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NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 401k Plan overview

Plan NameNAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES
Plan identification number 001

NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily pay related
  • Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
  • Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NAVISTAR, INC has sponsored the creation of one or more 401k plans.

Company Name:NAVISTAR, INC
Employer identification number (EIN):361264810
NAIC Classification:336100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01 ROSE MURTAUGH2017-10-13
0012016-01-01ROSE MURTAUGH ROSE MURTAUGH2017-10-13
0012015-01-01GLENN PALMER
0012014-01-01GLENN PALMER
0012013-01-01GLENN PALMER
0012012-01-01GLENN PALMER
0012011-01-01ANNETTE FREUND
0012010-01-01ERIK PIENKOS - AS PRACTITIONER
0012009-01-01ANNETTE FREUND
0012009-01-01ANNETTE FREUND
0012009-01-01ANNETTE FREUND

Plan Statistics for NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES

401k plan membership statisitcs for NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES

Measure Date Value
2017: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2017 401k membership
Total participants, beginning-of-year2017-01-0114,148
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-010
Total of all active and inactive participants2017-01-010
Total participants2017-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2016 401k membership
Market value of plan assets2016-12-31945,914,216
Acturial value of plan assets2016-12-31996,390,913
Funding target for retired participants and beneficiaries receiving payment2016-12-311,062,108,377
Number of terminated vested participants2016-12-311,483
Fundng target for terminated vested participants2016-12-3175,070,988
Active participant vested funding target2016-12-3176,477,406
Number of active participants2016-12-31596
Total funding liabilities for active participants2016-12-3183,925,566
Total participant count2016-12-3114,837
Total funding target for all participants2016-12-311,221,104,931
Balance at beginning of prior year after applicable adjustments2016-12-310
Prefunding balance at beginning of prior year after applicable adjustments2016-12-310
Carryover balanced portion elected for use to offset prior years funding requirement2016-12-310
Prefunding balanced used to offset prior years funding requirement2016-12-310
Amount remaining of carryover balance2016-12-310
Amount remaining of prefunding balance2016-12-310
Present value of excess contributions2016-12-3159,620
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2016-12-3163,275
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2016-12-310
Reductions in caryover balances due to elections or deemed elections2016-12-310
Reductions in prefunding balances due to elections or deemed elections2016-12-310
Balance of carryovers at beginning of current year2016-12-310
Balance of prefunding at beginning of current year2016-12-310
Total employer contributions2016-12-3150,700,000
Total employee contributions2016-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2016-12-310
Contributions made to avoid restrictions adjusted to valuation date2016-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2016-12-3148,143,777
Liquidity shortfalls end of Q12016-12-310
Liquidity shortfalls end of Q22016-12-310
Liquidity shortfalls end of Q32016-12-310
Liquidity shortfalls end of Q42016-12-310
Unpaid minimum required contributions for all prior years2016-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2016-12-310
Remaining amount of unpaid minimum required contributions2016-12-310
Minimum required contributions for current year target normal cost2016-12-317,440,000
Net shortfall amortization installment of oustanding balance2016-12-31224,714,018
Waiver amortization installment2016-12-310
Total funding amount beforereflecting carryover/prefunding balances2016-12-3145,373,517
Carryover balance elected to use to offset funding requirement2016-12-310
Prefunding balance elected to use to offset funding requirement2016-12-310
Additional cash requirement2016-12-3145,373,517
Contributions allocatedtoward minimum required contributions for current year2016-12-3148,143,777
Unpaid minimum required contributions for current year2016-12-310
Unpaid minimum required contributions for all years2016-12-310
Total participants, beginning-of-year2016-01-0114,837
Total number of active participants reported on line 7a of the Form 55002016-01-01562
Number of retired or separated participants receiving benefits2016-01-019,175
Number of other retired or separated participants entitled to future benefits2016-01-011,333
Total of all active and inactive participants2016-01-0111,070
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-013,078
Total participants2016-01-0114,148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-017
2015: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2015 401k membership
Total participants, beginning-of-year2015-01-0115,272
Total number of active participants reported on line 7a of the Form 55002015-01-01596
Number of retired or separated participants receiving benefits2015-01-019,498
Number of other retired or separated participants entitled to future benefits2015-01-011,465
Total of all active and inactive participants2015-01-0111,559
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-013,140
Total participants2015-01-0114,699
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0167
2014: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2014 401k membership
Total participants, beginning-of-year2014-01-0115,948
Total number of active participants reported on line 7a of the Form 55002014-01-01814
Number of retired or separated participants receiving benefits2014-01-019,724
Number of other retired or separated participants entitled to future benefits2014-01-011,534
Total of all active and inactive participants2014-01-0112,072
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-013,200
Total participants2014-01-0115,272
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0192
2013: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2013 401k membership
Total participants, beginning-of-year2013-01-0116,106
Total number of active participants reported on line 7a of the Form 55002013-01-01981
Number of retired or separated participants receiving benefits2013-01-019,951
Number of other retired or separated participants entitled to future benefits2013-01-011,645
Total of all active and inactive participants2013-01-0112,577
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-013,371
Total participants2013-01-0115,948
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-014
2012: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2012 401k membership
Total participants, beginning-of-year2012-01-0116,622
Total number of active participants reported on line 7a of the Form 55002012-01-01727
Number of retired or separated participants receiving benefits2012-01-0110,105
Number of other retired or separated participants entitled to future benefits2012-01-011,829
Total of all active and inactive participants2012-01-0112,661
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-013,445
Total participants2012-01-0116,106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-016
2011: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2011 401k membership
Total participants, beginning-of-year2011-01-0117,142
Total number of active participants reported on line 7a of the Form 55002011-01-011,132
Number of retired or separated participants receiving benefits2011-01-0110,056
Number of other retired or separated participants entitled to future benefits2011-01-011,926
Total of all active and inactive participants2011-01-0113,114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-013,508
Total participants2011-01-0116,622
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0119
2010: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2010 401k membership
Total participants, beginning-of-year2010-01-0117,393
Total number of active participants reported on line 7a of the Form 55002010-01-011,284
Number of retired or separated participants receiving benefits2010-01-0110,091
Number of other retired or separated participants entitled to future benefits2010-01-012,229
Total of all active and inactive participants2010-01-0113,604
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-013,538
Total participants2010-01-0117,142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-011
2009: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2009 401k membership
Total participants, beginning-of-year2009-01-0117,860
Total number of active participants reported on line 7a of the Form 55002009-01-011,116
Number of retired or separated participants receiving benefits2009-01-0110,218
Number of other retired or separated participants entitled to future benefits2009-01-012,463
Total of all active and inactive participants2009-01-0113,797
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-013,596
Total participants2009-01-0117,393
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

Financial Data on NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES

Measure Date Value
2017 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-01-01$0
Total transfer of assets from this plan2017-01-01$911,282,484
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-01-01$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-01-01$4,573,060
Total income from all sources (including contributions)2017-01-01$0
Total loss/gain on sale of assets2017-01-01$0
Total of all expenses incurred2017-01-01$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-01-01$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-01-01$0
Value of total assets at end of year2017-01-01$0
Value of total assets at beginning of year2017-01-01$915,855,544
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-01-01$0
Total interest from all sources2017-01-01$0
Total dividends received (eg from common stock, registered investment company shares)2017-01-01$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-01-01No
Was this plan covered by a fidelity bond2017-01-01Yes
Value of fidelity bond cover2017-01-01$40,000,000
Were there any nonexempt tranactions with any party-in-interest2017-01-01No
Assets. Other investments not covered elsewhere at end of year2017-01-01$0
Assets. Other investments not covered elsewhere at beginning of year2017-01-01$94,861,844
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-01-01$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-01-01$7,512,384
Liabilities. Value of operating payables at end of year2017-01-01$0
Liabilities. Value of operating payables at beginning of year2017-01-01$4,573,060
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-01-01No
Value of net income/loss2017-01-01$0
Value of net assets at end of year (total assets less liabilities)2017-01-01$0
Value of net assets at beginning of year (total assets less liabilities)2017-01-01$911,282,484
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-01-01No
Were any loans by the plan or fixed income obligations due to the plan in default2017-01-01No
Were any leases to which the plan was party in default or uncollectible2017-01-01No
Assets. partnership/joint venture interests at end of year2017-01-01$0
Assets. partnership/joint venture interests at beginning of year2017-01-01$24,850,561
Value of interest in common/collective trusts at end of year2017-01-01$0
Value of interest in common/collective trusts at beginning of year2017-01-01$738,538,557
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-01-01$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-01-01$28,492,198
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-01-01$28,492,198
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-01-01No
Was there a failure to transmit to the plan any participant contributions2017-01-01No
Has the plan failed to provide any benefit when due under the plan2017-01-01No
Employer contributions (assets) at end of year2017-01-01$0
Employer contributions (assets) at beginning of year2017-01-01$21,600,000
Did the plan have assets held for investment2017-01-01No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-01-01No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-01-01Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-01-01Yes
Opinion of an independent qualified public accountant for this plan2017-01-01Disclaimer
Accountancy firm name2017-01-01GRANT THORNTON LLP
Accountancy firm EIN2017-01-01366055558
2016 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$12,700,384
Total unrealized appreciation/depreciation of assets2016-12-31$12,700,384
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$4,573,060
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$138,330,195
Total income from all sources (including contributions)2016-12-31$105,057,722
Total loss/gain on sale of assets2016-12-31$-7,769,448
Total of all expenses incurred2016-12-31$123,945,116
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$114,186,736
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$50,700,000
Value of total assets at end of year2016-12-31$915,855,544
Value of total assets at beginning of year2016-12-31$1,068,500,073
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$9,758,380
Total interest from all sources2016-12-31$679,066
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$3,838,015
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Assets. Corporate prefeered stocks other than exployer securities at end of year2016-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2016-12-31$4,156,597
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$40,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Assets. Other investments not covered elsewhere at end of year2016-12-31$94,861,844
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$191,444,481
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$7,512,384
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$5,522,942
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$136,273,544
Other income not declared elsewhere2016-12-31$220,765
Administrative expenses (other) incurred2016-12-31$8,813,031
Liabilities. Value of operating payables at end of year2016-12-31$4,573,060
Liabilities. Value of operating payables at beginning of year2016-12-31$2,056,651
Total non interest bearing cash at end of year2016-12-31$0
Total non interest bearing cash at beginning of year2016-12-31$10,533
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-18,887,394
Value of net assets at end of year (total assets less liabilities)2016-12-31$911,282,484
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$930,169,878
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Assets. partnership/joint venture interests at end of year2016-12-31$24,850,561
Assets. partnership/joint venture interests at beginning of year2016-12-31$32,911,877
Investment advisory and management fees2016-12-31$945,349
Income. Interest from US Government securities2016-12-31$639,446
Value of interest in common/collective trusts at end of year2016-12-31$738,538,557
Value of interest in common/collective trusts at beginning of year2016-12-31$206,044,391
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$28,492,198
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$33,442,862
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$33,442,862
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$39,620
Asset value of US Government securities at end of year2016-12-31$0
Asset value of US Government securities at beginning of year2016-12-31$210,563,731
Net investment gain or loss from common/collective trusts2016-12-31$44,688,940
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31Yes
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$50,700,000
Employer contributions (assets) at end of year2016-12-31$21,600,000
Employer contributions (assets) at beginning of year2016-12-31$16,300,000
Income. Dividends from preferred stock2016-12-31$70,433
Income. Dividends from common stock2016-12-31$3,767,582
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$114,186,736
Asset. Corporate debt instrument preferred debt at end of year2016-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2016-12-31$3,847,736
Asset. Corporate debt instrument debt (other) at end of year2016-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2016-12-31$56,689,797
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$307,565,126
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$354,945,770
Aggregate carrying amount (costs) on sale of assets2016-12-31$362,715,218
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31GRANT THORNTON LLP
Accountancy firm EIN2016-12-31366055558
2015 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$14,168,032
Total unrealized appreciation/depreciation of assets2015-12-31$14,168,032
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$138,330,195
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$180,411,639
Total income from all sources (including contributions)2015-12-31$28,543,593
Total loss/gain on sale of assets2015-12-31$-37,888,769
Total of all expenses incurred2015-12-31$125,965,762
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$114,642,405
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$42,400,000
Value of total assets at end of year2015-12-31$1,068,500,073
Value of total assets at beginning of year2015-12-31$1,208,003,686
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$11,323,357
Total interest from all sources2015-12-31$11,221,943
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$4,787,789
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$215
Administrative expenses professional fees incurred2015-12-31$192,998
Assets. Corporate prefeered stocks other than exployer securities at end of year2015-12-31$4,156,597
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2015-12-31$6,452,030
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$40,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Assets. Other investments not covered elsewhere at end of year2015-12-31$191,444,481
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$181,060,171
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$5,522,942
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$8,645,248
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$136,273,544
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$176,049,395
Other income not declared elsewhere2015-12-31$-3,207,856
Administrative expenses (other) incurred2015-12-31$7,721,773
Liabilities. Value of operating payables at end of year2015-12-31$2,056,651
Liabilities. Value of operating payables at beginning of year2015-12-31$4,362,244
Total non interest bearing cash at end of year2015-12-31$10,533
Total non interest bearing cash at beginning of year2015-12-31$3,864
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-97,422,169
Value of net assets at end of year (total assets less liabilities)2015-12-31$930,169,878
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$1,027,592,047
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Assets. partnership/joint venture interests at end of year2015-12-31$32,911,877
Assets. partnership/joint venture interests at beginning of year2015-12-31$41,971,115
Investment advisory and management fees2015-12-31$3,408,586
Interest earned on other investments2015-12-31$3,903,821
Income. Interest from US Government securities2015-12-31$6,153,688
Income. Interest from corporate debt instruments2015-12-31$1,156,434
Value of interest in common/collective trusts at end of year2015-12-31$235,236,584
Value of interest in common/collective trusts at beginning of year2015-12-31$273,226,233
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$4,250,669
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$2,234,561
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$2,234,561
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$8,000
Asset value of US Government securities at end of year2015-12-31$210,563,731
Asset value of US Government securities at beginning of year2015-12-31$252,156,112
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$34,098
Net investment gain or loss from common/collective trusts2015-12-31$-2,971,644
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31Yes
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$42,400,000
Employer contributions (assets) at end of year2015-12-31$16,300,000
Employer contributions (assets) at beginning of year2015-12-31$19,100,000
Income. Dividends from preferred stock2015-12-31$297,843
Income. Dividends from common stock2015-12-31$4,489,731
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$114,642,405
Asset. Corporate debt instrument preferred debt at end of year2015-12-31$3,847,736
Asset. Corporate debt instrument preferred debt at beginning of year2015-12-31$7,791,897
Asset. Corporate debt instrument debt (other) at end of year2015-12-31$56,689,797
Asset. Corporate debt instrument debt (other) at beginning of year2015-12-31$59,225,870
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$307,565,126
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$356,136,585
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$593,095,660
Aggregate carrying amount (costs) on sale of assets2015-12-31$630,984,429
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31GRANT THORNTON LLP
Accountancy firm EIN2015-12-31366055558
2014 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$65,328,326
Total unrealized appreciation/depreciation of assets2014-12-31$65,328,326
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$180,411,639
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$130,501,157
Total income from all sources (including contributions)2014-12-31$126,638,490
Total loss/gain on sale of assets2014-12-31$-17,423,569
Total of all expenses incurred2014-12-31$128,696,389
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$116,662,540
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$51,630,000
Value of total assets at end of year2014-12-31$1,208,003,686
Value of total assets at beginning of year2014-12-31$1,160,151,103
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$12,033,849
Total interest from all sources2014-12-31$14,029,013
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$6,118,074
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$1,599
Administrative expenses professional fees incurred2014-12-31$295,042
Assets. Corporate prefeered stocks other than exployer securities at end of year2014-12-31$6,452,030
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2014-12-31$8,025,878
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$40,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Assets. Other investments not covered elsewhere at end of year2014-12-31$181,060,171
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$121,287,888
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$8,645,248
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$7,805,998
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$176,049,395
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$126,137,465
Other income not declared elsewhere2014-12-31$-5,569,962
Administrative expenses (other) incurred2014-12-31$7,723,486
Liabilities. Value of operating payables at end of year2014-12-31$4,362,244
Liabilities. Value of operating payables at beginning of year2014-12-31$4,363,692
Total non interest bearing cash at end of year2014-12-31$3,864
Total non interest bearing cash at beginning of year2014-12-31$427
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-2,057,899
Value of net assets at end of year (total assets less liabilities)2014-12-31$1,027,592,047
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$1,029,649,946
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Assets. partnership/joint venture interests at end of year2014-12-31$41,971,115
Assets. partnership/joint venture interests at beginning of year2014-12-31$51,475,257
Investment advisory and management fees2014-12-31$4,015,321
Interest earned on other investments2014-12-31$4,953,480
Income. Interest from US Government securities2014-12-31$7,757,974
Income. Interest from corporate debt instruments2014-12-31$1,310,321
Value of interest in common/collective trusts at end of year2014-12-31$273,226,233
Value of interest in common/collective trusts at beginning of year2014-12-31$286,356,337
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$2,234,561
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$5,124,234
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$5,124,234
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$7,238
Asset value of US Government securities at end of year2014-12-31$252,156,112
Asset value of US Government securities at beginning of year2014-12-31$215,789,187
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$26,601
Net investment gain or loss from common/collective trusts2014-12-31$12,500,007
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31Yes
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$51,630,000
Employer contributions (assets) at end of year2014-12-31$19,100,000
Employer contributions (assets) at beginning of year2014-12-31$29,400,000
Income. Dividends from preferred stock2014-12-31$529,943
Income. Dividends from common stock2014-12-31$5,586,532
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$116,662,540
Asset. Corporate debt instrument preferred debt at end of year2014-12-31$7,791,897
Asset. Corporate debt instrument preferred debt at beginning of year2014-12-31$5,805,152
Asset. Corporate debt instrument debt (other) at end of year2014-12-31$59,225,870
Asset. Corporate debt instrument debt (other) at beginning of year2014-12-31$55,388,035
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$356,136,585
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$373,692,710
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$504,073,170
Aggregate carrying amount (costs) on sale of assets2014-12-31$521,496,739
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31GRANT THORNTON LLP
Accountancy firm EIN2014-12-31366055558
2013 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$12,724,103
Total unrealized appreciation/depreciation of assets2013-12-31$12,724,103
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$130,501,157
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$167,788,737
Total income from all sources (including contributions)2013-12-31$167,456,991
Total loss/gain on sale of assets2013-12-31$30,355,649
Total of all expenses incurred2013-12-31$128,515,668
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$118,038,879
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$63,700,000
Value of total assets at end of year2013-12-31$1,160,151,103
Value of total assets at beginning of year2013-12-31$1,158,497,360
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$10,476,789
Total interest from all sources2013-12-31$15,203,529
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$7,224,764
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$17,162
Administrative expenses professional fees incurred2013-12-31$211,482
Assets. Corporate prefeered stocks other than exployer securities at end of year2013-12-31$8,025,878
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2013-12-31$10,496,532
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$40,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Assets. Other investments not covered elsewhere at end of year2013-12-31$121,287,888
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$216,574,332
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$7,805,998
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$6,510,873
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$126,137,465
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$161,605,431
Other income not declared elsewhere2013-12-31$2,202,399
Administrative expenses (other) incurred2013-12-31$5,938,146
Liabilities. Value of operating payables at end of year2013-12-31$4,363,692
Liabilities. Value of operating payables at beginning of year2013-12-31$6,183,306
Total non interest bearing cash at end of year2013-12-31$427
Total non interest bearing cash at beginning of year2013-12-31$552
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$38,941,323
Value of net assets at end of year (total assets less liabilities)2013-12-31$1,029,649,946
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$990,708,623
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Assets. partnership/joint venture interests at end of year2013-12-31$51,475,257
Assets. partnership/joint venture interests at beginning of year2013-12-31$46,907,968
Investment advisory and management fees2013-12-31$4,327,161
Interest earned on other investments2013-12-31$7,658,926
Income. Interest from US Government securities2013-12-31$6,100,977
Income. Interest from corporate debt instruments2013-12-31$1,437,614
Value of interest in common/collective trusts at end of year2013-12-31$286,356,337
Value of interest in common/collective trusts at beginning of year2013-12-31$105,773,285
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$5,124,234
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$2,655,230
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$2,655,230
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$6,012
Asset value of US Government securities at end of year2013-12-31$215,789,187
Asset value of US Government securities at beginning of year2013-12-31$205,217,806
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$-73,800
Net investment gain or loss from common/collective trusts2013-12-31$36,120,347
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31Yes
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$0
Assets. Invements in employer securities at beginning of year2013-12-31$19,593
Contributions received in cash from employer2013-12-31$63,700,000
Employer contributions (assets) at end of year2013-12-31$29,400,000
Employer contributions (assets) at beginning of year2013-12-31$26,700,000
Income. Dividends from preferred stock2013-12-31$564,460
Income. Dividends from common stock2013-12-31$6,643,142
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$118,038,879
Asset. Corporate debt instrument preferred debt at end of year2013-12-31$5,805,152
Asset. Corporate debt instrument preferred debt at beginning of year2013-12-31$8,493,335
Asset. Corporate debt instrument debt (other) at end of year2013-12-31$55,388,035
Asset. Corporate debt instrument debt (other) at beginning of year2013-12-31$43,614,807
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$373,692,710
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$485,533,047
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$917,390,929
Aggregate carrying amount (costs) on sale of assets2013-12-31$887,035,280
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31GRANT THORNTON LLP
Accountancy firm EIN2013-12-31366055558
2012 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$78,136,316
Total unrealized appreciation/depreciation of assets2012-12-31$78,136,316
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$167,788,737
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$214,992,225
Total income from all sources (including contributions)2012-12-31$175,195,770
Total loss/gain on sale of assets2012-12-31$9,636,305
Total of all expenses incurred2012-12-31$122,661,434
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$112,482,005
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$56,500,000
Value of total assets at end of year2012-12-31$1,158,497,360
Value of total assets at beginning of year2012-12-31$1,153,166,512
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$10,179,429
Total interest from all sources2012-12-31$13,895,935
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$8,855,646
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Administrative expenses professional fees incurred2012-12-31$20,750
Assets. Corporate prefeered stocks other than exployer securities at end of year2012-12-31$10,496,532
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2012-12-31$12,367,642
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Assets. Other investments not covered elsewhere at end of year2012-12-31$209,948,831
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$252,919,349
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$6,510,873
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$3,891,780
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$161,605,431
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$211,724,858
Liabilities. Value of operating payables at end of year2012-12-31$6,183,306
Liabilities. Value of operating payables at beginning of year2012-12-31$3,267,367
Total non interest bearing cash at end of year2012-12-31$552
Total non interest bearing cash at beginning of year2012-12-31$1,154
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$52,534,336
Value of net assets at end of year (total assets less liabilities)2012-12-31$990,708,623
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$938,174,287
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Assets. partnership/joint venture interests at end of year2012-12-31$46,907,968
Assets. partnership/joint venture interests at beginning of year2012-12-31$31,226,250
Investment advisory and management fees2012-12-31$5,854,823
Interest earned on other investments2012-12-31$5,110,706
Income. Interest from US Government securities2012-12-31$6,756,134
Income. Interest from corporate debt instruments2012-12-31$2,020,371
Value of interest in common/collective trusts at end of year2012-12-31$105,773,285
Value of interest in common/collective trusts at beginning of year2012-12-31$112,232,220
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$2,655,230
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$2,760,528
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$2,760,528
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$8,724
Asset value of US Government securities at end of year2012-12-31$205,217,806
Asset value of US Government securities at beginning of year2012-12-31$174,300,868
Net investment gain or loss from common/collective trusts2012-12-31$8,171,568
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31Yes
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Assets. Invements in employer securities at end of year2012-12-31$19,593
Assets. Invements in employer securities at beginning of year2012-12-31$34,092
Contributions received in cash from employer2012-12-31$56,500,000
Employer contributions (assets) at end of year2012-12-31$26,700,000
Employer contributions (assets) at beginning of year2012-12-31$30,600,000
Income. Dividends from preferred stock2012-12-31$521,636
Income. Dividends from common stock2012-12-31$8,334,010
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$112,482,005
Asset. Corporate debt instrument preferred debt at end of year2012-12-31$8,493,335
Asset. Corporate debt instrument preferred debt at beginning of year2012-12-31$41,785,874
Asset. Corporate debt instrument debt (other) at end of year2012-12-31$43,614,807
Asset. Corporate debt instrument debt (other) at beginning of year2012-12-31$54,964,067
Contract administrator fees2012-12-31$4,303,856
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$492,158,548
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$436,082,688
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$830,592,595
Aggregate carrying amount (costs) on sale of assets2012-12-31$820,956,290
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31GRANT THORNTON LLP
Accountancy firm EIN2012-12-31366055558
2011 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-26,393,523
Total unrealized appreciation/depreciation of assets2011-12-31$-26,393,523
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$214,992,225
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$201,543,137
Total income from all sources (including contributions)2011-12-31$48,442,697
Total loss/gain on sale of assets2011-12-31$-3,924,544
Total of all expenses incurred2011-12-31$120,941,036
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$112,450,510
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$67,200,000
Value of total assets at end of year2011-12-31$1,153,166,512
Value of total assets at beginning of year2011-12-31$1,212,215,763
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$8,490,526
Total interest from all sources2011-12-31$10,361,107
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$8,477,277
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$99
Administrative expenses professional fees incurred2011-12-31$20,750
Assets. Corporate prefeered stocks other than exployer securities at end of year2011-12-31$12,367,642
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$12,128,354
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$20,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Assets. Other investments not covered elsewhere at end of year2011-12-31$268,369,216
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$262,929,280
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$3,891,780
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$5,314,406
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$211,724,858
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$197,390,151
Administrative expenses (other) incurred2011-12-31$3,245,459
Liabilities. Value of operating payables at end of year2011-12-31$3,267,367
Liabilities. Value of operating payables at beginning of year2011-12-31$4,152,986
Total non interest bearing cash at end of year2011-12-31$1,154
Total non interest bearing cash at beginning of year2011-12-31$25,589
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-72,498,339
Value of net assets at end of year (total assets less liabilities)2011-12-31$938,174,287
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$1,010,672,626
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at end of year2011-12-31$30,110,447
Assets. partnership/joint venture interests at beginning of year2011-12-31$22,004,344
Investment advisory and management fees2011-12-31$5,224,317
Interest earned on other investments2011-12-31$1,464,141
Income. Interest from US Government securities2011-12-31$5,516,634
Income. Interest from corporate debt instruments2011-12-31$3,374,502
Value of interest in common/collective trusts at end of year2011-12-31$97,898,156
Value of interest in common/collective trusts at beginning of year2011-12-31$136,959,995
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$2,760,528
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$2,968,365
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$2,968,365
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$5,830
Asset value of US Government securities at end of year2011-12-31$174,300,868
Asset value of US Government securities at beginning of year2011-12-31$162,635,688
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$223,167
Net investment gain or loss from common/collective trusts2011-12-31$-7,500,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31Yes
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$34,092
Assets. Invements in employer securities at beginning of year2011-12-31$52,119
Contributions received in cash from employer2011-12-31$67,200,000
Employer contributions (assets) at end of year2011-12-31$30,600,000
Employer contributions (assets) at beginning of year2011-12-31$23,500,000
Income. Dividends from preferred stock2011-12-31$772,129
Income. Dividends from common stock2011-12-31$7,705,049
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$112,450,510
Asset. Corporate debt instrument preferred debt at end of year2011-12-31$41,785,874
Asset. Corporate debt instrument preferred debt at beginning of year2011-12-31$37,101,482
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$54,964,067
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$46,013,744
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$436,082,688
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$500,582,397
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$708,862,869
Aggregate carrying amount (costs) on sale of assets2011-12-31$712,787,413
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31GRANT THORNTON LLP
Accountancy firm EIN2011-12-31366055558
2010 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$70,085,446
Total unrealized appreciation/depreciation of assets2010-12-31$70,085,446
Total transfer of assets from this plan2010-12-31$3,248,050
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$201,543,137
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$124,154,805
Total income from all sources (including contributions)2010-12-31$178,403,217
Total loss/gain on sale of assets2010-12-31$25,351,593
Total of all expenses incurred2010-12-31$114,881,022
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$110,999,247
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$53,400,000
Value of total assets at end of year2010-12-31$1,212,215,763
Value of total assets at beginning of year2010-12-31$1,074,553,286
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$3,881,775
Total interest from all sources2010-12-31$11,522,961
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$6,562,241
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$34,747
Administrative expenses professional fees incurred2010-12-31$31,188
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$12,128,354
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2010-12-31$11,171,363
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$20,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Assets. Other investments not covered elsewhere at end of year2010-12-31$262,929,280
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$187,857,505
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$5,314,406
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$2,386,313
Assets. Loans (other than to participants) at end of year2010-12-31$0
Assets. Loans (other than to participants) at beginning of year2010-12-31$2,373,220
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$197,390,151
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$121,688,409
Administrative expenses (other) incurred2010-12-31$379,693
Liabilities. Value of operating payables at end of year2010-12-31$4,152,986
Liabilities. Value of operating payables at beginning of year2010-12-31$2,466,396
Total non interest bearing cash at end of year2010-12-31$25,589
Total non interest bearing cash at beginning of year2010-12-31$53,563
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$63,522,195
Value of net assets at end of year (total assets less liabilities)2010-12-31$1,010,672,626
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$950,398,481
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at end of year2010-12-31$22,004,344
Assets. partnership/joint venture interests at beginning of year2010-12-31$13,538,110
Investment advisory and management fees2010-12-31$3,470,894
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$765,798
Interest earned on other investments2010-12-31$6,286,748
Income. Interest from US Government securities2010-12-31$2,245,028
Income. Interest from corporate debt instruments2010-12-31$2,987,023
Value of interest in common/collective trusts at end of year2010-12-31$136,959,995
Value of interest in common/collective trusts at beginning of year2010-12-31$221,064,761
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$2,968,365
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$2,333,426
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$2,333,426
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$4,162
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$114,949,852
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$714
Asset value of US Government securities at end of year2010-12-31$162,635,688
Asset value of US Government securities at beginning of year2010-12-31$53,146,240
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$189,711
Net investment gain or loss from common/collective trusts2010-12-31$11,291,265
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31Yes
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$52,119
Assets. Invements in employer securities at beginning of year2010-12-31$46,538,697
Contributions received in cash from employer2010-12-31$53,400,000
Employer contributions (assets) at end of year2010-12-31$23,500,000
Employer contributions (assets) at beginning of year2010-12-31$25,300,000
Income. Dividends from preferred stock2010-12-31$527,195
Income. Dividends from common stock2010-12-31$6,000,299
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$110,998,533
Asset. Corporate debt instrument preferred debt at end of year2010-12-31$37,101,482
Asset. Corporate debt instrument preferred debt at beginning of year2010-12-31$32,183,866
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$46,013,744
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$49,864,358
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$500,582,397
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$311,026,214
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$784,736,349
Aggregate carrying amount (costs) on sale of assets2010-12-31$759,384,756
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31GRANT THORNTON LLP
Accountancy firm EIN2010-12-31366055558
2009 : NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES

2017: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingYes
2017-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: NAVISTAR, INC. RETIREMENT PLAN FOR SALARIED EMPLOYEES 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract numberGAC 17 ASSN 0
Policy instance 1
Insurance contract or identification numberGAC 17 ASSN 0
Number of Individuals Covered0
Insurance policy start date2010-01-01
Insurance policy end date2010-11-09
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration1
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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