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FORM 5500 DATA

Aurora Health Care, Inc. Incentive Savings Plan

Overview

Plan Information

  • Plan Year01/01/2015 — 12/31/2015
  • Date of Plan06/20/1987
  • Net Assets as of 12/31/2015 $2,031,231,535
  • Plan Number2
  • 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 12/31/2015

  • Active (Eligible) Participants31,161
  • Retired or separated participants receiving benefits116
  • Other retired or separated participants entitled to future benefits3,747
  • Subtotal35,024
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits30
  • Total35,054
  • Total number of participants as of 01/01/201528,418
  • Number of participants with account balances30,053
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested809

Expenses

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

Sponsor Information

  • Address750 W Virginia Street
  • CityMilwaukee
  • StateWI
  • Zip53215
  • Telephone(262) 957-8300
  • EIN39-1442285
  • Industry Code622000
  • Named AdministratorCheryl Hill

Audit Information

  • Audit StatusAudited
  • AuditorClifton Larson Allen LLP
  • Auditor EIN41-0746749
  • 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.
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.
2L Code section 403(b)(1) arrangement A 403(b) plan, also known as a tax-sheltered annuity (TSA) plan, is a retirement plan for certain employees of public schools, employees of certain tax-exempt organizations, and certain ministers.
2M Code section 403(b)(7) accounts A 403(b)(7) plan is a tax-deferred retirement plan often available to employees of public schools or non-profit organizations.
2R Brokerage Window Participant-directed brokerage accounts provided as an investment option under the plan.
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 $5,000,000
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 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 $259,717,682
Contributions $291,977,541
Cash Contributions $291,977,541
Cash from Employers $139,031,880
Cash from Participants $132,307,857
Others (including rollovers) $20,637,804
Noncash Contributions $0
Total Earnings on Investments $-31,180,876
Total Interest $1,558,938
Interest-Bearing Cash $20
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $977,892
Interest from Other Investments $581,026
Total Dividends $32,899,941
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $-102,320
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $-65,537,435
Other Income $-1,078,983
Expenses $127,211,920
Total Benefit Payments $124,234,223
Directly to participants or beneficiaries, including direct rollovers $124,234,223
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $2,965
Certain deemed distributions of participant loans $149,838
Interest expense $0
Total Administrative Expenses $2,824,894
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $0
Other Administrative Fees $2,824,894
Net Income $132,505,762
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2015 12/31/2014 Change YOY
Total Assets $2,031,774,034 $1,858,752,241 9.31%
Total noninterest-bearing cash $143,408 $106,017 35.27%
Receivables $74,955,323 $69,554,532 7.76%
Employer Contributions $74,944,211 $69,527,355 7.79%
Participant Contributions $258 $0 0.0%
Other Contributions $10,854 $27,177 -60.06%
General Investments $51,352 $216,759 -76.31%
Interest-bearing cash $51,352 $216,759 -76.31%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $22,739,841 $18,678,889 21.74%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $11,786,214 $0 0.0%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $1,868,134,847 $1,723,452,240 8.39%
Value of funds held in insurance co. general account $17,595,814 $18,306,733 -3.88%
Other Investments $36,367,235 $28,437,071 27.89%
Employer-related Investments $0 $0 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 0.0%
Total Liabilities $542,499 $855,674 -36.60%
Benefit Claims Payable (1) $542,499 $803,359 -32.47%
Operating Payables (1) $0 $52,315 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $2,031,231,535 $1,857,896,567 9.33%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Transamerica Retirement Solutions
  • Charles Schwab & Co Inc
  • Flexible Plan Investments Ltd
  • Sva Plumb Wealth Management LLC
  • Annex Wealth Management LLC
  • Sas Capital Management LLC
  • Shakespeare Wealth 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
Transamerica Retirement Solutions Claims processing, Recordkeeping and information management (computing, tabulating, data processing, etc.), Investment management, Participant loan processing, Participant communication, Direct payment from the plan, Sales loads (front end and deferred), Shareholder servicing fees, Finders' fees/placement fees, Float revenue, Distribution (12b-1) fees, Recordkeeping fees, Account maintenance fees Record Keeper $2,848,781 $0 $2,848,781
Charles Schwab & Co. Inc. Securities brokerage, Securities brokerage commissions and fees Securities Broker $16,588 $0 $16,588
Annex Wealth Management LLC Securities brokerage, Securities brokerage commissions and fees Securities Broker $15,228 $0 $15,228
Flexible Plan Investments Ltd Securities brokerage, Securities brokerage commissions and fees Securities Broker $15,227 $0 $15,227
Sva Plumb Wealth Management LLC Securities brokerage, Securities brokerage commissions and fees Securities Broker $12,371 $0 $12,371
Shakespeare Wealth Management Securities brokerage, Securities brokerage commissions and fees Securities Broker $10,788 $0 $10,788
Sas Capital Management LLC Securities brokerage, Securities brokerage commissions and fees Securities Broker $6,125 $0 $6,125
National Financial Services Securities brokerage, Securities brokerage commissions and fees Securities Broker $0 $0 $0
Total $2,925,108 $0 $2,925,108

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
National Financial Services American Century Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services American Funds Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services American Independence Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services Baird Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services Harbor Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services Lord Abbett Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services Pimco Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services William Blair Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
Charles Schwab & Co., Inc. 13D Management LLC Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Aberdeen Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Advisorone Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Advisors Preferred Securities brokerage, Securities brokerage commissions and fees Rate of 0.45% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. AKRE Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Alliancebernstein Securities brokerage, Securities brokerage commissions and fees Range of 0.05 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Allianz Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.02 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. ALPS Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Amana Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. American Beacon Securities brokerage, Securities brokerage commissions and fees Range of 0.05 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. American Century Investments Securities brokerage, Securities brokerage commissions and fees Range of 0.24 - 0.35% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. American Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.05 - 0.37% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Amg Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.08 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Angel Oak Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Aqr Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Artisan Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Aston Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Auxier Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Ave Maria Mutual Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Baird Securities brokerage, Securities brokerage commissions and fees Rate of 0.27% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Baron Capital Group Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. BBH Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Blackrock Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Bmo Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.30 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Brandes Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Bridgeway Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Brown Capital Management, LLC Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Buffalo Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Calamos Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Cambiar Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Catalyst Mutual Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Champlain Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Cohen & Steers Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Columbia Securities brokerage, Securities brokerage commissions and fees Range of 0.35 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Conestoga Capital Advisors Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Convergence Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Cullen Funds Trust Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Delaware Investments Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Deutsche Asset & Wealth Mngt Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Diamond Hill Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Direxion Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Doubleline Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.36% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Dreman Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Dreyfus Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.48% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Driehaus Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Eaton Vance Securities brokerage, Securities brokerage commissions and fees Range of 0.07 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. FAM Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Federated Securities brokerage, Securities brokerage commissions and fees Range of 0.05 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Fidelity Investments Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. First Eagle Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Fmi Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Franklin Templeton Investments Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Frost Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Gabelli Securities brokerage, Securities brokerage commissions and fees Range of 0.35 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Glenmede Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Global View Capital Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Goldman Sachs Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Harbor Securities brokerage, Securities brokerage commissions and fees Range of 0.06 - 0.43% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Harding Loevner Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Hartford Mutual Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Heartland Securities brokerage, Securities brokerage commissions and fees Rate of 0.50% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Henderson Global Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Hennessy Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Hodges Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Hotchkis and Wiley Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Huntington Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Hussman Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.06% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Invesco Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Ironclad Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Iva Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Ivy Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. James Advantage Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Janus Securities brokerage, Securities brokerage commissions and fees Rate of 0.35% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. John Hancock Securities brokerage, Securities brokerage commissions and fees Rate of 0.50% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Jpmorgan Securities brokerage, Securities brokerage commissions and fees Rate of 0.50% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Laudus Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Lazard Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Legg Mason Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Leuthold Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Lord Abbett Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Maingate Trust Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Manning & Napier Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Marsico Investment Fund Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Matthew 25 Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Matthews Asia Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.33 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Merger Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Meridian Securities brokerage, Securities brokerage commissions and fees Rate of 0.06% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Metropolitan West Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. MFS Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Monetta Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Morgan Stanley Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Motley Fool Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Natixis Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.07 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Neuberger Berman Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Nicholas Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.37% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Northern Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.08 - 0.38% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Nuveen Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Oak Associates Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Oakmark Securities brokerage, Securities brokerage commissions and fees Rate of 0.35% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Oberweis Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Oppenheimerfunds Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Osterweis Securities brokerage, Securities brokerage commissions and fees Rate of 0.06% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Pacific Financial Securities brokerage, Securities brokerage commissions and fees Rate of 0.25% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Parnassus Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Pear Tree Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Permanent Portfolio Securities brokerage, Securities brokerage commissions and fees Rate of 0.38% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Perritt Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Pioneer Investments Securities brokerage, Securities brokerage commissions and fees Rate of 0.60% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Pnc Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Polen Capital Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Power Dividend Index Fund Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Power Income Fund Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Primecap Odyssey Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.06% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Principal Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Profunds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Prudential Investments Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Putnam Securities brokerage, Securities brokerage commissions and fees Rate of 0.50% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Remsgroup Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Ridgeworth Securities brokerage, Securities brokerage commissions and fees Range of 0.22 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Riverpark Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Robeco Investment Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Royce Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Rs Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Rydex Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Schwab Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.02 - 0.25% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Scout Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Seafarer Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Selected Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Sentinel Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Silverpepper Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. SIT Securities brokerage, Securities brokerage commissions and fees Rate of 0.38% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Sound Shore Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. State Street Global Advisors Securities brokerage, Securities brokerage commissions and fees Rate of 0.30% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Sterling Capital Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.09 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Summit Global Investments Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. T. Rowe Price Securities brokerage, Securities brokerage commissions and fees Range of 0.04 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. TCW Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Tfs Capital Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.07% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Third Avenue Securities brokerage, Securities brokerage commissions and fees Range of 0.08 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Thornburg Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.60% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Tiaa-Cref Mutual Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.25 - 0.35% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Tocqueville Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Touchstone Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Transamerica Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Transparent Value Trust Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Turner Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. USAA Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Value Line Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Van Eck Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Versus Capital Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Victory Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Villere Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Virtus Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.60% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. VOYA Securities brokerage, Securities brokerage commissions and fees Range of 0.30 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Walthausen Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Wasatch Securities brokerage, Securities brokerage commissions and fees Range of 0.38 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Wells Fargo Advantage Securities brokerage, Securities brokerage commissions and fees Range of 0.35 - 0.55% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Westcore Securities brokerage, Securities brokerage commissions and fees Rate of 0.30% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Westport Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Westwood Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. William Blair Securities brokerage, Securities brokerage commissions and fees Range of 0.08 - 0.50% of Average Daily Balance of 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

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Pooled Separate Account 48 Axa Equitable Life Insurance Company DFE: Pooled Separate Account $11,785,814
Total $11,785,814

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Axa Equitable Life Insurance Co 1,888
EIN 13-5570651
Industry Code 62944
Contract Number TA069527
Contract Year 01/01/2015 — 12/31/2015
Value in General Account at Year End $17,595,814
Value in Separate Accounts at Year End $11,785,814
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
Type of Contract Guaranteed Investment
Balance at the end of the previous year $18,412,749
Additions $759,604
Contributions Deposited during the year $30,332
Dividends and credits $0
Interest credited during the year $581,367
Transferred from separate account $108,076
Other $39,829
Total of Balance and Additions $19,172,353
Deductions $1,576,539
Disbursed from fund to pay benefits or purchase annuities during the year $1,526,091
Administration charge made by carrier $120
Transferred to Separate Account $37,484
Other $12,844
Balance at the end of the current year $17,595,814