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Original filing (PDF)20251009101000NAL0003485523001
SPI PHARMA
Form 5500
FILING_RECEIVED
SPI PHARMA 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
202
Accounts w/ balance
308
Plan assets (EOY)
$56.6M
Net assets (EOY)
$56.6M
How this plan invests
This plan
34 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
89
/ 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
65
Vendor stack
80
Participation health
100
Knocking points off
- 25 bps in Schedule C fees — 57% above peer band of 16 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SPI PHARMA.
Plan sponsor
Name
SPI PHARMA
EIN
51-0108237
Address
503 CARR ROAD, SUITE 210 · WILMINGTON, DE · 19809
Phone
(302) 576-8537
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-09
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3H · Sponsor in controlled / affiliated group
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
GELMAN, ROSENBERG AND FREEDMAN, PC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsOther
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JOHN HANCOCK RETIREMENT PLAN SRVCS | 01-0233346 | — | RETAINED BY EMPLOYER | $80K | — |
| SNOWDEN CAPITAL ADVISORS LLC | 45-0997570 | — | RETAINED BY CLIENT | $40K | — |
| GELMAN, ROSENBERG AND FREEDMAN, PC | 52-1392008 | — | RETAINED BY CLIENT | $23K | — |
Investments
34 direct securities· $56.6M(100% of reported assets)
Uncategorized
$48.9M
33 holdings
Guaranteed Income / GIC
$7.7M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| contract * NYL Guaranteed Interest Account value N/A | Guaranteed Income / GIC | — | — | $7.7M | 13.7% | |
| Vanguard Target Ret 2030 Fund N/A | — | — | — | $6.1M | 10.9% | |
| T. Rowe Price T Rowe Price Global Technology N/A | — | — | — | $4.9M | 8.7% | |
| Vanguard Target Ret 2035 Fund N/A | — | — | — | $4.3M | 7.7% | |
| Vanguard LC Idx Admiral N/A | — | — | — | $3.2M | 5.7% | |
| Vanguard Target Ret 2045 Fund N/A | — | — | — | $3.1M | 5.5% | |
| Vanguard Target Ret 2050 Fund N/A | — | — | — | $2.8M | 5.0% | |
| American Funds American New Perspective R6 N/A | — | — | — | $2.5M | 4.5% | |
| Putnam Large Cap Value R5 N/A | — | — | — | $2.2M | 3.9% | |
| Vanguard Target Ret 2055 Fund N/A | — | — | — | $2.2M | 3.8% | |
| JPMorgan US Equity L N/A | — | — | — | $2.0M | 3.6% | |
| Vanguard Info Tech Idx Admiral N/A | — | — | — | $1.7M | 3.1% | |
| Vanguard Mid Cap Index Adm N/A | — | — | — | $1.4M | 2.4% | |
| Vanguard Target Ret 2040 Fund N/A | — | — | — | $1.1M | 2.0% | |
| John Hancock John Hancock Disc Val MC R6 N/A | — | — | — | $1.0M | 1.8% | |
| Vanguard Target Ret 2025 Fund N/A | — | — | — | $1.0M | 1.8% | |
| Janus Henderson Janus Henderson Balanced (N) N/A | — | — | — | $1.0M | 1.8% | |
| Participant loans with interest rate ranging * Notes Receivable from Participants 4.75% - 10.00% -0- | — | — | — | $998K | 1.8% | |
| Vanguard Inter Term Bd Idx Adm N/A | — | — | — | $892K | 1.6% | |
| Vanguard Target Ret 2060 Fund N/A | — | — | — | $833K | 1.5% | |
| Vanguard Target Ret 2020 Fund N/A | — | — | — | $717K | 1.3% | |
| Vanguard Sm Cap Index Fd Adm N/A | — | — | — | $693K | 1.2% | |
| Delaware Emerging Markets Fund I N/A | — | — | — | $632K | 1.1% | |
| Lord Abbett Lord Abbett Bond Debenture N/A | — | — | — | $520K | 0.9% | |
| Delaware Small Cap Core Fund I N/A | — | — | — | $426K | 0.8% | |
| Vanguard Value Index Fd Adm N/A | — | — | — | $396K | 0.7% | |
| Principal Glob Real Est Sec I N/A | — | — | — | $387K | 0.7% | |
| Thornburg Ltd Term Income R5 N/A | — | — | — | $344K | 0.6% | |
| Fidelity Fid Advisor Materials Fund I N/A | — | — | — | $300K | 0.5% | |
| Vanguard Target Ret 2065 Fund N/A | — | — | — | $262K | 0.5% | |
| John Hancock John Hancock Bond Fund R6 N/A | — | — | — | $223K | 0.4% | |
| Vanguard Target Ret Income Fd N/A | — | — | — | $218K | 0.4% | |
| Vanguard Total Intl Bond Index N/A | — | — | — | $179K | 0.3% | |
| BNY Mellon BNY Mellon Natural Resources Y N/A | — | — | — | $51K | <0.1% |