Brake.Ryan Brake, Ryan - EBSA CTR 2012-02-08T19:32:33Z 2010-04-28T17:34:44Z 2012-04-02T18:10:09Z EBSA 14.00 13095 9975 14400 -210 False False Table 1. Number of Direct Filing Entities, Assets, Invested Pension Plans, and Invested DFEs by type of entity, 2008 Type of Direct Filing Entity Number of Entities Total Assets (millions) Number of Invested Private Pension Plans 1/ Number of Invested DFEs 2/ Total 7702 3657783 Common Trust 3448 1796328 22318 2831 Master Trust 1693 1389434 3524 105 Pooled Separate Account 2128 192577 16527 156 103-12 Investment Entities 433 279444 733 181 1/ Number of invested private pension plans include multiple counting of plans invested in more than one type of DFE. 2/ Number of invested DFEs include multiple counting of DFEs invested in more than one type of DFE. SOURCE: Form 5500 filings for plan years ending in 2008. 98 600 600 3 20 False False Table 2. Balance Sheet of Direct Filing Entities by type of entity, 2008 (amounts in millions) Type of Asset Total Common Master Pooled Separate 103-12 Investment Trusts Trusts Accounts Entities Total noninterest-bearing cash 13696 8443 4470 83 700 Employer contrib. receivable 1192 2 1168 */ 23 Participant contrib. receivable 10 2 3 */ 6 Other receivables 218990 107434 85727 4594 21234 Interest-bearing cash 356345 255439 78039 5745 17121 U. S. Government securities 438922 224480 150017 10655 53770 Corporate debt instruments: Preferred 126729 58030 61452 5106 2142 Corporate debt instruments: All other 367161 203292 102306 20451 41112 Preferred stock 8830 3713 2427 140 2551 Common stock 1164150 666903 389824 43134 64289 Partnership/joint venture interests 127841 21599 75056 10904 20282 Real estate (except employer real property) 64858 20718 16583 26331 1227 Loans (other than to participants) 72086 50938 10666 6285 4198 Participant loans 1502 11 1490 1 0 Assets in registered investment companies 270995 32702 176552 56415 5326 Assets in insurance co. general accounts 62230 13842 48239 11 138 Other general investments 299291 128782 122465 2721 45323 Employer securities 62941 0 62938 3 0 Employer real property 12 0 12 0 0 Buildings and other property used by plan */ 0 */ 0 0 TOTAL ASSETS 3657783 1796328 1389434 192577 279444 */ Less than $500,000 SOURCE: Form 5500 filings for plan years ending in 2008. 600 600 3 1 R2C1:R2C6 False False Table 3. Distribution of Direct Filing Entities by type of entity and number of private pension plans invested, 2008 Number of Private Pension Plans Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 7702 3448 1693 2128 433 0 946 591 181 88 86 1 1434 809 274 206 145 2-5 2840 1109 1141 446 144 6-50 1806 803 97 850 56 51-100 271 62 - 207 2 101-200 167 29 - 138 - 201-300 93 9 - 84 - 301-400 49 12 - 37 - 401 or more 96 24 - 72 - 1/ Number of private pension plans invested include multiple counting of plans invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2008. 96 300 300 3 R1C1:R20C6 False False Table 4. Distribution of Direct Filing Entities by type of entity and number of DFEs invested, 2008 Number of DFEs Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 7702 3448 1693 2128 433 0 5696 1790 1650 1978 278 1 849 649 36 79 85 2-5 844 736 7 47 54 6-50 305 265 - 24 16 51-100 4 4 - - - 101-200 4 4 - - - 201-300 - - - - - 301-400 - - - - - 1/ Number of DFEs invested include multiple counting of entities invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2008. 96 600 600 3 R1C1:R18C6 False False Table 5. Distribution of Direct Filing Entities by type of entity and amount of assets, 2008 Amount of Assets All Common Master Pooled Separate 103-12 Investment Trusts Trusts Accounts Entities Total 7702 3448 1693 2128 433 Less than $0 1/ 528 283 143 90 12 None or not reported - - - - - $1-24K 308 68 19 219 2 25-49K 47 19 4 24 - 50-99K 49 13 8 26 2 100-249K 113 28 16 69 - 250-499K 167 44 12 109 2 500-999K 203 65 16 119 3 1-2.49M 365 128 30 202 5 2.5-4.9M 367 149 40 171 7 5-9.9M 453 179 82 178 14 10-24.9M 837 349 132 316 40 25-49.9M 737 379 125 191 42 50-74.9M 430 200 97 103 30 75-99.9M 296 152 68 49 27 100-149.9M 463 237 120 68 38 150-199.9M 333 158 91 51 33 200-249.9M 226 111 71 30 14 250-499.9M 595 309 185 53 48 500-999.9M 485 246 156 32 51 1-2.49B 411 186 174 13 38 2.5B or more 289 145 104 15 25 1/ Negative asset amounts for certain DFEs are the result of over-ownership of those DFEs by other DFEs as reported on the Form 5500 Schedule D. - Missing data SOURCE: Form 5500 filings for plan years ending in 2008. 96 600 600 3 R1C1:R32C6 False False Table 6. Distribution of Direct Filing Entity Assets by type of entity and number of private pension plans invested, 2008 (amounts in millions) Number of Private Pension Plans Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 3657783 1796328 1389434 192577 279444 0 303806 208572 70631 7904 16699 1 413781 174952 182118 2416 54295 2-5 1438936 487902 831325 7420 112289 6-50 1006397 576429 305360 28779 95829 51-100 221145 193886 - 26928 331 101-200 62468 30637 - 31832 - 201-300 49264 37748 - 11516 - 301-400 35344 19465 - 15879 - 401 or more 126641 66737 - 59904 - 1/ Number of private pension plans invested include multiple counting of plans invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2008. 96 600 600 3 24 2 False False Table 7. Distribution of Direct Filing Entity Assets by type of entity and number of DFEs invested, 2008 (amounts in millions) Number of DFEs Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 3657783 1796328 1389434 192577 279444 0 2037135 490095 1378032 83124 85885 1 372340 270532 9553 38704 53551 2-5 554518 424445 1849 41304 86920 6-50 638714 556181 - 29446 53087 51-100 18491 18491 - - - 101-200 36585 36585 - - - 201-300 - - - - - 301-400 - - - - - 1/ Number of DFEs invested include multiple counting of entities invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2008. 96 600 600 3 R1C1:R19C6 False False Table 8. Distribution of Direct Filing Entity Assets by type of entity and amount of assets (amounts in millions) Amount of Assets All Common Master Pooled Separate 103-12 Investment Trusts Trusts Accounts Entities Total 3657783 1796328 1389434 192577 279444 Less than $0 1/ -12104 -11089 -729 -192 -93 $1-24K 2 1 */ 1 */ 25-49K 2 1 */ 1 - 50-99K 4 1 1 2 */ 100-249K 18 5 3 11 - 250-499K 63 17 5 40 1 500-999K 149 48 11 88 2 1-2.49M 614 221 51 333 10 2.5-4.9M 1331 549 142 614 26 5-9.9M 3342 1303 618 1327 94 10-24.9M 14118 5857 2302 5236 723 25-49.9M 26710 13814 4561 6793 1543 50-74.9M 26687 12347 6120 6355 1865 75-99.9M 25505 13084 5903 4206 2312 100-149.9M 57220 29293 14905 8402 4620 150-199.9M 57730 27404 15970 8640 5716 200-249.9M 50861 24804 16178 6676 3204 250-499.9M 210998 110123 64542 18799 17534 500-999.9M 339988 171869 109586 22589 35944 1-2.49B 646536 292955 276336 19406 57838 2.5B or more 2208009 1103724 872930 83250 148105 1/ Negative asset amounts for DFEs are the result of over-ownership of those DFEs by other DFEs as reported on the Form 5500 Schedule D. */ Less than $500,000 and greater than $0 - Missing data SOURCE: Form 5500 filings for plan years ending in 2008. 96 600 600 3 R1C1:R33C6 False False Table 9. Number of Private Pension Plans and DFEs Investing in DFEs by type of private pension plan or DFE, 2008 Investor Type Type of Asset Holder Common Collective Trust Master Trust 103-12 Investment Entity Pooled Separate Account Total 25149 3629 913 16683 Defined Benefit 2635 2196 427 1550 Defined Contribution 19683 1328 306 14977 Common Collective Trust 1768 10 7 7 Master Trust 965 95 121 60 Pooled Separate Account 39 0 0 86 103-12 Investment Entity 59 0 53 3 NOTE: Counts shown include multiple counting of plans and DFEs that invest in more than one type of DFE. SOURCE: Form 5500 filings for plan years ending in 2008. 98 600 600 3 21 1 False False Table 10. Private Pension Plan and DFE Assets Invested in DFEs by type of private pension plan or DFE, 2008 (amounts in millions) Investor Type Type of Asset Holder Common Collective Trust Master Trust 103-12 Investment Entity Pooled Separate Account Total 1582397 1246618 83317 130507 Defined Benefit 270061 766403 22536 34376 Defined Contribution 254519 450080 5158 78076 Common Collective Trust 805626 3639 1913 2993 Master Trust 246857 26495 11340 4221 Pooled Separate Account 1668 0 0 10486 103-12 Investment Entity 3665 0 42369 355 SOURCE: Form 5500 filings for plan years ending in 2008. 98 300 300 3 R1C1:R15C5 False False Table 11. Balance Sheet of Pension Plans with 100 or More Participants by type of plan, 2008 (amounts in millions) Type of Asset or Liability Total Defined Defined Benefit Contribution ASSETS Total noninterest-bearing cash 11878 7557 4320 Employer contrib. receivable 75959 53697 22262 Participant contrib. receivable 1550 63 1488 Other receivables 140893 115024 25869 Interest-bearing cash 203746 94641 109105 U. S. Government securities 324470 236332 88138 Corporate debt instruments: Preferred 102582 83175 19407 Corporate debt instruments: All other 228911 162955 65956 Preferred stock 6625 5611 1014 Common stock 841853 605725 236128 Partnership/joint venture interests 152816 143775 9041 Real estate (except employer real property) 36671 32762 3909 Loans (other than to participants) 28438 19967 8471 Participant loans 47023 343 46680 Assets in registered investment companies 1233110 270384 962726 Assets in insurance co. general accounts 131289 19708 111581 Other general investments 312569 136629 175941 Employer securities 267249 12405 254845 Employer real property 470 48 421 Buildings and other property used by plan 1646 1611 36 Other or unspecified assets 27858 1318 26540 TOTAL ASSETS 4177608 2003730 2173878 LIABILITIES Benefit claims payable 1580 550 1030 Operating payables 12616 10273 2343 Acquisition indebtedness 12690 3322 9367 Other liabilities 87598 70948 16650 TOTAL LIABILITIES 114484 85093 29391 NET ASSETS 4063124 1918637 2144487 SOURCE: Form 5500 filings for plan years ending in 2008. 92 600 600 3 1 R2C1:R2C7 False False Table 12. Balance Sheet Comparison of Pension Plans with 100 or more Participants original amounts compared to spread amounts by type of plan, 2008 (amounts in millions) Type of Asset or Liability Total Spread Defined Benefit Spread Defined Contribution Spread Total Original Defined Benefit Original Defined Contribution Original ASSETS Total noninterest-bearing cash 11878 7557 4320 6895 3958 2937 Employer contrib. receivable 75959 53697 22262 68821 46616 22206 Participant contrib. receivable 1550 63 1488 1531 54 1477 Other receivables 140893 115024 25869 47472 38632 8839 Interest-bearing cash 203746 94641 109105 96433 39712 56721 U. S. Government securities 324470 236332 88138 146090 122197 23893 Corporate debt instruments: Preferred 102582 83175 19407 40471 35592 4878 Corporate debt instruments: All other 228911 162955 65956 84611 74501 10110 Preferred stock 6625 5611 1014 1969 1512 457 Common stock 841853 605725 236128 298493 246223 52270 Partnership/joint venture interests 152816 143775 9041 69424 66897 2527 Real estate (except employer real property) 36671 32762 3909 15717 15049 669 Loans (other than to participants) 28438 19967 8471 7442 6244 1199 Participant loans 47023 343 46680 46249 170 46079 Assets in common/collective trusts 0 0 0 522714 268999 253715 Assets in pooled separate accounts 0 0 0 111556 34205 77351 Assets in master trusts 0 0 0 1216283 766323 449961 Assets in 103-12 investment entities 0 0 0 26326 22533 3793 Assets in registered investment companies 1233110 270384 962726 910695 132010 778685 Assets in insurance co. general accounts 131289 19708 111581 75756 12946 62810 Other general investments 312569 136629 175941 140464 63860 76604 Employer securities 267249 12405 254845 212184 2484 209701 Employer real property 470 48 421 470 48 421 Buildings and other property used by plan 1646 1611 36 1646 1611 36 Other or unspecified assets 27858 1318 26540 27858 1318 26540 TOTAL ASSETS 4177608 2003730 2173878 4177571 2003694 2173878 LIABILITIES Benefit claims payable 1580 550 1030 1580 550 1030 Operating payables 12616 10273 2343 12616 10273 2343 Acquisition indebtedness 12690 3322 9367 12690 3322 9367 Other liabilities 87598 70948 16650 87589 70939 16650 TOTAL LIABILITIES 114484 85093 29391 114475 85084 29391 NET ASSETS 4063124 1918637 2144487 4063096 1918609 2144487 SOURCE: Form 5500 filings for plan years ending in 2008. 74 300 300 75 3 1 R2C1:R2C7 False False