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Original filing (PDF)20251015183041NAL0002760275001
AQUESTIVE THERAPEUTICS
Form 5500
FILING_RECEIVED
AQUESTIVE THERAPEUTICS 401(K) PLAN
401(k) retirement plan
Active participants
150
Accounts w/ balance
209
Plan assets (EOY)
$23.4M
Net assets (EOY)
$23.4M
How this plan invests
This plan
1 pooled trust
Schedule D
41 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
94
/ 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
75
Vendor stack
100
Participation health
100
Helping the score
- No Schedule C compensation disclosed — likely a small plan or unbundled.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for AQUESTIVE THERAPEUTICS.
Plan sponsor
Name
AQUESTIVE THERAPEUTICS
EIN
82-3827296
Address
6560 MELTON ROAD · PORTAGE, IN · 46368
Phone
(908) 941-1915
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
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
2E · Profit-sharing
2F · ERISA section 404(c)
Audit & trust (Schedule H)
Auditor
EISNERAMPER 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 | -$46K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| WELLS FARGO CLEARING SERVICES LLC | 23-2384840 | — | ADVISOR | $44K | — |
Investments
41 direct securities · 1 pooled fund· $23.4M(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
$23.1M
40 holdings
Mutual Funds
$208K
1 holding
Common Collective Trust
$0
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FIDELITY ADVISOR FREEDOM 2045 Z 233,542 shares | — | — | $234K | $3.1M | 13.2% | |
| FIDELITY ADVISOR FREEDOM 2035 Z 203,848 shares | — | — | $204K | $3.0M | 12.7% | |
| FIDELITY ADVISOR FREEDOM 2040 Z 141,633 shares | — | — | $142K | $2.3M | 10.0% | |
| FIDELITY ADVISOR FREEDOM 2050 Z 115,663 shares | — | — | $116K | $1.5M | 6.6% | |
| FIDELITY ADVISOR FREEDOM 2030 Z 109,012 shares | — | — | $109K | $1.5M | 6.6% | |
| FIDELITY 500 INDEX 6,522 shares | — | — | $7K | $1.3M | 5.7% | |
| FIDELITY GOVERNMENT MONEY MARKET FUND 1,145,132 shares | — | — | $1.1M | $1.1M | 4.9% | |
| FIDELITY ADVISOR FREEDOM 2055 Z 75,380 shares | — | — | $75K | $1.1M | 4.8% | |
| FIDELITY ADVISOR FREEDOM 2025 Z 83,423 shares | — | — | $83K | $1.0M | 4.5% | |
| BLACK ROCK HEALTH SCIENCE OPPORTUNITIES K 15,007 shares | — | — | $15K | $1.0M | 4.3% | |
| FIDELITY ADVISOR FREEDOM 2020 Z 73,072 shares | — | — | $73K | $856K | 3.7% | |
| FIDELITY ADVISOR FREEDOM 2060 Z 48,604 shares | — | — | $49K | $663K | 2.8% | |
| FIDELITY ADVISOR NEW INSIGHTS I 13,472 shares | — | — | $13K | $587K | 2.5% | |
| FIDELITY ADVISOR REAL ESTATE INC I 49,102 shares | — | — | $49K | $583K | 2.5% | |
| BLACK ROCK EQUITY DIVIDEND K 20,150 shares | — | — | $20K | $382K | 1.6% | |
| GOLDMAN SACHS TECHNOLOGY OPPORTUNITIES INST 10,162 shares | — | — | $10K | $368K | 1.6% | |
| MFS INTERNATIONAL DIVERSIFICATION R4 15,402 shares | — | — | $15K | $350K | 1.5% | |
| AMERICAN CENTURY MID CAP VALUE R6 14,859 shares | — | — | $15K | $231K | 1.0% | |
| FIDELITY ADVISOR SMALL CAP VALUE Z 10,912 shares | — | — | $11K | $222K | 1.0% | |
| JANUS TRITON N 7,876 shares | — | — | $8K | $217K | 0.9% | |
| s: (continued) * FIDELITY ADVISOR FREEDOM 2065 Z 16,050 shares | Mutual Funds | — | $16K | $208K | 0.9% | |
| LORD ABBETT SHORT DURATION INCOME R5 46,280 shares | — | — | $46K | $179K | 0.8% | |
| BLACKROCK HIGH YIELD BOND INVESTMENT K 24,729 shares | — | — | $25K | $176K | 0.8% | |
| FIDELITY ADVISOR FLOATING RATE I 16,854 shares | — | — | $17K | $156K | 0.7% | |
| LORD ABBETT INCOME R5 61,465 shares | — | — | $61K | $148K | 0.6% | |
| PGIM JENNISON NATURAL RESOURCE R6 2,200 shares | — | — | $2K | $118K | 0.5% | |
| MFS UTILITIES R4 5,030 shares | — | — | $5K | $113K | 0.5% | |
| INVESCO DEVELOPING MARKETS FUND R6 2,312 shares | — | — | $2K | $88K | 0.4% | |
| Notes receivable from participant Maturity dates range from 2025 to 2029 3.25% – 8.50% | — | — | — | $87K | 0.4% | |
| FIDELITY ADVISOR SMALL CAP I 2,394 shares | — | — | $2K | $78K | 0.3% | |
| FIDELITY ADVISOR MID CAP II I 3,135 shares | — | — | $3K | $76K | 0.3% | |
| FIDELITY ADVISOR FREEDOM INCOME FUND Z 6,891 shares | — | — | $7K | $69K | 0.3% | |
| JOHN HANCOCK BOND R6 5,095 shares | — | — | $5K | $68K | 0.3% | |
| FIDELITY ADVISOR FREEDOM 2015 Z 3,247 shares | — | — | $3K | $34K | 0.1% | |
| LORD ABBETT FUNDAMENTAL EQUITY R5 2,054 shares | — | — | $2K | $31K | 0.1% | |
| FIDELITY ADVISOR STRATEGIC INCOME I 2,398 shares | — | — | $2K | $28K | 0.1% | |
| PIMCO REAL RETURN INST 1,842 shares | — | — | $2K | $18K | <0.1% | |
| MFS MODERATE ALLOCATION R4 857 shares | — | — | — | $16K | <0.1% | |
| INVESCO MAIN STREET MID CAP FUND CLASS Y 460 shares | — | — | — | $15K | <0.1% | |
| ALLSPRING SPECIAL GLOBAL SMALL CAMP FUND IS 355 shares | — | — | — | $14K | <0.1% | |
| MFS AGGRESSIVE GROWTH ALLOCATION R4 66 shares | — | — | — | $2K | <0.1% | |
| PUTNAM STABLE VALUE PUTNAM FIDUCIARY TRUST COMPANY · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $0 | <0.1% |
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