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FORM 5500 DATA

Aurora Health Care, Inc. Incentive Savings Plan

Overview

Plan Information

  • Plan Year01/01/2018 — 12/31/2018
  • Date of Plan06/20/1987
  • Net Assets as of 12/31/2018 $2,914,394,953
  • 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 12/31/2018

  • Active (Eligible) Participants34,723
  • Retired or separated participants receiving benefits224
  • Other retired or separated participants entitled to future benefits4,915
  • Subtotal39,862
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits30
  • Total39,892
  • Total number of participants as of 01/01/201839,983
  • Number of participants with account balances35,847
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested1,099

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 AdministratorAmy Schoeny

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 $140,544,725
Contributions $322,284,752
Cash Contributions $322,284,752
Cash from Employers $137,563,751
Cash from Participants $160,689,210
Others (including rollovers) $24,031,791
Noncash Contributions $0
Total Earnings on Investments $-175,700,629
Total Interest $2,016,975
Interest-Bearing Cash $1,411
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $1,474,094
Interest from Other Investments $541,470
Total Dividends $60,492,295
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 $-618,012
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 $-237,591,887
Other Income $-6,039,398
Expenses $197,677,282
Total Benefit Payments $194,930,878
Directly to participants or beneficiaries, including direct rollovers $194,930,878
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $22,886
Certain deemed distributions of participant loans $199,842
Interest expense $0
Total Administrative Expenses $2,523,676
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $75,000
Other Administrative Fees $2,448,676
Net Income $-57,132,557
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2018 12/31/2017 Change YOY
Total Assets $2,914,394,953 $2,972,334,009 -1.95%
Total noninterest-bearing cash $373,387 $295,996 26.15%
Receivables $62,727,224 $78,519,466 -20.11%
Employer Contributions $62,691,983 $78,502,000 -20.14%
Participant Contributions $13,672 $0 0.0%
Other Contributions $21,569 $17,466 23.49%
General Investments $131,841 $159,176 -17.17%
Interest-bearing cash $131,841 $159,176 -17.17%
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 $31,746,216 $29,951,293 5.99%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $10,009,246 $11,463,415 -12.69%
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 $2,731,287,497 $2,775,432,792 -1.59%
Value of funds held in insurance co. general account $16,549,083 $17,127,917 -3.38%
Other Investments $61,570,459 $59,383,954 3.68%
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 $0 $806,499 0.0%
Benefit Claims Payable (1) $0 $806,499 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 $2,914,394,953 $2,971,527,510 -1.92%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Transamerica Retirement Solutions
  • Charles Schwab & Co Inc
  • Amp Wealth Management
  • Sva Plumb Wealth Management LLC
  • Annex Wealth Management LLC
  • Arlington Capital Mgmt Inc
  • Wipfli Financial Advisors LLC
  • Liberty Financial Group Inc
  • Shakespeare Wealth Management
  • Bronfman E L Rothschild Lp
  • Larson Financial Group LLC
  • Castleview Partners LLC
  • Fdx Advisors Inc
  • Flexible Plan Investments Ltd
  • Lwi Financial Inc

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 $2,431,672 $0 $2,431,672
Marquette Associates, Inc. Securities brokerage, Securities brokerage commissions and fees Securities Broker $75,000 $0 $75,000
Annex Wealth Management LLC Securities brokerage, Securities brokerage commissions and fees Securities Broker $41,604 $0 $41,604
Shakespeare Wealth Management Securities brokerage, Securities brokerage commissions and fees Securities Broker $34,808 $0 $34,808
Sva Plumb Wealth Management LLC Securities brokerage, Securities brokerage commissions and fees Securities Broker $21,513 $0 $21,513
Bronfman E L Rothschild Lp Securities brokerage, Securities brokerage commissions and fees Securities Broker $19,950 $0 $19,950
Charles Schwab & Co. Inc. Securities brokerage, Securities brokerage commissions and fees Securities Broker $16,858 $4 $16,862
Liberty Financial Group Inc Securities brokerage, Securities brokerage commissions and fees Securities Broker $11,637 $0 $11,637
Wipfli Financial Advisors LLC Securities brokerage, Securities brokerage commissions and fees Securities Broker $9,883 $0 $9,883
Amp Wealth Management Securities brokerage, Securities brokerage commissions and fees Securities Broker $7,821 $0 $7,821
Lwi Financial Inc Securities brokerage, Securities brokerage commissions and fees Securities Broker $7,451 $0 $7,451
Fdx Advisors Inc Securities brokerage, Securities brokerage commissions and fees Securities Broker $7,351 $0 $7,351
Castleview Partners LLC Securities brokerage, Securities brokerage commissions and fees Securities Broker $6,662 $0 $6,662
Arlington Capital Mgmt Inc Securities brokerage, Securities brokerage commissions and fees Securities Broker $6,644 $0 $6,644
Larson Financial Group LLC Securities brokerage, Securities brokerage commissions and fees Securitiies Broker $6,463 $0 $6,463
Flexible Plan Investments Ltd Securities brokerage, Securities brokerage commissions and fees Securities Broker $5,311 $0 $5,311
National Financial Services Securities brokerage, Securities brokerage commissions and fees Securities Broker $0 $0 $0
Mid Atlantic Capital Corporation Securities brokerage, Securities brokerage commissions and fees Securities Broker $0 $0 $0
Total $2,710,628 $4 $2,710,632

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
National Financial Services Pimco 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 Harbor 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 William Blair Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
Mid Atlantic Capital Corporation Franklin Securities brokerage, Securities brokerage commissions and fees Revenue Sharing See Attachment To Line 2(H) $0
Charles Schwab & Co., Inc. 13D Activist Fund Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. 1919 Funds 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. AIG Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% 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. Alger 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 0.07 - 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 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Alphacentric Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $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 0.07 - 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 0.09 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Angel Oak Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $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. Arbitrage Fund Securities brokerage, Securities brokerage commissions and fees Rate of 0.07% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Ariel Investments 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 Range of 0.10 - 0.40% of Average Daily Balance of Assets $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 Range of 0.05 - 0.27% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Baron Capital Group Securities brokerage, Securities brokerage commissions and fees Range of 0.09 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Berkshire Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Blackrock Securities brokerage, Securities brokerage commissions and fees Range of 0.06 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Blackstone Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $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 Range of 0.06 - 0.10% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Brown Advisory Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Brown Capital Management, LLC Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $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. Calvert Investments 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. Carillon Family of Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Castle Investment Management 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. Chartwell Investment Partners Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% 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. 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 Funds By Macquarie 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 Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Direxion 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. Doubleline Securities brokerage, Securities brokerage commissions and fees Range of 0.15 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Dreyfus Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.35% 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. DWS Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Eagle Mlp Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Eaton Vance Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Edgewood Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Equity Investment Corp Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Euro Pacific Asset Management Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $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 - 0.40% 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. First Trust Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Firsthand Funds 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 Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. FPA Securities brokerage, Securities brokerage commissions and fees Rate of 0.06% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Franklin Templeton Investments Securities brokerage, Securities brokerage commissions and fees Range of 0.15 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Frontier Funds 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 0.38% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Fuller & Thaler Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% 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. Goldman Sachs Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Grandeur Peak Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Green Century Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Guggenheim Investments Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Guinness Atkinson Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Harbor Securities brokerage, Securities brokerage commissions and fees Range of 0.08 - 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. 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. 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. Howard Capital Management Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% 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. Icon Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% 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. Iva 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. 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 Henderson Securities brokerage, Securities brokerage commissions and fees Rate of 0.35% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Jensen Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Johcm Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% 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 Range of 0.07 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Kinetics Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% 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 Range of 0.10 - 0.40% of Average Daily Balance of Assets $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. Leland Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $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. Longboard 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. Meridian Securities brokerage, Securities brokerage commissions and fees Range of 0.06 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Metropolitan West Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.35 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. MFS Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Miller Value Funds 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 Range of 0.10 - 0.40% of Average Daily Balance of Assets $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. Navigator Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Neuberger Berman Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Nicholas Securities brokerage, Securities brokerage commissions and fees Rate of 0.36% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Northern 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. 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 Range of 0.10 - 0.35% of Average Daily Balance of Assets $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 0.09% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Parnassus Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $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. Perkins Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Permanent Portfolio Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% 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. Pgim Funds Prudential Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Pioneer Investments Securities brokerage, Securities brokerage commissions and fees Range of 0.35 - 0.60% of Average Daily Balance of Assets $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. Primecap Odyssey Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.08% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Principal Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $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. Putnam Securities brokerage, Securities brokerage commissions and fees Rate of 0.50% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Rational Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Reaves Select Research Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Redwood Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $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 Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Rondure Global Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% 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. 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. Sa Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.04% of Average Daily Balance of Asset(S) $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. Seafarer Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Segall Bryant & Hamill Securities brokerage, Securities brokerage commissions and fees Rate of 0.30% 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. 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. 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 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. SWAN 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 0.15 - 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. Teton Westwood Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.35% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. The Pacific Financial Group Securities brokerage, Securities brokerage commissions and fees Rate of 0.25% 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. Thompson Im Funds Inc Securities brokerage, Securities brokerage commissions and fees Rate of 0.25% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Thornburg Securities brokerage, Securities brokerage commissions and fees Rate of 0.10% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Thrivent Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.36% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Tiaa Investments Securities brokerage, Securities brokerage commissions and fees Range of 0.25 - 0.40% 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. Tortoise 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. Touchstone Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Transamerica Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Tributary Funds Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. U.S. Global Investors 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. Vaneck 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 0.22 - 0.45% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. VOYA Securities brokerage, Securities brokerage commissions and fees Rate of 0.30% of Average Daily Balance of Asset(S) $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 Rate of 0.40% of Average Daily Balance of Asset(S) $0
Charles Schwab & Co., Inc. Wcm Investment Management Securities brokerage, Securities brokerage commissions and fees Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Wells Fargo Funds Securities brokerage, Securities brokerage commissions and fees Range of 0.40 - 0.55% of Average Daily Balance of Assets $0
Charles Schwab & Co., Inc. Westchester Capital Securities brokerage, Securities brokerage commissions and fees Rate of 0.40% 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 $10,009,246
Total $10,009,246

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Axa Equitable Life Insurance Co 837
EIN 13-5570651
Industry Code 62944
Contract Number 074521
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $11,485,930
Value in Separate Accounts at Year End $7,152,955
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 $12,139,310
Additions $373,377
Contributions Deposited during the year $7,885
Dividends and credits $0
Interest credited during the year $350,455
Transferred from separate account $5,233
Other $9,804
Total of Balance and Additions $12,512,687
Deductions $1,026,757
Disbursed from fund to pay benefits or purchase annuities during the year $1,017,055
Administration charge made by carrier $9,702
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $11,485,930
Axa Equitable Life Insurance Co 740
EIN 13-5570651
Industry Code 62944
Contract Number 716594
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $4,545,810
Value in Separate Accounts at Year End $2,725,380
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 $4,569,057
Additions $175,034
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $175,034
Transferred from separate account $0
Other $0
Total of Balance and Additions $4,744,091
Deductions $198,281
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $186,050
Transferred to Separate Account $12,231
Other $0
Balance at the end of the current year $4,545,810
Axa Equitable Life Insurance Co 12
EIN 13-5570651
Industry Code 62944
Contract Number 074521
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $516,761
Value in Separate Accounts at Year End $130,879
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 $418,990
Additions $141,916
Contributions Deposited during the year $125,958
Dividends and credits $0
Interest credited during the year $15,958
Transferred from separate account $0
Other $0
Total of Balance and Additions $560,906
Deductions $44,145
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $44,145
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $516,761
Axa Equitable Life Insurance Co 3
EIN 13-5570651
Industry Code 62944
Contract Number 716594
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $582
Value in Separate Accounts at Year End $32
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 $560
Additions $22
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $22
Transferred from separate account $0
Other $0
Total of Balance and Additions $582
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $582