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Original filing (PDF)20230706105205NAL0009609907001
ASSERTIO MANAGEMENT, LLC
Form 5500
FILING_RECEIVED
ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN
401(k) retirement plan
Active participants
29
Accounts w/ balance
246
Plan assets (EOY)
$14.8M
Net assets (EOY)
$14.8M
How this plan invests
This plan
1 collective trust
Schedule D
Individual securities
on each trust's filing
This plan doesn't hold securities directly — it invests through trusts. Click a trust below to drill into its securities.
Plan health score (directional)
90
/ 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
75
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 43 bps in Schedule C fees — modestly above peer band of 29 bps.
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ASSERTIO MANAGEMENT, LLC.
Plan sponsor
Name
ASSERTIO MANAGEMENT, LLC
EIN
94-3229046
Address
100 S SAUNDERS RD STE 300 · LAKE FOREST, IL · 600452508
Phone
(224) 441-6564
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2022
Plan year begin
2022-01-01
Tax period
2022-12-31
Filed
2023-07-06
Pension benefit codes
2E · Profit-sharing
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)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
FORVIS LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsTPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $63K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ABD RETIREMENT SERVICES, INC | 80-0833114 | — | OTHER SERVICES | $0 | — |
Investments
1 pooled fund· $1.2M(8% 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.
| Investment | Type | Current value | % of plan |
|---|---|---|---|
| PRINCIPAL STABLE VALUE Z FUND PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 93-6274328 / PN 001 | Common Collective Trust | $1.2M | 7.8% |