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Original filing (PDF)20251014144346NAL0006484082001
UPL NA INC.
Form 5500
FILING_RECEIVED
UPL NA INC. 401(K) PLAN
401(k) retirement plan
Active participants
412
Accounts w/ balance
591
Plan assets (EOY)
$95.3M
Net assets (EOY)
$95.3M
How this plan invests
This plan
1 pooled trust
Schedule D
34 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Vendor stack
100
Participation health
100
Helping the score
- Below-peer total fees (11 bps vs 16 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for UPL NA INC..
Plan sponsor
Name
UPL NA INC.
EIN
51-0377088
Address
5 LABORATORY DR · SUITE 1100, BUILDING 1 · DURHAM, NC · 27709
Phone
(610) 491-2800
Industry
Manufacturingsee 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
2025-10-14
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)
2R · Participant-directed brokerage (SDBA)
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS,LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $42K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| GRP FINANCIAL RE ROBERT J.B. KOTLER | 47-1411118 | — | INVESTMENT ADVISOR | $63K | — |
Investments
34 direct securities · 1 pooled fund· $96.3M(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.
Uncategorized
$94.6M
33 holdings
Common Collective Trust
$958K
1 holding
Mutual Funds
$786K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity 500 Index Fund (1) | — | — | — | $13.4M | 14.0% | |
| Fidelity Freedom 2030 Fund K6 (1) | — | — | — | $10.9M | 11.4% | |
| Fidelity Freedom 2035 Fund K6 (1) | — | — | — | $9.9M | 10.4% | |
| Fidelity Freedom 2040 Fund K6 (1) | — | — | — | $9.4M | 9.9% | |
| Fidelity Freedom 2025 Fund K6 (1) | — | — | — | $7.9M | 8.3% | |
| JPMorgan Large Cap Growth Fund Class R6 (1) | — | — | — | $7.0M | 7.4% | |
| Fidelity Freedom 2045 Fund K6 (1) | — | — | — | $6.3M | 6.6% | |
| Fidelity Freedom 2050 Fund K6 (1) | — | — | — | $4.6M | 4.9% | |
| Fidelity Freedom 2020 Fund K6 (1) | — | — | — | $3.9M | 4.1% | |
| Fidelity Freedom 2055 Fund K6 (1) | — | — | — | $2.7M | 2.8% | |
| JPMorgan Mid Cap Growth Fund Class R6 (1) | — | — | — | $1.8M | 1.9% | |
| Fidelity Small Cap Growth K6 Fund (1) | — | — | — | $1.3M | 1.4% | |
| American Funds American Funds Bond Fund of America R6 (1) | — | — | — | $1.3M | 1.4% | |
| Fidelity Freedom 2060 Fund K6 (1) | — | — | — | $1.3M | 1.3% | |
| Allspring Special Mid Cap Value Fund R6 (1) | — | — | — | $1.3M | 1.3% | |
| Self Directed Brokerage Accounts Money market funds, common stocks, mutual funds at fair value (1) | — | — | — | $1.2M | 1.3% | |
| JPMorgan Equity Income Fund Class R6 (1) | — | — | — | $1.1M | 1.2% | |
| Vanguard Mid-Cap Index Fund Admiral Shares (1) | — | — | — | $1.1M | 1.1% | |
| Stable Value Pooled Fund * Fidelity Managed Income Portfolio Fund CL 2 (1) | — | — | — | $1.0M | 1.1% | |
| MIP CL 2 FIDELITY MANAGEMENT TRUST COMPANY · EIN 04-3022712 / PN 024 | Common Collective Trust | — | — | $958K | 1.0% | |
| Columbia Small Cap Value Fund I Institutional 3 Class (1) | — | — | — | $921K | 1.0% | |
| Fidelity Small Cap Index Fund (1) | — | — | — | $905K | 0.9% | |
| T. Rowe Price T. Rowe Price Spectrum Moderate Allocation Fund (1) | — | — | — | $870K | 0.9% | |
| Loans * Notes Receivable from Participants Notes receivable from participants with interest rates ranging from 4.25% to 9.50%, maturing through 2030 -0- | — | — | — | $831K | 0.9% | |
| American Funds EuroPacific Growth Fund Class R-6 (1) | Mutual Funds | — | — | $786K | 0.8% | |
| Fidelity Freedom Income Fund K6 (1) | — | — | — | $735K | 0.8% | |
| T. Rowe Price T. Rowe Price Overseas Stock Fund (1) | — | — | — | $609K | 0.6% | |
| Fidelity Freedom 2015 Fund K6 (1) | — | — | — | $520K | 0.5% | |
| Fidelity Freedom 2065 Fund K6 (1) | — | — | — | $458K | 0.5% | |
| JPMorgan Emerging Markets Equity Fund Class R6 (1) | — | — | — | $383K | 0.4% | |
| Fidelity Government Money Market Fund (1) | — | — | — | $366K | 0.4% | |
| Fidelity Freedom 2010 Fund K6 (1) | — | — | — | $348K | 0.4% | |
| T. Rowe Price T. Rowe Price Spectrum Moderate Growth Allocation Fund (1) | — | — | — | $145K | 0.2% | |
| Vanguard International Value Fund (1) | — | — | — | $72K | <0.1% | |
| T. Rowe Price T. Rowe Price Spectrum Conservative Allocation Fund (1) | — | — | — | $12K | <0.1% |
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