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Aviva Investors Americas Savings & Retirement Plan


Plan Information

  • Plan Year01/01/2018 — 12/31/2018
  • Date of Plan04/01/2013
  • Net Assets as of 12/31/2018 $10,870,061
  • Plan Number1
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2018

  • Active (Eligible) Participants54
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits30
  • Subtotal84
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total84
  • Total number of participants as of 01/01/201891
  • Number of participants with account balances84
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0


  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address225 West Wacker Drive Suite 1750
  • CityChicago
  • StateIL
  • Zip60606
  • Telephone(312) 873-5800
  • EIN61-1691139
  • Industry Code523900
  • Named AdministratorSean Brumble

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G Total participant-directed account plan Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J Code section 401(k) feature A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
2K Code section 401(m) arrangement Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contributions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
2R Brokerage Window Participant-directed brokerage accounts provided as an investment option under the plan.
2S Automatic Enrollment Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
3D Master plan A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $2,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan at any time hold 20% or more of its assets in any single security, debt, mortgage, parcel of real estate, or partnership/joint venture interest? No $0
Are you claiming a waiver of the annual examination and report of an independent qualified public accountant (IQPA) under 29 CFR 2520.104-46? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No


Income and Expense Statement

Income $723,893
Contributions $0
Cash Contributions $1,439,952
Cash from Employers $565,478
Cash from Participants $750,254
Others (including rollovers) $124,220
Noncash Contributions $0
Other Income $-716,059
Expenses $2,822,047
Total Benefit Payments $2,820,721
Corrective Distributions $572
Certain deemed distributions of participant loans $0
Other Expenses $0
Net Income $-2,098,154
Transfers of Assets to (from) this Plan $0

Asset and Liability Statement

12/31/2018 12/31/2017 Change YOY
Total Assets $10,870,061 $12,968,215 -16.18%
Total Liabilities $0 $0 0.0%
Net Assets $10,870,061 $12,968,215 -16.18%

Specific Assets Statement

Held? Amount
Total Specific Assets No $171,496
Partnership/joint venture interests No $41,158
Employer Real Property No $0
Real Estate No $0
Employer Securities No $0
Participant Loans No $130,338
Loans (other than to participants) No $0
Tangible Personal Property No $0

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

There are no service providers listed for this plan.

Indirect Compensation

There are no service providers with indirect compensation listed for this plan.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.



Name of Investment Investment Manager Type of Investment Dollar Value
Core Plus Bond / Pgim Fd Prudential Retirement Ins. DFE: Pooled Separate Account $396,532
Scv/Kennedy Capital Prudential Retirement Ins. DFE: Pooled Separate Account $391,604
Mcg/Timessquare Prudential Retirement Ins. DFE: Pooled Separate Account $264,358
Total $1,052,494

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Prudential Retirement Insurance and Annuity Company 84
EIN 06-1050034
Industry Code 93629
Contract Number 074053
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $1,667,376
Value in Separate Accounts at Year End $1,052,494
Insurance Fees and Commissions $0
Persons Receiving Commissions and Fees There are no brokers listed for this plan.
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Balance at the end of the previous year $2,298,137
Additions $333,658
Contributions Deposited during the year $97,090
Dividends and credits $0
Interest credited during the year $38,755
Transferred from separate account $10,223
Other $187,590
Total of Balance and Additions $2,631,795
Deductions $964,419
Disbursed from fund to pay benefits or purchase annuities during the year $540,472
Administration charge made by carrier $1
Transferred to Separate Account $7,343
Other $416,603
Balance at the end of the current year $1,667,376