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Original filing (PDF)20251015201121NAL0002960115001
PIVOT BIO
Form 5500
FILING_RECEIVED
PIVOT BIO 401(K) P/S PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
332
Accounts w/ balance
616
Plan assets (EOY)
$28.8M
Net assets (EOY)
$28.8M
How this plan invests
This plan
24 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
93
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
80
Vendor stack
80
Participation health
100
Knocking points off
- 41 bps in Schedule C fees — modestly above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for PIVOT BIO.
Plan sponsor
Name
PIVOT BIO
EIN
27-3803526
Address
2910 7TH ST · BERKELEY, CA · 94710
Phone
(888) 355-3310
Industry
Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-15
Pension benefit codes
2S · Automatic enrollment
2E · Profit-sharing
3D · Pre-approved plan (master / prototype / VS)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
SWEENEY CONRAD, P.S.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsOther
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SHAREBUILDER ADVISOR LLC | — | SEATTLE, WA | NONE | $90K | — |
| ASCENSUS LLC | 11-3665754 | — | NONE | $29K | — |
Investments
24 direct securities· $28.6M(99% of reported assets)
Uncategorized
$28.0M
23 holdings
Real Estate
$618K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Schwab U.S. Large-Cap Growth ETF Schwab 0 | — | — | — | $5.8M | 20.2% | |
| Vanguard Total Bond Market ETF Vanguard 0 | — | — | — | $3.1M | 10.8% | |
| Vanguard Value Index ETF Vanguard 0 | — | — | — | $3.1M | 10.7% | |
| Vanguard Mid Cap Index ETF Vanguard 0 | — | — | — | $3.0M | 10.3% | |
| Schwab U.S. Small-Cap ETF Schwab 0 | — | — | — | $2.9M | 10.0% | |
| SPDR Index Ptf Devel World ex-US ETF SPDR 0 | — | — | — | $2.8M | 9.8% | |
| iShares 0-5 Year TIPS Bond ETF iShares 0 | — | — | — | $1.7M | 6.0% | |
| Vanguard S&P 500 ETF Vanguard 0 | — | — | — | $1.4M | 5.0% | |
| Schwab Short-Term U.S. Treasury ETF Schwab 0 | — | — | — | $1.3M | 4.5% | |
| SPDR S&P Emerging Markets ETF SPDR 0 | — | — | — | $1.1M | 3.8% | |
| Select Sector SPDR ETF SPDR 0 | Real Estate | — | — | $618K | 2.1% | |
| Invesco QQQ Trust Invesco 0 | — | — | — | $579K | 2.0% | |
| Various Rates and Maturities Participant's Loan Account 0 | — | — | — | $393K | 1.4% | |
| Aberdeen Standard Gold ETF Trust Aberdeen 0 | — | — | — | $178K | 0.6% | |
| Schwab US Dividend Equity ETF Schwab 0 | — | — | — | $169K | 0.6% | |
| iShares ESG MSCI KLD 400 ETF iShares 0 | — | — | — | $109K | 0.4% | |
| SPDR Dow Jones Industrial Average ETF SPDR 0 | — | — | — | $92K | 0.3% | |
| Vanguard Cash Reserves Federal MM Adm Vanguard 0 | — | — | — | $79K | 0.3% | |
| Invesco DB Commodity Index Tracking Invesco 0 | — | — | — | $76K | 0.3% | |
| SPDR S&P 500 Fossil Fuel Res Free ETF SPDR 0 | — | — | — | $56K | 0.2% | |
| iShares ESG Aware MSCI USA ETF iShares 0 | — | — | — | $47K | 0.2% | |
| Vanguard Interm-Term Treas Index ETF Vanguard 0 | — | — | — | $15K | <0.1% | |
| Vanguard Emerging Markets Govt Bond ETF Vanguard 0 | — | — | — | $10K | <0.1% | |
| iShares Core Intl Aggregate Bond ETF iShares 0 | — | — | — | $6K | <0.1% |
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