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Original filing (PDF)20240916095955NAL0002552384001
UPTAKE TECHNOLOGIES, INC.
Form 5500
FILING_RECEIVED
UPTAKE TECHNOLOGIES, INC. RETIREMENT TRUST
401(k) retirement plan
Active participants
53
Accounts w/ balance
263
Plan assets (EOY)
$14.5M
Net assets (EOY)
$14.5M
How this plan invests
This plan
3 collective trusts
Schedule D
Individual securities
on each trust's filing
This plan doesn't hold securities directly — it invests through trusts. Click a trust below to drill into its securities.
Plan health score (directional)
86
/ 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
75
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- 49 bps in Schedule C fees — 69% above peer band of 29 bps.
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for UPTAKE TECHNOLOGIES, INC..
Plan sponsor
Name
UPTAKE TECHNOLOGIES, INC.
EIN
47-1427490
Address
2045 W. GRAND AVE, STE B. PMB 67705 · CHICAGO, IL · 60612
Phone
(312) 405-3960
Industry
Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2023
Plan year begin
2023-01-01
Tax period
2023-12-31
Filed
2024-09-16
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
CASSELL PLAN AUDITS, INC.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MMA SECURITIES LLC | 22-3570392 | — | INVESTMENT ADVISORY | $35K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $36K | — |
Investments
3 pooled funds· $1.9M(13% 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.
| Investment | Type | Current value | % of plan |
|---|---|---|---|
| LARGE CAP VALUE II FUND GREAT GRAY TRUST COMPANY · EIN 38-7264544 / PN 707 | Common Collective Trust | $1.3M | 9.3% |
| MID CAP VALUE R1 FUND GREAT GRAY TRUST COMPANY · EIN 38-4139852 / PN 630 | Common Collective Trust | $421K | 2.9% |
| INTERNATIONAL GROWTH II R1 FD GREAT GRAY TRUST COMPANY · EIN 38-4139842 / PN 619 | Common Collective Trust | $122K | 0.8% |
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