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Original filing (PDF)20251013165014NAL0000837235002
OCU HEALTH AND WELFARE TRUST
Form 5500
FILING_RECEIVED
OCU HEALTH AND WELFARE TRUST
Health & welfare plan
Signals · 4
1 failed disclosure34% in single holdingNo recordkeeper disclosed17 service providers
Active participants
485
Accounts w/ balance
—
Plan assets (EOY)
$297.7M
Net assets (EOY)
$295.3M
How this plan invests
This plan
7 pooled trusts
Schedule D
12 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
81
/ 100
Grade B
Above-average plan
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
85
Concentration risk
83
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- 1 Schedule C provider failed to disclose compensation.
- Top holding "US Bank 1,760,004 shs SSGA Russell 3000 Index CTF Fund" is 34% of plan.
- 47 bps in Schedule C fees — 373% above peer band of 10 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for OCU HEALTH AND WELFARE TRUST.
Plan sponsor
Name
OCU HEALTH AND WELFARE TRUST
EIN
26-1574455
Address
1055 PARK VIEW DRIVE, SUITE 111 · COVINA, CA · 91722
Phone
(626) 434-2469
Industry
Admin Support & Waste Mgmtsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
501
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-13
Welfare benefit codes
4A · Health (other than dental or vision)
4D · Dental
4E · Vision
4L · Death Benefits (other than life insurance)
Audit & trust (Schedule H)
Auditor
HENNINGFIELD & ASSOCIATES, INC.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
17 rowsOther
17| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PACIFIC SOUTHWEST ADMINISTRATORS | 46-4942970 | — | NONE | $329K | — |
| ANTHEM BLUE CROSS LIFE AND HEALTH | 95-4331852 | — | NONE | $207K | — |
| ASB CAPITAL MANAGEMENT | 80-0618452 | — | NONE | $161K | — |
| ULLICO INFRASTRUCTURE TAX EXEMPT FD | 90-0622302 | — | NONE | $127K | — |
| EPIC BROKERS | 94-3195221 | — | NONE | $122K | — |
| SEYFARTH SHAW LLP | 36-2152202 | — | NONE | $95K | — |
| HORIZON ACTUARIAL SERVICES, LLC | 26-1370698 | — | NONE | $81K | — |
| GUARDIAN | 13-5123390 | — | NONE | $66K | — |
| MEKETA INVESTMENT GROUP | 04-2659023 | — | NONE | $60K | — |
| ELIXIR RX SOLUTIONS LLC | 90-1011712 | — | NONE | $35K | — |
| STATE STREET GLOBAL ADVISORS | 81-4017137 | — | NONE | $33K | — |
| HENNINGFIELD & ASSOCIATES, INC. | 54-2189926 | — | NONE | $29K | — |
| PAUL HASTINGS, LLP | 95-2209675 | — | NONE | $22K | — |
| WEST HEALTH ADVOCATE SOLUTIONS, INC | 23-3080019 | — | NONE | $17K | — |
| US BANK | 31-0841368 | — | NONE | $10K | — |
| HANEY & SHAH LLP | 26-4391858 | — | NONE | $7K | — |
| INNOVU | 47-1095218 | — | NONE | $5K | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| GFI | SERVICE PROVIDER FAILED TO PROVIDE SCHEDULE C INFORMATION. |
Investments
8 direct securities · 7 pooled funds· $372.5M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Common Collective Trust
$211.7M
6 holdings
Uncategorized
$153.0M
8 holdings
103-12 Investment Entity
$7.8M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| RUSSELL 3000 (R) INDX NL CTF STATE STREET GLOBAL ADVISORS TRUST · EIN 04-3393595 / PN 001 | Common Collective Trust | — | $91.5M | $97.5M | 32.7% | |
| US Bank 1,881,180 shs SSGA US Aggregate Bond Index Fund | — | — | $42.1M | $41.2M | 13.9% | |
| MSCI ACWI EX USA NT CTF STATE STREET GLOBAL ADVISORS TRUST · EIN 80-6103053 / PN 001 | Common Collective Trust | — | — | $41.2M | 13.9% | |
| US Bank 1,962,421 shs SSGA MSCI ACWI Ex USA Fund | — | — | $33.0M | $33.2M | 11.2% | |
| US AGGREGATE BOND INDX NL CTF STATE STREET GLOBAL ADVISORS TRUST · EIN 04-6928341 / PN 001 | Common Collective Trust | — | — | $33.2M | 11.2% | |
| GQG PARTNERS EMERGING MARKETS EQUIT STATE STREET GLOBAL ADVISORS TRUST · EIN 82-6258259 / PN 012 | Common Collective Trust | — | $19.5M | $21.5M | 7.2% | |
| US Bank 454 shs US Bank Money Market Fund 454 US Bank 731,992 shs Vanguard Shrt Term Infl Prot Sec Indx | — | — | $17.9M | $17.8M | 6.0% | |
| US Bank 2,056,774 shs Vanguard Long Term Treasury Fund | — | — | $22.1M | $16.2M | 5.5% | |
| US Bank 12,651 shs ASB Allegiance Real Estate Fd | — | — | $18.2M | $15.9M | 5.3% | |
| US Bank 621 shs Prim Property Fund | — | — | $11.7M | $12.0M | 4.0% | |
| BEACH POINT LOAN FUND STATE STREET GLOBAL ADVISORS TRUST · EIN 80-0242162 / PN 001 | Common Collective Trust | — | $6.2M | $10.0M | 3.4% | |
| US Bank 63,905 shs Columbia Instutional High Yield Fund | — | — | $6.3M | $8.8M | 3.0% | |
| ULLICO INFRASTRUCTURE TAX-EXEMPT FD ULLICO INVESTMENT ADVISORS, INC. · EIN 90-0622302 / PN 001 | Common Collective Trust | — | $6.8M | $8.3M | 2.8% | |
| US Bank 7,843,437 shs MLM Index Fund | — | — | $6.6M | $7.8M | 2.6% | |
| MT LUCAS MGT INDEX FUND STATE STREET GLOBAL ADVISORS TRUST · EIN 27-1198002 / PN 001 | 103-12 Investment Entity | — | — | $7.8M | 2.6% |