401k Plan data: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND

NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 401k Plan overview

Plan Name	NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC)
Plan identification number	036

NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) Benefits

No plan benefit data available

401k Sponsoring company profile

NORTHERN TRUST INVESTMENTS, INC. has sponsored the creation of one or more 401k plans.

Company Name: NORTHERN TRUST INVESTMENTS, INC.

Employer identification number (EIN): 456138589

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC)

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
036 2020-08-01
036 2019-08-01
036 2018-08-01
036 2017-08-01
036 2016-08-01 2018-05-09
036 2015-08-01 2017-05-11
036 2014-08-01 2016-05-16
036 2014-08-01 2017-07-13
036 2013-08-01 2015-06-19
036 2012-08-01 2014-05-13
036 2011-08-01 2013-05-14
036 2010-08-01 2012-05-09
036 2009-08-01 2011-05-13

Financial Data on NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC)

Measure	Date	Value
2021 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2021-01-04	$-144,298,613
Total unrealized appreciation/depreciation of assets	2021-01-04	$-144,298,613
Total transfer of assets to this plan	2021-01-04	$3,018,820
Total transfer of assets from this plan	2021-01-04	$336,201,153
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-01-04	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-01-04	$69,609
Total income from all sources (including contributions)	2021-01-04	$78,276,477
Total loss/gain on sale of assets	2021-01-04	$222,571,864
Total of all expenses incurred	2021-01-04	$654
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-01-04	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-01-04	$0
Value of total assets at end of year	2021-01-04	$0
Value of total assets at beginning of year	2021-01-04	$254,976,119
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-01-04	$654
Total interest from all sources	2021-01-04	$210
Total dividends received (eg from common stock, registered investment company shares)	2021-01-04	$0
Administrative expenses professional fees incurred	2021-01-04	$654
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-01-04	$38,945
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-01-04	$69,609
Value of net income/loss	2021-01-04	$78,275,823
Value of net assets at end of year (total assets less liabilities)	2021-01-04	$0
Value of net assets at beginning of year (total assets less liabilities)	2021-01-04	$254,906,510
Income. Interest from US Government securities	2021-01-04	$210
Value of interest in common/collective trusts at beginning of year	2021-01-04	$254,497,403
Asset value of US Government securities at beginning of year	2021-01-04	$439,771
Net investment gain or loss from common/collective trusts	2021-01-04	$3,016
Aggregate proceeds on sale of assets	2021-01-04	$232,012,490
Aggregate carrying amount (costs) on sale of assets	2021-01-04	$9,440,626
2020 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2020-07-31	$56,177
Total unrealized appreciation/depreciation of assets	2020-07-31	$56,177
Total transfer of assets to this plan	2020-07-31	$25,136,867
Total transfer of assets from this plan	2020-07-31	$39,377,608
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-07-31	$69,609
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-07-31	$72,489
Total income from all sources (including contributions)	2020-07-31	$-11,361,176
Total loss/gain on sale of assets	2020-07-31	$-136,023
Total of all expenses incurred	2020-07-31	$2,311
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-07-31	$0
Value of total assets at end of year	2020-07-31	$254,976,119
Value of total assets at beginning of year	2020-07-31	$280,583,227
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-07-31	$2,311
Total interest from all sources	2020-07-31	$7,294
Total dividends received (eg from common stock, registered investment company shares)	2020-07-31	$0
Administrative expenses professional fees incurred	2020-07-31	$2,311
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-07-31	$38,945
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-07-31	$9,377
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-07-31	$69,609
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-07-31	$72,489
Value of net income/loss	2020-07-31	$-11,363,487
Value of net assets at end of year (total assets less liabilities)	2020-07-31	$254,906,510
Value of net assets at beginning of year (total assets less liabilities)	2020-07-31	$280,510,738
Income. Interest from US Government securities	2020-07-31	$7,294
Value of interest in common/collective trusts at end of year	2020-07-31	$254,497,403
Value of interest in common/collective trusts at beginning of year	2020-07-31	$280,137,853
Asset value of US Government securities at end of year	2020-07-31	$439,771
Asset value of US Government securities at beginning of year	2020-07-31	$435,997
Net investment gain or loss from common/collective trusts	2020-07-31	$-11,288,624
Aggregate proceeds on sale of assets	2020-07-31	$-136,023
2019 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2019-07-31	$89,203
Total unrealized appreciation/depreciation of assets	2019-07-31	$89,203
Total transfer of assets to this plan	2019-07-31	$26,558,917
Total transfer of assets from this plan	2019-07-31	$44,236,556
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-07-31	$72,489
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-07-31	$19,393
Total income from all sources (including contributions)	2019-07-31	$-16,019,041
Total loss/gain on sale of assets	2019-07-31	$-259,250
Total of all expenses incurred	2019-07-31	$2,298
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-07-31	$0
Value of total assets at end of year	2019-07-31	$280,583,227
Value of total assets at beginning of year	2019-07-31	$314,229,109
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-07-31	$2,298
Total interest from all sources	2019-07-31	$10,046
Total dividends received (eg from common stock, registered investment company shares)	2019-07-31	$0
Administrative expenses professional fees incurred	2019-07-31	$2,298
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-07-31	$9,377
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-07-31	$593,611
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-07-31	$72,489
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-07-31	$19,393
Value of net income/loss	2019-07-31	$-16,021,339
Value of net assets at end of year (total assets less liabilities)	2019-07-31	$280,510,738
Value of net assets at beginning of year (total assets less liabilities)	2019-07-31	$314,209,716
Income. Interest from US Government securities	2019-07-31	$10,046
Value of interest in common/collective trusts at end of year	2019-07-31	$280,137,853
Value of interest in common/collective trusts at beginning of year	2019-07-31	$313,199,671
Asset value of US Government securities at end of year	2019-07-31	$435,997
Asset value of US Government securities at beginning of year	2019-07-31	$435,827
Net investment gain or loss from common/collective trusts	2019-07-31	$-15,859,040
Aggregate proceeds on sale of assets	2019-07-31	$-259,250
2018 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-07-31	$-42,205
Total unrealized appreciation/depreciation of assets	2018-07-31	$-42,205
Total transfer of assets to this plan	2018-07-31	$19,545,566
Total transfer of assets from this plan	2018-07-31	$35,021,899
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-07-31	$19,393
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-07-31	$150,891
Total income from all sources (including contributions)	2018-07-31	$50,739,904
Total loss/gain on sale of assets	2018-07-31	$12,404,858
Total of all expenses incurred	2018-07-31	$2,241
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-07-31	$0
Value of total assets at end of year	2018-07-31	$314,229,109
Value of total assets at beginning of year	2018-07-31	$279,099,277
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-07-31	$2,241
Total interest from all sources	2018-07-31	$5,894
Total dividends received (eg from common stock, registered investment company shares)	2018-07-31	$0
Administrative expenses professional fees incurred	2018-07-31	$7,313
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-07-31	$593,611
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-07-31	$3,547
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-07-31	$19,393
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-07-31	$150,891
Administrative expenses (other) incurred	2018-07-31	$-5,072
Value of net income/loss	2018-07-31	$50,737,663
Value of net assets at end of year (total assets less liabilities)	2018-07-31	$314,209,716
Value of net assets at beginning of year (total assets less liabilities)	2018-07-31	$278,948,386
Income. Interest from US Government securities	2018-07-31	$5,894
Value of interest in common/collective trusts at end of year	2018-07-31	$313,199,671
Value of interest in common/collective trusts at beginning of year	2018-07-31	$278,655,920
Asset value of US Government securities at end of year	2018-07-31	$435,827
Asset value of US Government securities at beginning of year	2018-07-31	$439,810
Net investment gain or loss from common/collective trusts	2018-07-31	$38,371,357
Aggregate proceeds on sale of assets	2018-07-31	$19,600,866
Aggregate carrying amount (costs) on sale of assets	2018-07-31	$7,196,008
2017 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-07-31	$-138,775
Total unrealized appreciation/depreciation of assets	2017-07-31	$-138,775
Total transfer of assets to this plan	2017-07-31	$24,307,258
Total transfer of assets from this plan	2017-07-31	$27,476,100
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-07-31	$150,891
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-07-31	$84,009
Total income from all sources (including contributions)	2017-07-31	$44,472,866
Total loss/gain on sale of assets	2017-07-31	$556,068
Total of all expenses incurred	2017-07-31	$1,900
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-07-31	$0
Value of total assets at end of year	2017-07-31	$279,099,277
Value of total assets at beginning of year	2017-07-31	$237,730,271
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-07-31	$1,900
Total interest from all sources	2017-07-31	$2,140
Total dividends received (eg from common stock, registered investment company shares)	2017-07-31	$0
Administrative expenses professional fees incurred	2017-07-31	$7,202
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-07-31	$3,547
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-07-31	$60,246
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-07-31	$150,891
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-07-31	$84,009
Administrative expenses (other) incurred	2017-07-31	$-5,302
Value of net income/loss	2017-07-31	$44,470,966
Value of net assets at end of year (total assets less liabilities)	2017-07-31	$278,948,386
Value of net assets at beginning of year (total assets less liabilities)	2017-07-31	$237,646,262
Income. Interest from US Government securities	2017-07-31	$2,140
Value of interest in common/collective trusts at end of year	2017-07-31	$278,655,920
Value of interest in common/collective trusts at beginning of year	2017-07-31	$237,375,103
Asset value of US Government securities at end of year	2017-07-31	$439,810
Asset value of US Government securities at beginning of year	2017-07-31	$294,922
Net investment gain or loss from common/collective trusts	2017-07-31	$44,053,433
Aggregate proceeds on sale of assets	2017-07-31	$556,068
2016 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-07-31	$157,848
Total unrealized appreciation/depreciation of assets	2016-07-31	$157,848
Total transfer of assets to this plan	2016-07-31	$15,560,889
Total transfer of assets from this plan	2016-07-31	$24,574,161
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-07-31	$84,009
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-07-31	$317,150
Total income from all sources (including contributions)	2016-07-31	$328,975
Total loss/gain on sale of assets	2016-07-31	$274,070
Total of all expenses incurred	2016-07-31	$1,106
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-07-31	$0
Value of total assets at end of year	2016-07-31	$237,730,271
Value of total assets at beginning of year	2016-07-31	$246,648,815
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-07-31	$1,106
Total interest from all sources	2016-07-31	$396
Total dividends received (eg from common stock, registered investment company shares)	2016-07-31	$0
Administrative expenses professional fees incurred	2016-07-31	$1,106
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-07-31	$60,246
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-07-31	$9,019
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-07-31	$84,009
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-07-31	$317,150
Value of net income/loss	2016-07-31	$327,869
Value of net assets at end of year (total assets less liabilities)	2016-07-31	$237,646,262
Value of net assets at beginning of year (total assets less liabilities)	2016-07-31	$246,331,665
Income. Interest from US Government securities	2016-07-31	$396
Value of interest in common/collective trusts at end of year	2016-07-31	$237,375,103
Value of interest in common/collective trusts at beginning of year	2016-07-31	$246,344,824
Asset value of US Government securities at end of year	2016-07-31	$294,922
Asset value of US Government securities at beginning of year	2016-07-31	$294,972
Net investment gain or loss from common/collective trusts	2016-07-31	$-103,339
Aggregate proceeds on sale of assets	2016-07-31	$274,070
2015 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-07-31	$1,261
Total unrealized appreciation/depreciation of assets	2015-07-31	$1,261
Total transfer of assets to this plan	2015-07-31	$14,505,206
Total transfer of assets from this plan	2015-07-31	$32,955,050
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-07-31	$317,150
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-07-31	$159,132
Total income from all sources (including contributions)	2015-07-31	$27,777,763
Total loss/gain on sale of assets	2015-07-31	$324,124
Total of all expenses incurred	2015-07-31	$1,214
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-07-31	$0
Value of total assets at end of year	2015-07-31	$246,648,815
Value of total assets at beginning of year	2015-07-31	$237,164,092
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-07-31	$1,214
Total interest from all sources	2015-07-31	$90
Total dividends received (eg from common stock, registered investment company shares)	2015-07-31	$0
Administrative expenses professional fees incurred	2015-07-31	$1,214
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-07-31	$9,019
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-07-31	$1,754
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-07-31	$317,150
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-07-31	$159,132
Value of net income/loss	2015-07-31	$27,776,549
Value of net assets at end of year (total assets less liabilities)	2015-07-31	$246,331,665
Value of net assets at beginning of year (total assets less liabilities)	2015-07-31	$237,004,960
Income. Interest from US Government securities	2015-07-31	$90
Value of interest in common/collective trusts at end of year	2015-07-31	$246,344,824
Value of interest in common/collective trusts at beginning of year	2015-07-31	$236,637,374
Asset value of US Government securities at end of year	2015-07-31	$294,972
Asset value of US Government securities at beginning of year	2015-07-31	$524,964
Net investment gain or loss from common/collective trusts	2015-07-31	$27,452,288
Aggregate proceeds on sale of assets	2015-07-31	$624,104
Aggregate carrying amount (costs) on sale of assets	2015-07-31	$299,980
2014 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-07-31	$-483,753
Total unrealized appreciation/depreciation of assets	2014-07-31	$-483,753
Total transfer of assets to this plan	2014-07-31	$28,585,568
Total transfer of assets from this plan	2014-07-31	$28,809,412
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-07-31	$159,132
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-07-31	$101,923
Total income from all sources (including contributions)	2014-07-31	$19,330,257
Total loss/gain on sale of assets	2014-07-31	$1,527,059
Total of all expenses incurred	2014-07-31	$1,201
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-07-31	$0
Value of total assets at end of year	2014-07-31	$237,164,092
Value of total assets at beginning of year	2014-07-31	$218,001,671
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-07-31	$1,201
Total interest from all sources	2014-07-31	$283
Total dividends received (eg from common stock, registered investment company shares)	2014-07-31	$0
Administrative expenses professional fees incurred	2014-07-31	$1,201
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-07-31	$1,754
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-07-31	$1,931
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-07-31	$159,132
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-07-31	$101,923
Value of net income/loss	2014-07-31	$19,329,056
Value of net assets at end of year (total assets less liabilities)	2014-07-31	$237,004,960
Value of net assets at beginning of year (total assets less liabilities)	2014-07-31	$217,899,748
Income. Interest from US Government securities	2014-07-31	$283
Value of interest in common/collective trusts at end of year	2014-07-31	$236,637,374
Value of interest in common/collective trusts at beginning of year	2014-07-31	$217,474,768
Asset value of US Government securities at end of year	2014-07-31	$524,964
Asset value of US Government securities at beginning of year	2014-07-31	$524,972
Net investment gain or loss from common/collective trusts	2014-07-31	$18,286,668
Aggregate proceeds on sale of assets	2014-07-31	$1,527,059
Aggregate carrying amount (costs) on sale of assets	2014-07-31	$0
2013 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-07-31	$-2,091,654
Total unrealized appreciation/depreciation of assets	2013-07-31	$-2,091,654
Total transfer of assets to this plan	2013-07-31	$34,758,871
Total transfer of assets from this plan	2013-07-31	$1,652,437,682
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-07-31	$101,923
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-07-31	$746,135
Total income from all sources (including contributions)	2013-07-31	$108,688,757
Total loss/gain on sale of assets	2013-07-31	$5,702,400
Total of all expenses incurred	2013-07-31	$1,682
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-07-31	$0
Value of total assets at end of year	2013-07-31	$218,001,671
Value of total assets at beginning of year	2013-07-31	$1,727,637,619
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-07-31	$1,682
Total interest from all sources	2013-07-31	$1,354
Total dividends received (eg from common stock, registered investment company shares)	2013-07-31	$0
Administrative expenses professional fees incurred	2013-07-31	$1,682
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-07-31	$1,931
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-07-31	$13,024
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-07-31	$101,923
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-07-31	$746,135
Value of net income/loss	2013-07-31	$108,687,075
Value of net assets at end of year (total assets less liabilities)	2013-07-31	$217,899,748
Value of net assets at beginning of year (total assets less liabilities)	2013-07-31	$1,726,891,484
Income. Interest from US Government securities	2013-07-31	$1,354
Value of interest in common/collective trusts at end of year	2013-07-31	$217,474,768
Value of interest in common/collective trusts at beginning of year	2013-07-31	$1,721,101,846
Asset value of US Government securities at end of year	2013-07-31	$524,972
Asset value of US Government securities at beginning of year	2013-07-31	$6,522,749
Net investment gain or loss from common/collective trusts	2013-07-31	$105,076,657
Aggregate proceeds on sale of assets	2013-07-31	$11,701,044
Aggregate carrying amount (costs) on sale of assets	2013-07-31	$5,998,644
2012 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-07-31	$3,050,134
Total unrealized appreciation/depreciation of assets	2012-07-31	$3,050,134
Total transfer of assets to this plan	2012-07-31	$273,449,230
Total transfer of assets from this plan	2012-07-31	$187,813,742
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-07-31	$746,135
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-07-31	$3,316,724
Total income from all sources (including contributions)	2012-07-31	$-3,560,013
Total loss/gain on sale of assets	2012-07-31	$-4,050,985
Total of all expenses incurred	2012-07-31	$5,698
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-07-31	$0
Value of total assets at end of year	2012-07-31	$1,727,637,619
Value of total assets at beginning of year	2012-07-31	$1,648,138,431
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-07-31	$5,698
Total interest from all sources	2012-07-31	$3,137
Total dividends received (eg from common stock, registered investment company shares)	2012-07-31	$0
Administrative expenses professional fees incurred	2012-07-31	$5,698
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-07-31	$13,024
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-07-31	$4,676
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-07-31	$746,135
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-07-31	$3,316,724
Value of net income/loss	2012-07-31	$-3,565,711
Value of net assets at end of year (total assets less liabilities)	2012-07-31	$1,726,891,484
Value of net assets at beginning of year (total assets less liabilities)	2012-07-31	$1,644,821,707
Income. Interest from US Government securities	2012-07-31	$3,137
Value of interest in common/collective trusts at end of year	2012-07-31	$1,721,101,846
Value of interest in common/collective trusts at beginning of year	2012-07-31	$1,643,549,250
Asset value of US Government securities at end of year	2012-07-31	$6,522,749
Asset value of US Government securities at beginning of year	2012-07-31	$4,584,505
Net investment gain or loss from common/collective trusts	2012-07-31	$-2,562,299
Aggregate proceeds on sale of assets	2012-07-31	$3,999,900
Aggregate carrying amount (costs) on sale of assets	2012-07-31	$8,050,885
2011 : NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-07-31	$-482,924
Total unrealized appreciation/depreciation of assets	2011-07-31	$-482,924
Total transfer of assets to this plan	2011-07-31	$387,108,031
Total transfer of assets from this plan	2011-07-31	$216,486,270
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-07-31	$3,316,724
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-07-31	$252,549
Total income from all sources (including contributions)	2011-07-31	$294,767,048
Total loss/gain on sale of assets	2011-07-31	$2,433,440
Total of all expenses incurred	2011-07-31	$6,012
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-07-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-07-31	$0
Value of total assets at end of year	2011-07-31	$1,648,138,431
Value of total assets at beginning of year	2011-07-31	$1,179,691,459
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-07-31	$6,012
Total interest from all sources	2011-07-31	$6,313
Total dividends received (eg from common stock, registered investment company shares)	2011-07-31	$0
Administrative expenses professional fees incurred	2011-07-31	$6,012
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-07-31	$4,676
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-07-31	$182,103
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-07-31	$3,316,724
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-07-31	$252,549
Value of net income/loss	2011-07-31	$294,761,036
Value of net assets at end of year (total assets less liabilities)	2011-07-31	$1,644,821,707
Value of net assets at beginning of year (total assets less liabilities)	2011-07-31	$1,179,438,910
Income. Interest from US Government securities	2011-07-31	$6,313
Value of interest in common/collective trusts at end of year	2011-07-31	$1,643,549,250
Value of interest in common/collective trusts at beginning of year	2011-07-31	$1,175,701,700
Asset value of US Government securities at end of year	2011-07-31	$4,584,505
Asset value of US Government securities at beginning of year	2011-07-31	$3,807,656
Net investment gain or loss from common/collective trusts	2011-07-31	$292,810,219
Aggregate proceeds on sale of assets	2011-07-31	$11,018,440
Aggregate carrying amount (costs) on sale of assets	2011-07-31	$8,585,000

Form 5500 Responses for NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC)

2020: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2020 form 5500 responses
2020-08-01	Type of plan entity	DFE (Diect Filing Entity)
2020-08-01	Submission has been amended	No
2020-08-01	This submission is the final filing	Yes
2020-08-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2020-08-01	Plan is a collectively bargained plan	No
2019: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2019 form 5500 responses
2019-08-01	Type of plan entity	DFE (Diect Filing Entity)
2019-08-01	Submission has been amended	No
2019-08-01	This submission is the final filing	No
2019-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-08-01	Plan is a collectively bargained plan	No
2018: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2018 form 5500 responses
2018-08-01	Type of plan entity	DFE (Diect Filing Entity)
2018-08-01	Submission has been amended	No
2018-08-01	This submission is the final filing	No
2018-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-08-01	Plan is a collectively bargained plan	No
2017: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2017 form 5500 responses
2017-08-01	Type of plan entity	DFE (Diect Filing Entity)
2017-08-01	Submission has been amended	No
2017-08-01	This submission is the final filing	No
2017-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-08-01	Plan is a collectively bargained plan	No
2016: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2016 form 5500 responses
2016-08-01	Type of plan entity	DFE (Diect Filing Entity)
2016-08-01	Submission has been amended	No
2016-08-01	This submission is the final filing	No
2016-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-08-01	Plan is a collectively bargained plan	No
2015: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2015 form 5500 responses
2015-08-01	Type of plan entity	DFE (Diect Filing Entity)
2015-08-01	Submission has been amended	No
2015-08-01	This submission is the final filing	No
2015-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-08-01	Plan is a collectively bargained plan	No
2014: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2014 form 5500 responses
2014-08-01	Type of plan entity	DFE (Diect Filing Entity)
2014-08-01	Submission has been amended	Yes
2014-08-01	This submission is the final filing	No
2014-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-08-01	Plan is a collectively bargained plan	No
2013: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2013 form 5500 responses
2013-08-01	Type of plan entity	DFE (Diect Filing Entity)
2013-08-01	Submission has been amended	Yes
2013-08-01	This submission is the final filing	No
2013-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-08-01	Plan is a collectively bargained plan	No
2012: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2012 form 5500 responses
2012-08-01	Type of plan entity	DFE (Diect Filing Entity)
2012-08-01	Submission has been amended	No
2012-08-01	This submission is the final filing	No
2012-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-08-01	Plan is a collectively bargained plan	No
2011: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2011 form 5500 responses
2011-08-01	Type of plan entity	DFE (Diect Filing Entity)
2011-08-01	Submission has been amended	No
2011-08-01	This submission is the final filing	No
2011-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-08-01	Plan is a collectively bargained plan	No
2010: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2010 form 5500 responses
2010-08-01	Type of plan entity	DFE (Diect Filing Entity)
2010-08-01	Submission has been amended	No
2010-08-01	This submission is the final filing	No
2010-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-08-01	Plan is a collectively bargained plan	No
2009: NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC-LENDING (FKA NT COLLECTIVE RUSSELL 2000 INDEX FUND - DC) 2009 form 5500 responses
2009-08-01	Type of plan entity	DFE (Diect Filing Entity)
2009-08-01	Submission has been amended	No
2009-08-01	This submission is the final filing	No
2009-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-08-01	Plan is a collectively bargained plan	No

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NT COLLECTIVE DAILY AGGREGATE BOND INDEX - SANT4 [EIN = 061050034]

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Company Name:	NORTHERN TRUST INVESTMENTS, INC.
Employer identification number (EIN):	456138589