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RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 401k Plan overview

Plan NameRIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES
Plan identification number 075

RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ALCAN CORPORATION C/O RIO TINTO AMERICA has sponsored the creation of one or more 401k plans.

Company Name:ALCAN CORPORATION C/O RIO TINTO AMERICA
Employer identification number (EIN):412098316
NAIC Classification:331310

Additional information about ALCAN CORPORATION C/O RIO TINTO AMERICA

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 3658771

More information about ALCAN CORPORATION C/O RIO TINTO AMERICA

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0752022-01-01
0752021-01-01
0752020-01-01KATHLEEN KARINEN2021-08-30 KATHLEEN KARINEN2021-08-30
0752019-01-01
0752018-01-01KATHLEEN PIKE KATHLEEN PIKE2019-07-03
0752017-01-01JESSICA CROW
0752016-01-01JESSICA CROW
0752015-01-01KEN HRIVNAK
0752014-01-01JULIE BROGDON
0752013-01-01JULIE BROGDON

Plan Statistics for RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES

401k plan membership statisitcs for RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES

Measure Date Value
2022: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2022 401k membership
Total participants, beginning-of-year2022-01-01723
Total number of active participants reported on line 7a of the Form 55002022-01-010
Number of retired or separated participants receiving benefits2022-01-0132
Number of other retired or separated participants entitled to future benefits2022-01-01648
Total of all active and inactive participants2022-01-01680
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-011
Total participants2022-01-01681
Number of participants with account balances2022-01-01681
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2021 401k membership
Total participants, beginning-of-year2021-01-01769
Total number of active participants reported on line 7a of the Form 55002021-01-010
Number of retired or separated participants receiving benefits2021-01-0135
Number of other retired or separated participants entitled to future benefits2021-01-01686
Total of all active and inactive participants2021-01-01721
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-012
Total participants2021-01-01723
Number of participants with account balances2021-01-01723
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2020 401k membership
Total participants, beginning-of-year2020-01-01809
Total number of active participants reported on line 7a of the Form 55002020-01-010
Number of retired or separated participants receiving benefits2020-01-0133
Number of other retired or separated participants entitled to future benefits2020-01-01735
Total of all active and inactive participants2020-01-01768
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-01769
Number of participants with account balances2020-01-01769
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2019 401k membership
Total participants, beginning-of-year2019-01-01870
Total number of active participants reported on line 7a of the Form 55002019-01-010
Number of retired or separated participants receiving benefits2019-01-0135
Number of other retired or separated participants entitled to future benefits2019-01-01773
Total of all active and inactive participants2019-01-01808
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01809
Number of participants with account balances2019-01-01809
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2018 401k membership
Total participants, beginning-of-year2018-01-01922
Total number of active participants reported on line 7a of the Form 55002018-01-012
Number of retired or separated participants receiving benefits2018-01-0132
Number of other retired or separated participants entitled to future benefits2018-01-01835
Total of all active and inactive participants2018-01-01869
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01870
Number of participants with account balances2018-01-01870
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2017 401k membership
Total participants, beginning-of-year2017-01-011,037
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-0123
Number of other retired or separated participants entitled to future benefits2017-01-01899
Total of all active and inactive participants2017-01-01922
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01922
Number of participants with account balances2017-01-01922
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2016 401k membership
Total participants, beginning-of-year2016-01-011,144
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-0134
Number of other retired or separated participants entitled to future benefits2016-01-011,003
Total of all active and inactive participants2016-01-011,037
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-011,037
Number of participants with account balances2016-01-011,037
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-013
2015: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2015 401k membership
Total participants, beginning-of-year2015-01-011,238
Total number of active participants reported on line 7a of the Form 55002015-01-010
Number of retired or separated participants receiving benefits2015-01-0135
Number of other retired or separated participants entitled to future benefits2015-01-011,109
Total of all active and inactive participants2015-01-011,144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-011,144
Number of participants with account balances2015-01-011,274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2014 401k membership
Total participants, beginning-of-year2014-01-011,187
Total number of active participants reported on line 7a of the Form 55002014-01-010
Number of retired or separated participants receiving benefits2014-01-0136
Number of other retired or separated participants entitled to future benefits2014-01-011,202
Total of all active and inactive participants2014-01-011,238
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-011,238
Number of participants with account balances2014-01-011,274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-01583
2013: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2013 401k membership
Total participants, beginning-of-year2013-01-01636
Total number of active participants reported on line 7a of the Form 55002013-01-010
Number of retired or separated participants receiving benefits2013-01-0165
Number of other retired or separated participants entitled to future benefits2013-01-011,122
Total of all active and inactive participants2013-01-011,187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-011,187
Number of participants with account balances2013-01-011,187
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010

Financial Data on RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES

Measure Date Value
2022 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-20,910,375
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$7,625,028
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$7,598,732
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$0
Value of total assets at end of year2022-12-31$109,347,722
Value of total assets at beginning of year2022-12-31$137,883,125
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$26,296
Total interest from all sources2022-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$336,824
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$336,824
Administrative expenses professional fees incurred2022-12-31$1,500
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$20,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Other income not declared elsewhere2022-12-31$4,073
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-28,535,403
Value of net assets at end of year (total assets less liabilities)2022-12-31$109,347,722
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$137,883,125
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$26,538,605
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$34,053,193
Value of interest in pooled separate accounts at end of year2022-12-31$7,724,626
Value of interest in pooled separate accounts at beginning of year2022-12-31$13,578,340
Value of interest in common/collective trusts at end of year2022-12-31$75,084,491
Value of interest in common/collective trusts at beginning of year2022-12-31$90,251,592
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-6,012,424
Net investment gain/loss from pooled separate accounts2022-12-31$-5,157,171
Net investment gain or loss from common/collective trusts2022-12-31$-10,081,677
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$7,598,732
Contract administrator fees2022-12-31$24,796
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BDO USA, P.A.
Accountancy firm EIN2022-12-31135381590
2021 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$18,784,033
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$8,217,565
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$8,189,660
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$0
Value of total assets at end of year2021-12-31$137,883,125
Value of total assets at beginning of year2021-12-31$127,316,657
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$27,905
Total interest from all sources2021-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$355,308
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$355,308
Administrative expenses professional fees incurred2021-12-31$248
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$20,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Other income not declared elsewhere2021-12-31$868
Administrative expenses (other) incurred2021-12-31$450
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$10,566,468
Value of net assets at end of year (total assets less liabilities)2021-12-31$137,883,125
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$127,316,657
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$34,053,193
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$44,407,775
Value of interest in pooled separate accounts at end of year2021-12-31$13,578,340
Value of interest in pooled separate accounts at beginning of year2021-12-31$0
Value of interest in common/collective trusts at end of year2021-12-31$90,251,592
Value of interest in common/collective trusts at beginning of year2021-12-31$82,908,882
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$6,629,885
Net investment gain/loss from pooled separate accounts2021-12-31$-214,993
Net investment gain or loss from common/collective trusts2021-12-31$12,012,965
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$8,189,660
Contract administrator fees2021-12-31$27,207
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31BDO USA, LLP
Accountancy firm EIN2021-12-31135381590
2020 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2020 401k financial data
Total income from all sources (including contributions)2020-12-31$16,209,705
Total of all expenses incurred2020-12-31$5,870,050
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$5,820,907
Value of total assets at end of year2020-12-31$127,316,657
Value of total assets at beginning of year2020-12-31$116,977,002
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$49,143
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$359,661
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$359,661
Administrative expenses professional fees incurred2020-12-31$9,669
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$20,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers2020-12-310
Minimum employer required contribution for this plan year2020-12-31$0
Amount contributed by the employer to the plan for this plan year2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Other income not declared elsewhere2020-12-31$82
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$10,339,655
Value of net assets at end of year (total assets less liabilities)2020-12-31$127,316,657
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$116,977,002
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$4,130
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$44,407,775
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$39,275,233
Value of interest in common/collective trusts at end of year2020-12-31$82,908,882
Value of interest in common/collective trusts at beginning of year2020-12-31$77,701,769
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$7,813,096
Net investment gain or loss from common/collective trusts2020-12-31$8,036,866
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$5,820,907
Contract administrator fees2020-12-31$35,344
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31BDO USA, LLP
Accountancy firm EIN2020-12-31135381590
2019 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2019 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$8,911
Total income from all sources (including contributions)2019-12-31$20,256,626
Total loss/gain on sale of assets2019-12-31$41,479
Total of all expenses incurred2019-12-31$9,066,632
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$8,964,102
Value of total assets at end of year2019-12-31$116,977,002
Value of total assets at beginning of year2019-12-31$105,795,919
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$102,530
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$883,907
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$865,425
Administrative expenses professional fees incurred2019-12-31$54,266
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$20,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$8,911
Other income not declared elsewhere2019-12-31$9,482
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$11,189,994
Value of net assets at end of year (total assets less liabilities)2019-12-31$116,977,002
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$105,787,008
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$4,004
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$39,275,233
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$67,447,515
Value of interest in common/collective trusts at end of year2019-12-31$77,701,769
Value of interest in common/collective trusts at beginning of year2019-12-31$38,136,580
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$11,300,031
Net investment gain or loss from common/collective trusts2019-12-31$8,021,727
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Assets. Invements in employer securities at beginning of year2019-12-31$211,824
Income. Dividends from common stock2019-12-31$18,482
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$8,964,102
Contract administrator fees2019-12-31$44,260
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$253,303
Aggregate carrying amount (costs) on sale of assets2019-12-31$211,824
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31ACM LLP
Accountancy firm EIN2019-12-31010724563
2018 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-19,657
Total unrealized appreciation/depreciation of assets2018-12-31$-19,657
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$8,911
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$-3,750,054
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$8,872,408
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$8,671,536
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$0
Value of total assets at end of year2018-12-31$105,795,919
Value of total assets at beginning of year2018-12-31$118,409,470
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$200,872
Total interest from all sources2018-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$996,928
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$989,268
Administrative expenses professional fees incurred2018-12-31$154,238
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$20,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$8,911
Other income not declared elsewhere2018-12-31$32,924
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-12,622,462
Value of net assets at end of year (total assets less liabilities)2018-12-31$105,787,008
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$118,409,470
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$67,447,515
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$74,990,182
Value of interest in common/collective trusts at end of year2018-12-31$38,136,580
Value of interest in common/collective trusts at beginning of year2018-12-31$43,195,452
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-4,633,023
Net investment gain or loss from common/collective trusts2018-12-31$-127,226
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Assets. Invements in employer securities at end of year2018-12-31$211,824
Assets. Invements in employer securities at beginning of year2018-12-31$223,836
Income. Dividends from common stock2018-12-31$7,660
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$8,671,536
Contract administrator fees2018-12-31$46,634
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$15
Aggregate carrying amount (costs) on sale of assets2018-12-31$15
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31ACM LLP
Accountancy firm EIN2018-12-31010724563
2017 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$15,752
Total unrealized appreciation/depreciation of assets2017-12-31$15,752
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$69,148
Total income from all sources (including contributions)2017-12-31$16,099,103
Total loss/gain on sale of assets2017-12-31$70,924
Total of all expenses incurred2017-12-31$18,304,541
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$18,244,798
Value of total assets at end of year2017-12-31$118,409,470
Value of total assets at beginning of year2017-12-31$120,684,056
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$59,743
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$1,005,597
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$977,909
Administrative expenses professional fees incurred2017-12-31$22,407
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$20,000,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Liabilities. Value of operating payables at beginning of year2017-12-31$69,148
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$-2,205,438
Value of net assets at end of year (total assets less liabilities)2017-12-31$118,409,470
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$120,614,908
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$74,990,182
Value of interest in master investment trust accounts at beginning of year2017-12-31$120,684,056
Value of interest in common/collective trusts at end of year2017-12-31$43,195,452
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$10,153,452
Net investment gain or loss from common/collective trusts2017-12-31$3,089,627
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Income. Dividends from common stock2017-12-31$27,688
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$18,244,798
Contract administrator fees2017-12-31$37,336
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$223,836
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$407,159
Aggregate carrying amount (costs) on sale of assets2017-12-31$336,235
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2017-12-31010724563
2016 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2016 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$69,148
Total income from all sources (including contributions)2016-12-31$9,145,087
Total of all expenses incurred2016-12-31$13,151,642
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$12,942,970
Value of total assets at end of year2016-12-31$120,684,056
Value of total assets at beginning of year2016-12-31$124,621,463
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$208,672
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$76,734
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$20,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Liabilities. Value of operating payables at end of year2016-12-31$69,148
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-4,006,555
Value of net assets at end of year (total assets less liabilities)2016-12-31$120,614,908
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$124,621,463
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
Value of interest in master investment trust accounts at end of year2016-12-31$120,684,056
Value of interest in master investment trust accounts at beginning of year2016-12-31$124,621,463
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$12,942,970
Contract administrator fees2016-12-31$131,938
Did the plan have assets held for investment2016-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2016-12-31010724563
2015 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$-108,065
Total of all expenses incurred2015-12-31$17,134,248
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$17,099,701
Value of total assets at end of year2015-12-31$124,621,463
Value of total assets at beginning of year2015-12-31$141,863,776
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$34,547
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Administrative expenses professional fees incurred2015-12-31$800
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$20,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-17,242,313
Value of net assets at end of year (total assets less liabilities)2015-12-31$124,621,463
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$141,863,776
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
Investment advisory and management fees2015-12-31$16,710
Value of interest in master investment trust accounts at end of year2015-12-31$124,621,463
Value of interest in master investment trust accounts at beginning of year2015-12-31$141,863,776
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31Yes
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$17,099,701
Contract administrator fees2015-12-31$17,037
Did the plan have assets held for investment2015-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2015-12-31010724563
2014 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2014 401k financial data
Total transfer of assets to this plan2014-12-31$45,984,787
Total transfer of assets from this plan2014-12-31$706,341
Total income from all sources (including contributions)2014-12-31$6,441,611
Total of all expenses incurred2014-12-31$20,158,568
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$19,929,576
Value of total assets at end of year2014-12-31$141,863,776
Value of total assets at beginning of year2014-12-31$110,302,287
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$228,992
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$20,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-13,716,957
Value of net assets at end of year (total assets less liabilities)2014-12-31$141,863,776
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$110,302,287
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
Value of interest in master investment trust accounts at end of year2014-12-31$141,863,776
Value of interest in master investment trust accounts at beginning of year2014-12-31$110,302,287
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$19,929,576
Contract administrator fees2014-12-31$228,992
Did the plan have assets held for investment2014-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2014-12-31010724563
2013 : RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$71,696,992
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$7,203,782
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$3,827,932
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$3,802,442
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$0
Value of total assets at end of year2013-12-31$110,302,287
Value of total assets at beginning of year2013-12-31$35,229,445
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$25,490
Total interest from all sources2013-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$20,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
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
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$3,375,850
Value of net assets at end of year (total assets less liabilities)2013-12-31$110,302,287
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$35,229,445
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
Value of interest in master investment trust accounts at end of year2013-12-31$110,302,287
Value of interest in master investment trust accounts at beginning of year2013-12-31$35,229,445
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$3,802,442
Contract administrator fees2013-12-31$25,490
Did the plan have assets held for investment2013-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2013-12-31010724563

Form 5500 Responses for RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES

2022: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: RIO TINTO ALCAN 401(K) SAVINGS PLAN FOR FORMER EMPLOYEES 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
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

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074406
Policy instance 1
Insurance contract or identification number074406
Number of Individuals Covered681
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
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 Administration0
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074406
Policy instance 1
Insurance contract or identification number074406
Number of Individuals Covered723
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
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 Administration0
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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