Brake.Ryan 2012-02-08T19:32:33Z 2010-04-28T17:34:44Z 2012-05-15T15:57:55Z EBSA 12.00 2012.5.3 2009 DFE Tabulations.XLS 1 1a 1b 2 3 4 6 7 9 10 13 14 15 16 17 0 0 0 1 0 2 0 3 0 4 0 5 0 6 0 7 0 8 0 9 0 10 0 11 0 12 0 13 0 14 \Brake.Ryan\My Documents\2009 Form 5500 Bulletin\Output\1.11.2012 Version\2009 Section C Values.xls 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 10215 13890 10320 435 2 False False Table 1. Number of Direct Filing Entities, Assets, Invested Pension Plans, and Invested DFEs by type of entity, 2009 Type of Direct Filing Entity Number of Entities Total Assets (millions) Number of Invested Private Pension Plans 1/ Number of Invested DFEs 2/ Total 8011 3572015 Common Trust 3694 1611336 22456 2773 Master Trust 1629 1461564 3401 117 Pooled Separate Account 2239 212822 18925 846 103-12 Investment Entities 449 286293 733 194 1/ Number of invested private pension plans includes multiple counting of plans invested in more than one type of DFE. 2/ Number of invested DFEs includes multiple counting of DFEs invested in more than one type of DFE. SOURCE: Form 5500 filings for plan years ending in 2009.

98 600 600 3 20 3 False False Table 2. Balance Sheet of Direct Filing Entities by type of entity, 2009 (amounts in millions) Type of Asset Total Common Master Pooled Separate 103-12 Investment Trusts Trusts Accounts Entities Total noninterest-bearing cash 3851 673 2797 69 312 Employer contrib. receivable 1432 */ 1411 */ 21 Participant contrib. receivable 14 1 9 0 5 Other receivables 127681 45682 55844 3068 23087 Interest-bearing cash 315125 224242 69664 7760 13459 U. S. Government securities 346266 174994 118645 4946 47681 Corporate debt instruments: Preferred 111675 37219 64769 7144 2542 Corporate debt instruments: All other 389876 170555 131979 34907 52435 Preferred stock 7206 2275 3172 177 1582 Common stock 1363532 765790 441775 66338 89629 Partnership/joint venture interests 103962 2899 77834 7521 15708 Real estate (except employer real property) 42359 8415 12163 21054 727 Loans (other than to participants) 50277 32718 9214 5034 3312 Participant loans 1340 */ 1339 1 0 Assets in registered investment companies 299894 22854 220497 52643 3900 Assets in insurance co. general accounts 68977 15987 52308 337 344 Other general investments 260964 107033 120570 1813 31549 Employer securities 77340 */ 77331 10 */ Employer real property 243 0 243 0 0 Buildings and other property used by plan */ 0 */ 0 0 TOTAL ASSETS 3572015 1611336 1461564 212822 286293 */ Less than $500,000 SOURCE: Form 5500 filings for plan years ending in 2009.

600 600 3 6 2 False False Table 3. Distribution of Direct Filing Entities by type of entity and number of private pension plans invested, 2009 Number of Private Pension Plans Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 8011 3694 1629 2239 449 0 1172 685 206 177 104 1 1578 928 258 258 134 2-5 2899 1198 1090 451 160 6-50 1687 740 75 822 50 51-100 285 67 - 217 1 101-200 189 30 - 159 - 201-300 84 12 - 72 - 301-400 22 6 - 16 - 401 or more 95 28 - 67 - 1/ Number of private pension plans invested includes multiple counting of plans invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2009.

96 300 300 3 7 5 R8C6:R16C6 False False Table 4. Distribution of Direct Filing Entities by type of entity and number of DFEs invested, 2009 Number of DFEs Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 8011 3694 1629 2239 449 0 5872 1898 1589 2115 270 1 910 719 34 61 96 2-5 905 793 6 40 66 6-50 313 273 - 23 17 51-100 8 8 - - - 101-200 2 2 - - - 201-300 1 1 - - - 301-400 - - - - - 1/ Number of DFEs invested includes multiple counting of entities invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2009.

96 600 600 3 6 5 R7C6:R14C6 False False Table 5. Distribution of Direct Filing Entities by type of entity and amount of assets, 2009 Amount of Assets All Common Master Pooled Separate 103-12 Investment Trusts Trusts Accounts Entities Total 8011 3694 1629 2239 449 Less than $0 1/ 686 450 158 67 11 None or not reported - - - - - $1-24K 199 79 16 102 2 25-49K 71 31 3 36 1 50-99K 56 13 5 37 1 100-249K 123 25 10 87 1 250-499K 154 35 7 110 2 500-999K 242 72 19 150 1 1-2.49M 403 131 29 231 12 2.5-4.9M 426 156 49 211 10 5-9.9M 453 202 45 195 11 10-24.9M 789 345 107 300 37 25-49.9M 791 363 126 251 51 50-74.9M 422 226 72 94 30 75-99.9M 304 158 59 61 26 100-149.9M 463 245 108 79 31 150-199.9M 340 154 101 53 32 200-249.9M 248 132 62 32 22 250-499.9M 667 330 207 74 56 500-999.9M 476 241 149 33 53 1-2.49B 402 176 172 20 34 2.5B or more 296 130 125 16 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 2009.

96 600 600 3 6 5 R7C6:R28C6 False False Table 6. Distribution of Direct Filing Entity Assets by type of entity and number of private pension plans invested, 2009 (amounts in millions) Number of Private Pension Plans Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 3572015 1611336 1461564 212822 286293 0 303429 187561 88896 9297 17675 1 412657 189932 162462 3870 56392 2-5 1526306 455305 936958 8234 125810 6-50 924840 525002 273248 41090 85500 51-100 130860 102904 - 27039 916 101-200 49706 28957 - 20748 - 201-300 54416 37624 - 16791 - 301-400 19816 10847 - 8969 - 401 or more 149985 73202 - 76783 - 1/ Number of private pension plans invested includes multiple counting of plans invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2009.

96 600 600 3 7 5 R8C6:R16C6 False False Table 7. Distribution of Direct Filing Entity Assets by type of entity and number of DFEs invested, 2009 (amounts in millions) Number of DFEs Invested 1/ All Common Trusts Master Trusts Pooled Separate Accounts 103-12 Investment Entities Total 3572015 1611336 1461564 212822 286293 0 2081665 434008 1451218 117421 79018 1 312203 219679 9754 30576 52194 2-5 603025 445890 592 40038 116505 6-50 512925 449561 - 24787 38577 51-100 35956 35956 - - - 101-200 2813 2813 - - - 201-300 23429 23429 - - - 301-400 - - - - - 1/ Number of DFEs invested includes multiple counting of entities invested in more than one DFE. - Missing data SOURCE: Form 5500 filings for plan years ending in 2009.

96 600 600 3 7 5 R8C6:R15C6 False False Table 8. Distribution of Direct Filing Entity Assets by type of entity and amount of assets, 2009 (amounts in millions) Amount of Assets All Common Master Pooled Separate 103-12 Investment Trusts Trusts Accounts Entities Total 3572015 1611336 1461564 212822 286293 Less than $0 1/ -11364 -10549 -166 -117 -532 $1-24K 2 1 */ 1 */ 25-49K 3 1 */ 1 */ 50-99K 4 1 */ 3 */ 100-249K 21 4 2 15 */ 250-499K 58 13 3 41 1 500-999K 179 53 14 112 1 1-2.49M 672 225 51 377 19 2.5-4.9M 1551 576 180 760 36 5-9.9M 3362 1550 337 1398 77 10-24.9M 13362 5839 1860 5063 600 25-49.9M 28581 13281 4494 8874 1932 50-74.9M 26094 13845 4507 5813 1928 75-99.9M 26312 13715 5102 5240 2256 100-149.9M 56974 30050 13294 9781 3849 150-199.9M 59315 26907 17492 9205 5711 200-249.9M 55186 29348 13905 7025 4908 250-499.9M 236569 116906 75051 25222 19390 500-999.9M 333329 167973 105938 22871 36546 1-2.49B 621592 270016 268587 28394 54595 2.5B or more 2120212 931580 950913 82742 154976 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 SOURCE: Form 5500 filings for plan years ending in 2009.

96 600 600 3 7 5 R8C6:R28C6 False False Table 9. Number of Private Pension Plans and DFEs Investing in DFEs by type of private pension plan or DFE, 2009 Investor Type Type of Asset Holder Common Collective Trust Master Trust 103-12 Investment Entity Pooled Separate Account Total 25228 3520 927 19771 Defined Benefit 2528 2141 483 1496 Defined Contribution 19928 1260 250 17429 Common Collective Trust 1786 11 12 3 Master Trust 906 107 125 56 Pooled Separate Account 24 0 0 787 103-12 Investment Entity 57 0 57 1 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 2009.

98 600 600 3 6 4 R7C5:R12C5 False False Table 10. Private Pension Plan and DFE Assets Invested in DFEs by type of private pension plan or DFE, 2009 (amounts in millions) Investor Type Type of Asset Holder Common Collective Trust Master Trust 103-12 Investment Entity Pooled Separate Account Total 1713277 1505863 92262 186018 Defined Benefit 283793 897498 31910 34465 Defined Contribution 287365 574022 4620 102553 Common Collective Trust 842863 3651 2242 49 Master Trust 294847 30692 9590 6712 Pooled Separate Account 1009 0 0 42218 103-12 Investment Entity 3400 0 43899 21 SOURCE: Form 5500 filings for plan years ending in 2009.

98 300 300 1 3 12 4 False False Table 11. Balance Sheet of Pension Plans with 100 or More Participants by type of plan, 2009 (amounts in millions) Type of Asset or Liability Total Defined Defined Benefit Contribution ASSETS Total noninterest-bearing cash 9769 4984 4785 Employer contrib. receivable 70011 48653 21358 Participant contrib. receivable 1801 26 1775 Other receivables 100466 67372 33095 Interest-bearing cash 213141 102171 110970 U. S. Government securities 308407 210942 97465 Corporate debt instruments: Preferred 118667 93445 25222 Corporate debt instruments: All other 305802 219842 85960 Preferred stock 6054 4966 1088 Common stock 1011324 699572 311752 Partnership/joint venture interests 146788 136955 9832 Real estate (except employer real property) 31562 25290 6272 Loans (other than to participants) 26312 17836 8477 Participant loans 50746 359 50387 Assets in registered investment companies 1671755 319949 1351805 Assets in insurance co. general accounts 212516 21820 190696 Other general investments 350989 171187 179802 Employer securities 289137 9250 279887 Employer real property 500 98 402 Buildings and other property used by plan 1073 1033 40 Other or unspecified assets 32076 1424 30652 TOTAL ASSETS 4958896 2157174 2801722 LIABILITIES Benefit claims payable 1262 537 725 Operating payables 8853 7505 1348 Acquisition indebtedness 9330 1481 7850 Other liabilities 59906 45069 14838 TOTAL LIABILITIES 79352 54593 24759 NET ASSETS 4843131 2100173 2742958 SOURCE: Form 5500 filings for plan years ending in 2009.

92 600 600 3 23 17 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, 2009 (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 9769 4984 4785 6725 2981 3745 Employer contrib. receivable 70011 48653 21358 68536 47460 21076 Participant contrib. receivable 1801 26 1775 1792 25 1767 Other receivables 100466 67372 33095 39449 22167 17282 Interest-bearing cash 213141 102171 110970 89816 33611 56205 U. S. Government securities 308407 210942 97465 123052 96891 26161 Corporate debt instruments: Preferred 118667 93445 25222 41824 35047 6777 Corporate debt instruments: All other 305802 219842 85960 103344 89757 13587 Preferred stock 6054 4966 1088 2410 1994 416 Common stock 1011324 699572 311752 325287 263170 62117 Partnership/joint venture interests 146788 136955 9832 74484 71265 3219 Real estate (except employer real property) 31562 25290 6272 13177 12266 910 Loans (other than to participants) 26312 17836 8477 7859 6277 1583 Participant loans 50746 359 50387 49990 184 49806 Assets in common/collective trusts 0 0 0 570606 283640 286965 Assets in pooled separate accounts 0 0 0 136068 34400 101668 Assets in master trusts 0 0 0 1471184 897203 573981 Assets in 103-12 investment entities 0 0 0 36516 31910 4606 Assets in registered investment companies 1671755 319949 1351805 1283941 152004 1131937 Assets in insurance co. general accounts 212516 21820 190696 141519 13172 128347 Other general investments 350989 171187 179802 123447 56414 67033 Employer securities 289137 9250 279887 214221 2779 211442 Employer real property 500 98 402 500 98 402 Buildings and other property used by plan 1073 1033 40 1073 1033 40 Other or unspecified assets 32076 1424 30652 32076 1424 30652 TOTAL ASSETS 4958896 2157174 2801722 4958896 2157174 2801722 LIABILITIES Benefit claims payable 1262 537 725 1263 538 726 Operating payables 8853 7505 1348 8851 7506 1346 Acquisition indebtedness 9330 1481 7850 9330 1481 7850 Other liabilities 59906 45069 14838 59906 45069 14838 TOTAL LIABILITIES 79352 54593 24759 79352 54593 24759 NET ASSETS 4843131 2100173 2742958 4879544 2102581 2776963 SOURCE: Form 5500 filings for plan years ending in 2009.

74 300 300 75 3 33 3 False False