |
26728 |
2688 |
Participants |
51236 |
46362 |
4874 |
109 |
50 |
59 |
51127 |
46312 |
4815 |
Others (Including Rollovers) |
6579 |
6045 |
534 |
31 |
2 |
29 |
6548 |
6043 |
505 |
Noncash Contributions |
1109 |
1038 |
71 |
800 |
748 |
53 |
309 |
290 |
19 |
Total Contributions |
92567 |
81746 |
10821 |
5167 |
2373 |
2794 |
87400 |
79373 |
8027 |
Interest Earnings: |
|
|
|
|
|
|
|
|
|
Interest-Bearing Cash |
88 |
64 |
24 |
29 |
14 |
15 |
60 |
50 |
9 |
U.S. Government Securities |
282 |
272 |
10 |
13 |
9 |
4 |
269 |
263 |
6 |
Corporate Debt Instruments |
308 |
288 |
20 |
11 |
1 |
10 |
297 |
287 |
10 |
Non-Participant Loans |
26 |
26 |
**/ |
**/ |
**/ |
**/ |
26 |
26 |
**/ |
Participant Loans |
943 |
836 |
107 |
4 |
1 |
3 |
939 |
835 |
104 |
Other or Unspecified Interest |
665 |
469 |
196 |
22 |
3 |
19 |
643 |
466 |
177 |
Total Interest Earnings |
2312 |
1955 |
357 |
78 |
28 |
51 |
2234 |
1928 |
306 |
Dividends: |
|
|
|
|
|
|
|
|
|
Preferred Stock |
434 |
48 |
387 |
314 |
6 |
308 |
120 |
41 |
78 |
Common Stock |
5743 |
4162 |
1580 |
1586 |
639 |
947 |
4156 |
3523 |
633 |
Registered Investment Company Shares (e.g., Mutual Funds) |
6355 |
5397 |
957 |
108 |
32 |
75 |
6247 |
5365 |
882 |
Total Dividend Income |
12531 |
9607 |
2924 |
2008 |
678 |
1331 |
10523 |
8930 |
1594 |
Rents |
**/ |
- |
**/ |
**/ |
- |
**/ |
- |
- |
- |
Net Gain (Loss) on Sale of Assets |
2819 |
1611 |
1208 |
1416 |
1126 |
290 |
1404 |
486 |
918 |
Unrealized Appreciation (Depreciation): |
|
|
|
|
|
|
|
|
|
Unrealized Appreciation of Real Estate |
207 |
8 |
199 |
30 |
-4 |
34 |
177 |
12 |
165 |
Other Unrealized Appreciation |
21482 |
15816 |
5666 |
12405 |
4395 |
8010 |
9077 |
11421 |
-2344 |
Total Unrealized Appreciation (Depreciation) |
21689 |
15824 |
5865 |
12435 |
4391 |
8044 |
9254 |
11433 |
-2179 |
Net Investment Gain (Loss) From: |
|
|
|
|
|
|
|
|
|
Common/Collective Trusts |
67168 |
62479 |
4690 |
234 |
155 |
79 |
66934 |
62323 |
4611 |
Pooled Separate Accounts |
1461 |
1428 |
33 |
11 |
2 |
9 |
1451 |
1427 |
24 |
Master Trusts |
66363 |
61037 |
5327 |
152 |
90 |
61 |
66212 |
60946 |
5265 |
103-12 Investment Entities |
174 |
171 |
3 |
- |
- |
- |
174 |
171 |
3 |
Registered Investment Companies |
20557 |
18790 |
1768 |
146 |
47 |
99 |
20411 |
18743 |
1669 |
Other or Unspecified Income |
5413 |
3848 |
1564 |
1492 |
649 |
844 |
3920 |
3200 |
721 |
Total Income |
293056 |
258497 |
34560 |
23139 |
9538 |
13601 |
269917 |
248958 |
20958 |
|
|
|
(continued...) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
66
600
600
3
3
40
9
False
False
Table D13. Income Statement of Employee Stock Ownership Plans (ESOPs) |
with 100 or More Participants |
by type of ESOP and leveraged status, 2020 |
(millions) |
|
|
|
|
Income and Expenses |
Total Plans |
Stand−Alone ESOPs |
KSOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Total |
Nonleveraged ESOPs |
Leveraged ESOPs |
Expenses |
|
|
|
|
|
|
|
|
|
Benefit Payments and Payments to Provide |
|
|
|
|
|
|
|
|
|
Benefits: |
|
|
|
|
|
|
|
|
|
Direct Benefit Payments |
144490 |
124463 |
20027 |
12038 |
7454 |
4584 |
132452 |
117009 |
15443 |
Payments to Insurance Carriers for Benefits |
4 |
4 |
**/ |
2 |
2 |
**/ |
2 |
2 |
- |
Other or Unspecified Benefits |
546 |
353 |
193 |
484 |
318 |
165 |
62 |
34 |
28 |
Total Benefit Payments |
145040 |
124820 |
20220 |
12523 |
7774 |
4750 |
132516 |
117046 |
15470 |
Interest Expense |
669 |
19 |
650 |
628 |
18 |
610 |
41 |
1 |
40 |
Corrective Distributions |
23 |
18 |
5 |
**/ |
- |
**/ |
22 |
18 |
4 |
Deemed Distrib. of Partic. Loans |
93 |
83 |
9 |
2 |
1 |
1 |
90 |
82 |
8 |
Administrative Expenses: |
|
|
|
|
|
|
|
|
|
Professional Fees |
123 |
110 |
14 |
12 |
7 |
5 |
111 |
102 |
9 |
Contract Administrator Fees |
144 |
128 |
17 |
9 |
4 |
4 |
136 |
123 |
13 |
Investment Advisory and Management Fees |
302 |
286 |
16 |
6 |
3 |
3 |
296 |
283 |
13 |
Other or Unspecified Admin. Expenses |
196 |
174 |
22 |
7 |
3 |
3 |
189 |
171 |
18 |
Total Administrative Expenses |
765 |
697 |
68 |
33 |
18 |
15 |
732 |
679 |
53 |
Unspecified Expenses |
24 |
3 |
21 |
23 |
3 |
20 |
1 |
**/ |
1 |
Total Expenses |
146613 |
125641 |
20972 |
13210 |
7813 |
5396 |
133404 |
117828 |
15576 |
|
|
|
|
|
|
|
|
|
|
Net Income |
146443 |
132856 |
13588 |
9930 |
1725 |
8205 |
136513 |
131131 |
5382 |
|
NOTES: KSOPs are defined as ESOPs with a 401(k) plan feature. Stand-Alone ESOPs have no such feature. |
Participants are tabulated as of the end of the plan year. |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
*/ Fewer than 500 participants. |
|
|
|
|
|
|
**/ Less than $500,000. |
|
|
|
|
|
|
- Missing or zero. |
SOURCE: Form 5500 filings for plan years ending in 2020. |
|
|
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66
600
600
3
29
R30C1:R30C10
False
False
Table D14. Number of Defined Contribution Plans |
by type of plan and select reported benefit codes, 2020 |
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|
Type of Plan ¹ |
Number of Plans |
Profit Sharing ² |
Stock Bonus ³ |
Target Benefit ⁴ |
Money Purchase ⁵ |
Total Defined Contribution |
700033 |
672442 |
4165 |
312 |
4999 |
401(k)-Type |
621509 |
621160 |
386 |
81 |
295 |
403(b) |
20732 |
4520 |
2 |
2 |
122 |
Other Defined Contribution |
57793 |
46762 |
3777 |
228 |
4583 |
|
NOTES: Plans reporting more than one benefit code may be included in more than one column of the table. Also, defined contribution plans that do not report any of the benefit codes associated with Profit Sharing, Stock Bonus, Target Benefit, or Money Purchase plans are only included in the "Number of Plans" column. |
Excludes "one-participant plans." |
Some totals do not equal the sum of the components due to rounding. |
Pension plan statistics are weighted to estimate the impact of delinquent filers. This may result in non-integer plan counts and associated statistics in the underlying data. For more information on the weighted estimates, refer to the “Weights” section in the User Guide of the Form 5500 Private Pension Research File. |
1 An annuity arrangement under Code section 403(b)(1) and custodial account arrangement under Code section 403(b)(7) are grouped under the category of 403(b). These numbers may not represent all 403(b) plans because those 403(b) plans that are not established or maintained by an employer as described in DOL Regulation 29 C.F.R § 2510.3-2(f) are exempt from filing a Form 5500/5500-SF. These data include only 403(b) plans that file the Form 5500 or Form 5500-SF. Additional information on 403(b) filing requirements can be found in Field Assistance Bulletins 2009-02 and 2010-01. Approximately 0.05% of individual account plans indicate both 401(k) and 403(b) plan characteristics. For purposes of this report, they are classified as 401(k)-type plans. |
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2 Pension benefit feature 2E. |
3 Pension benefit feature 2I. |
4 Pension benefit feature 2B. |
5 Pension benefit feature 2C. |
*/ Fewer than 500 participants. |
**/ Less than $500,000. |
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- Missing or zero. |
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SOURCE: Form 5500 filings for plan years ending in 2020. |
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600
600
3
12
R13C1:R13C6
False
False