Back to filter
Original filing (PDF)20251015144343NAL0006626560002
SAZERAC COMPANY, INC.
Form 5500
FILING_RECEIVED
SAZERAC COMPANY, INC. 401(K) PLAN
401(k) retirement plan
Active participants
3,214
Accounts w/ balance
4,005
Plan assets (EOY)
$166.6M
Net assets (EOY)
$166.6M
How this plan invests
This plan
40 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
100
Participation health
100
Knocking points off
- 14 bps in Schedule C fees — modestly above peer band of 10 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SAZERAC COMPANY, INC..
Plan sponsor
Name
SAZERAC COMPANY, INC.
EIN
72-0310180
Address
10400 LINN STATION ROAD · SUITE 300 · LOUISVILLE, KY · 40223
Phone
(502) 696-5932
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
2025-10-15
Pension benefit codes
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)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
CROWE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS | 13-3689044 | — | RECORD KEEPER | $169K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES, INC. | 13-2638166 | — | INVESTMENT ADVISOR | $39K | — |
Broker
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NATIONAL FINANCIAL SERVICES | 04-3523567 | — | SECURITIES BROKER | $0 | — |
| MID ATLANTIC CAPITAL CORPORATION | 25-1409618 | — | SECURITIES BROKER | $0 | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CROWE LLP | 35-0921680 | — | AUDITOR | $28K | — |
Investments
40 direct securities· $231.0M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Janus Henderson Balanced I | — | — | — | $33.0M | 19.8% | |
| JPMorgan Mid Cap Growth R6 - | — | — | — | $33.0M | 19.8% | |
| Fidelity 500 Index Premium - | — | — | — | $16.5M | 9.9% | |
| Vanguard Target Retirement 2055 INV - | — | — | — | $13.1M | 7.9% | |
| Mainstay Winslow Lg Cap Gr R1 | — | — | — | $11.6M | 7.0% | |
| MFS Mid Cap Value R6 - | — | — | — | $11.6M | 7.0% | |
| Vanguard Target Retirement 2050 INV - | — | — | — | $10.3M | 6.2% | |
| Vanguard Target Retirement 2060 INV - | — | — | — | $9.5M | 5.7% | |
| Vanguard Target Retirement 2045 INV - | — | — | — | $8.8M | 5.3% | |
| Vanguard Equity Income Adm - | — | — | — | $8.0M | 4.8% | |
| Vanguard Developed Mkt Index Instl. - | — | — | — | $6.3M | 3.8% | |
| Vanguard Target Retirement 2035 INV - | — | — | — | $5.7M | 3.4% | |
| Vanguard Target Retirement 2040 INV - | — | — | — | $4.8M | 2.9% | |
| JPMorgan Mid Cap Gr R6 | — | — | — | $4.3M | 2.6% | |
| Mainstay Large Cap Growth R1 - | — | — | — | $4.3M | 2.6% | |
| Vanguard Target Retirement 2065 INV - | — | — | — | $3.9M | 2.3% | |
| Fidelity Advisor Small Cap Growth I - | — | — | — | $3.9M | 2.3% | |
| Dimensional DFA US Targeted Value I - | — | — | — | $3.7M | 2.2% | |
| Dodge & Cox Dodge & Cox Inc I | — | — | — | $3.7M | 2.2% | |
| Participants Notes Receivable with interest rates of 4.25% to 9.50% | — | — | — | $3.0M | 1.8% | |
| through 2033 - | — | — | — | $3.0M | 1.8% | |
| Dimensional DFA US Targeted Val | — | — | — | $2.8M | 1.7% | |
| Dodge & Cox Dodge & Cox Income - | — | — | — | $2.8M | 1.7% | |
| Prudential Retirement Insurance and Annuity Company Guaranteed Income Fund (1.90% interest rate) - | — | — | — | $2.7M | 1.6% | |
| PIMCO Income Instl - | — | — | — | $2.6M | 1.6% | |
| MFS Mid Cap Val R6 | — | — | — | $2.6M | 1.6% | |
| Vanguard Target Retirement 2030 INV - | — | — | — | $2.5M | 1.5% | |
| Vanguard Retirement Income - | — | — | — | $1.9M | 1.2% | |
| Vanguard Short Term Inv Grade Adm | — | — | — | $1.9M | 1.2% | |
| Invesco Developing Mkts R6 | — | — | — | $1.9M | 1.2% | |
| Janus Henderson Balanced I - | — | — | — | $1.9M | 1.2% | |
| Fidelity Mid Cap Index - | — | — | — | $1.3M | 0.8% | |
| Vanguard Target Retirement 2025 INV - | — | — | — | $1.2M | 0.7% | |
| Fidelity Small Cap Index - | — | — | — | $948K | 0.6% | |
| Invesco Oppenheimer Developing Markets R6 - | — | — | — | $426K | 0.3% | |
| PIMCO Inc Instl | — | — | — | $426K | 0.3% | |
| State Street Bank & Trust Co. Cash Reserve Account - | — | — | — | $419K | 0.3% | |
| Vanguard Target Retirement 2020 INV - | — | — | — | $156K | <0.1% | |
| Vanguard Short-Term Investment Grade Adm - | — | — | — | $88K | <0.1% | |
| Vanguard Target Retrmnt Inc | — | — | — | $88K | <0.1% |