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Original filing (PDF)20251015090450NAL0002141603001
SMARTBEAR SOFTWARE, INC.
Form 5500
FILING_RECEIVED
SMARTBEAR SOFTWARE, INC. 401(K) PLAN
401(k) retirement plan
Active participants
315
Accounts w/ balance
635
Plan assets (EOY)
$39.0M
Net assets (EOY)
$39.0M
How this plan invests
This plan
1 pooled trust
Schedule D
49 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
100
Participation health
100
Knocking points off
- 50 bps in Schedule C fees — 71% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SMARTBEAR SOFTWARE, INC..
Plan sponsor
Name
SMARTBEAR SOFTWARE, INC.
EIN
94-3340607
Address
450 ARTISAN WAY · 4TH FLOOR · SOMERVILLE, MA · 02145
Phone
(617) 684-2600
Industry
Professional & Technical Servicessee 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
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
TAWNEY PLLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $10K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| RESOURCES INVESTMENT ADVISORS, INC. | 43-1451524 | — | CONSULTANT | $184K | — |
Investments
43 direct securities · 1 pooled fund· $39.5M(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
$33.2M
39 holdings
Registered Investment Companies
$5.4M
3 holdings
Common Collective Trusts
$436K
1 holding
Common Collective Trust
$436K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FID 500 IND | Registered Investment Companies | — | $22K | $4.5M | 11.6% | |
| TRP Retirement 2055 I 181,755 shares | — | — | $182K | $3.6M | 9.3% | |
| TRP Retirement 2050 I 186,956 shares | — | — | $187K | $3.5M | 9.1% | |
| Vanguard Growth & Income Admir 33,685 shares | — | — | $34K | $3.4M | 8.8% | |
| TRP Retirement 2060 I 184,826 shares | — | — | $185K | $3.1M | 7.9% | |
| TRP Retirement 2040 I 78,258 shares | — | — | $78K | $2.4M | 6.1% | |
| T Rowe Instl LC Core Growth 24,967 shares | — | — | $25K | $1.8M | 4.6% | |
| TRP Retirement 2035 I 81,806 shares | — | — | $82K | $1.7M | 4.4% | |
| TRP Retirement 2045 I 67,244 shares | — | — | $67K | $1.5M | 3.8% | |
| FID International Index 30,791 shares | — | — | $31K | $1.5M | 3.7% | |
| Vanguard Small Cap Index Adm 12,091 shares | — | — | $12K | $1.4M | 3.6% | |
| TRP Retirement 2030 I 44,561 shares | — | — | $45K | $1.1M | 2.9% | |
| FID Mid Cap Index 28,475 shares | — | — | $28K | $962K | 2.5% | |
| TRP Retirement 2025 I 47,427 shares | — | — | $47K | $785K | 2.0% | |
| Victory Small Co Opp R6 16,355 shares | Registered Investment Companies | — | $16K | $770K | 2.0% | |
| BlackRock High Yield K 101,062 shares | — | — | $101K | $718K | 1.8% | |
| Vanguard Tot Bond Mkt Ind- Adm 65,874 shares | — | — | $66K | $624K | 1.6% | |
| MassMutual Mid Cap Gr I 29,071 shares | — | — | $29K | $562K | 1.4% | |
| DFA US Sm Cap Portfolio Inst 10,933 shares | — | — | $11K | $535K | 1.4% | |
| Victory Established Value R6 10,898 shares | — | — | $11K | $501K | 1.3% | |
| DFA US Large Cap Value Port I 9,792 shares | — | — | $10K | $483K | 1.2% | |
| AQR Global Equity Fund R6 44,614 shares | — | — | $45K | $472K | 1.2% | |
| INVESCO STABLE ASSET - ADPZ | Common Collective Trusts | — | — | $436K | 1.1% | |
| INVESCO STABLE ASSET - ADPZ INVESCO TRUST COMPANY · EIN 27-3884161 / PN 001 | Common Collective Trust | — | $436K | $436K | 1.1% | |
| TRP Retirement 2020 I 20,310 shares | — | — | $20K | $377K | 1.0% | |
| Invesco Developing Mkts R6 8,137 shares | — | — | $8K | $310K | 0.8% | |
| Janus Henderson Triton Fund N 11,198 shares | — | — | $11K | $308K | 0.8% | |
| TRP Retirement Balanced I 21,277 shares | — | — | $21K | $282K | 0.7% | |
| DFA Inflation Prot Sec Inst 21,890 shares | — | — | $22K | $236K | 0.6% | |
| Vanguard Lifestrategy Growth 5,043 shares | — | — | $5K | $223K | 0.6% | |
| TCW MetWest Total Ret Bond PL 21,296 shares | — | — | $21K | $177K | 0.5% | |
| Participant Loans 10.50% | — | — | — | $137K | 0.4% | |
| Vanguard Lifestrategy Mod Grow 3,900 shares | — | — | $4K | $122K | 0.3% | |
| Vanguard Lifestrat Conserv Growth 5,348 shares | Registered Investment Companies | — | $5K | $109K | 0.3% | |
| Vanguard Short Term Inv Gr Adm 9,759 shares | — | — | $10K | $101K | 0.3% | |
| DFA Int Govt Fixed Inc Inst 7,282 shares | — | — | $7K | $79K | 0.2% | |
| FID Emerging Markets Index 7,042 shares | — | — | $7K | $74K | 0.2% | |
| Victory Intl Small Cap R6 2,692 shares | — | — | $3K | $40K | 0.1% | |
| TRP Retirement 2010 I 1,127 shares | — | — | $1K | $17K | <0.1% | |
| Vanguard FTSE AW EX US SMCPIN ADM 318 shares | — | — | — | $9K | <0.1% | |
| TRP Retirement 2015 I 427 shares | — | — | — | $5K | <0.1% | |
| (1) X This form is filed for a CCT, PSA, or MTIA. | — | — | — | $3K | <0.1% | |
| performed pursuant to both 29 CFR 2520.103-8 and 29 CFR 2520.103-12(d). Check box (3) if pursuant to neither. | — | — | $3K | $3K | <0.1% | |
| Yes No Amount a | — | — | — | $3K | <0.1% |