This is a pooled fund: many plans invest in it, and it holds the underlying securities.
This filing is a Direct Filing Entity (DFE) — a master trust or collective investment trust that pools assets from multiple participating plans. It does not have plan participants of its own, and the Plan Health Score formula doesn’t apply. Individual participant-facing plans that invest in this trust are the appropriate target for fiduciary analysis.
Cited interest vs pooled assets: cited interest sums what each participating plan reported holding in this trust, measured at that plan’s own year-end — and those filings span different years. Pooled assets is this single filing’s balance at one date. They’re independent measurements, so cited interest can land slightly above or below the pooled balance and won’t reconcile exactly.
Why no Schedule of Assets here? DFE holdings often live on the master trust’s own audited statement, not as a 4i schedule on the participating plans’ filings. We’re extending the parsing pipeline to cover DFE filings — see Methodology.
| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| OCTOBER THREE CONSULTING LLC | 27-1175487 | — | NONE | $113K | — |
| THE NORTHERN TRUST COMPANY | 36-1561860 | — | NONE | $113K | — |
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.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| NORTHERN TRUST DFA INVT DIMENSIONS GROUP INC REAL ESTATE SECS 6,524,500 | — | — | $6.5M | $6.7M | 36.7% | |
| NTC AGGREGATE BOND INDEX FD NONLEND |
Common Collective Trust |
| — |
| $5.8M |
| $6.0M |
| 32.9% |
| NTC RUSSELL 1000 INDEX FUND NONLEND NORTHERN TRUST INVESTMENTS, INC. · EIN 45-6138589 / PN 095 | Common Collective Trust | — | $2.7M | $3.9M | 21.6% |
| NORTHERN TRUST ISHARES INC MSCI EMERGING MKTS EX | — | — | $928K | $958K | 5.3% |
| NORTHERN TRUST BLACKROCK FDS V HIGH YIELD BD PORT INSTL CL | — | — | $879K | $838K | 4.6% |
| NORTHERN TRUST ARTISANS FDS INC INTL VALUE FD INSTR SHAS | — | — | $625K | $722K | 4.0% |
| NORTHERN TRUST VANGUARD FTSE DEVELOPED MARKETS ETF | — | — | $691K | $709K | 3.9% |
| * NORTHERN TRUST MFS INSTL INTL EQTY FD | — | — | $642K | $703K | 3.9% |
| NTC TIPS INDEX FUND NON LENDING NORTHERN TRUST INVESTMENTS, INC. · EIN 45-6138589 / PN 091 | Common Collective Trust | — | — | $648K | 3.6% |
| NORTHERN TRUST ISHARES TR BROAD USD HIGH YIELD CORP BD ETF | — | — | $682K | $643K | 3.5% |
| NT COLLECTIVE SHORT TERM INVESTMENT NORTHERN TRUST INVESTMENTS, INC. · EIN 45-6138589 / PN 084 | Common Collective Trust | — | $543K | $543K | 3.0% |
| NORTHERN TRUST BLACKROCK FDS V FLTG RATE INCOME PORT INSTL CL | — | — | $467K | $471K | 2.6% |
| NTC RUSSELL 2000 INDEX FUND NONLEND NORTHERN TRUST INVESTMENTS, INC. · EIN 45-6138589 / PN 096 | Common Collective Trust | — | $264K | $395K | 2.2% |
| NORTHERN TRUST SPR INDEX SHS FDS S&P GLOBAL NAT RES ETF | — | — | $367K | $331K | 1.8% |
| NORTHERN TRUST ISHARES TR SELECT FIVID EFT FD | — | — | $168K | $195K | 1.1% |
| Registered Investment Companies * NORTHERN TRUST FLEXSHARES TR MORNINGSTAR EMERG MKTSFACT | — | — | $176K | $173K | 1.0% |
| NORTHERN TRUST DFA INTL SMALL CO PORTFOLIO FD | — | — | $151K | $171K | 0.9% |
| NORTHERN TRUST MFO DFA INVT DIMENSIONS GROUP INC. INTL REAL ESTATE SECS 161,096 | — | — | $161K | $121K | 0.7% |
