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Enel Green Power North America

Plan Rating

Overview Financials Service Providers Investments Insurance Information

FORM 5500 DATA

Enel Green Power North America, Inc. 401k Plan

Plan Rating

Overview Financials Service Providers Investments Insurance Information

Overview

Plan Information

Plan Year01/01/2019 — 12/31/2019
Date of Plan01/01/1991
Net Assets as of 12/31/2019 $44,867,007
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 Arrangement Trust
Plan Benefit Arrangement Trust

Participant Information as of 12/31/2019

Active (Eligible) Participants729
Retired or separated participants receiving benefits0
Other retired or separated participants entitled to future benefits149
Subtotal878
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits1
Total879
Total number of participants as of 01/01/2019764
Number of participants with account balances765
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0

Expenses

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

Audit Information

Audit StatusAudited
AuditorCaron & Bletzer, PLLC
Auditor EIN04-3499945
Audit Opinion Disclaimer
Audit TypeLimited Scope Audit

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.
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.
3H	Controlled Group	Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

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	$500,000
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 have assets held for investment?	Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets?	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

Financials

Income and Expense Statement

Income

$15,802,642

Contributions

$7,472,833

Cash Contributions

$7,472,833

	Cash from Employers	$2,063,231
	Cash from Participants	$4,552,351
	Others (including rollovers)	$857,251

Noncash Contributions

Total Earnings on Investments

$8,253,596

Total Interest

$40,447

	Interest-Bearing Cash	$0
	U.S. Government Securities	$0
	Corporate Debt Instruments	$0
	Loans (other than to participants)	$0
	Participant Loans	$40,447
	Interest from Other Investments	$0

Total Dividends

$2,518,330

	Preferred Stock	$0
	Common Stock	$0

Rents

Net gain (loss) on sale of assets

	Aggregate Proceeds	$0
	Aggregate Carrying Amount	$0

Total Unrealized Appreciation (depreciation) of assets

	Real Estate	$0
	Other	$0

Net investment gain (loss) from common/collective trusts

$22,417

Net investment gain (loss) from pooled separate accounts

Net investment gain (loss) from master trust investment accounts

Net investment gain (loss) from 103-12 investment entities

Net investment gain (loss) from registered investment companies

$5,672,402

Other Income

$76,213

Expenses

$3,998,637

Total Benefit Payments

$3,899,754

	Directly to participants or beneficiaries, including direct rollovers	$3,899,754
	To insurance carriers for the provision of benefits	$0
	Other Benefit Payment Fees	$0

Corrective Distributions

Certain deemed distributions of participant loans

$37,116

Interest expense

Total Administrative Expenses

$61,767

	Professional Fees	$0
	Contract Administrator Fees	$0
	Investment Advisory and management fees	$0
	Other Administrative Fees	$61,767

Net Income

$11,804,005

	Transfers of Assets to this Plan	$0
	Transfers of Assets from this Plan	$1,618,770

Asset and Liability Statement

12/31/2019

12/31/2018

Change YOY

Total Assets

$44,867,007

$34,681,772

29.37%

Total noninterest-bearing cash

0.0%

Receivables

$87,472

-100.00%

Employer Contributions	$0	$41,429	-100.00%
Participant Contributions	$0	$46,043	-100.00%
Other Contributions	$0	$0	0.0%

General Investments

0.0%

Interest-bearing cash

0.0%

U.S. Government Securities

0.0%

Corporate Debt Instruments

0.0%

	Preferred		$0	$0	0.0%
	All Other		$0	$0	0.0%

Corporate Stocks

0.0%

	Preferred		$0	$0	0.0%
	Common		$0	$0	0.0%

Partnership/joint venture interests

0.0%

Real estate (other than employer real property)

0.0%

Loans (other than to participants)

0.0%

Participants Loans

$858,688

$704,029

21.97%

Value of interest in common/collective trusts

$1,573,056

$1,547,345

1.66%

Value of interest in pooled separate accounts

0.0%

Value of interest in master trust investment accounts

0.0%

Value of interest in 103-12 investment entities

0.0%

Value of interest in registered investment companies

$42,435,263

$32,342,926

31.20%

Value of funds held in insurance co. general account

0.0%

Other Investments

0.0%

Employer-related Investments

0.0%

	Employer Securities		$0	$0	0.0%
	Employer Real Property		$0	$0	0.0%

Buildings and other property used in plan operation

0.0%

Total Liabilities

0.0%

Benefit Claims Payable (1)	$0	$0	0.0%
Operating Payables (1)	$0	$0	0.0%
Acquisition Indebtedness (1)	$0	$0	0.0%
Other liabilities (1)	$0	$0	0.0%

Net Assets

$44,867,007

$34,681,772

29.37%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

Allianz Global Investors Distributo
Columbia
Dws Distributors, Inc.
Federated Securities Corp.
Fred Alger & Company, Incorporated
Invesco
J.P. Morgan Investment Management
Mfs Fund Distributors, Inc.
Oppenheimer Funds Inc.
Pioneer Investment Management, Inc
T. Rowe Price
Vanguard
Victory Capital Management

Other Service Providers Receiving Direct or Indirect Compensation

Name	Nature of Service	Relationship to Plan Sponsor	Direct Compensation Paid by Plan	Indirect Compensation Paid by Plan	Total Compensation
Merrill Lynch Pierce Fenner & Smith	Recordkeeping and information management (computing, tabulating, data processing, etc.), Trustee (bank, trust company, or similar financial institution), Other services, Direct payment from the plan, Recordkeeping fees, Other fees	Investment Advisor	$52,125	$0	$52,125
Adp, LLC	Participant loan processing, Direct payment from the plan, Recordkeeping and information management (computing, tabulating, data processing, etc.), Recordkeeping fees	Record Keeper	$8,591	$0	$8,591
Adp Broker-Dealer	Sub-transfer agency fees, Shareholder servicing fees	Record Keeper	$0	$0	$0
Total			$60,716	$0	$60,716

Indirect Compensation

Name	Source of Indirect Compensation*	Nature of Service	Description of Indirect Compensation	Indirect Compensation Paid by Plan
Adp Broker-Dealer	Columbia	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00250 of Average Daily Assets	$0
Adp Broker-Dealer	Dws Distributors, Inc.	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00350 of Average Daily Assets Annual Rate 0.00350 of Average Daily Assets	$0
Adp Broker-Dealer	Federated Securities Corp.	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00250 of Average Daily Assets	$0
Adp Broker-Dealer	Invesco	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets	$0
Adp Broker-Dealer	J.P. Morgan Investment Management	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets	$0
Adp Broker-Dealer	Mfs Fund Distributors, Inc.	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00250 of Average Daily Assets	$0
Adp Broker-Dealer	Pioneer Investment Management, Inc	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00350 of Average Daily Assets	$0
Adp Broker-Dealer	T. Rowe Price	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00150 of Average Daily Assets	$0
Adp Broker-Dealer	Victory Capital Management	Sub-transfer agency fees, Shareholder servicing fees	Annual Rate 0.00250 of Average Daily Assets	$0
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

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.

Investments

Name of Investment	Investment Manager	Type of Investment	Dollar Value
Federated Cap Preservation - R	Federated Investors Trust Co	DFE: Common/Collective Trust	$1,573,056
Total			$1,573,056

Insurance Information

There are no insurance carriers listed for this plan.