401k Plan data: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN plan

AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 401k Plan overview

Plan Name	AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN
Plan identification number	001

AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN Benefits

401k Plan Type

Defined 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.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

AVIVA INVESTORS AMERICAS LLC has sponsored the creation of one or more 401k plans.

Company Name: AVIVA INVESTORS AMERICAS LLC

Employer identification number (EIN): 611691139

NAIC Classification: 523900

Additional information about AVIVA INVESTORS AMERICAS LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 5133504

More information about AVIVA INVESTORS AMERICAS LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 SEAN BRUMBLE WILLIAM SURERUS 2018-09-25
001 2016-01-01 SEAN BRUMBLE WILLIAM SURERUS 2017-07-28
001 2016-01-01 WILLIAM SURERUS 2017-07-28
001 2015-01-01 SEAN BRUMBLE WILLIAM SURERUS 2016-10-05
001 2014-01-01 JULIE SCHOTANUS WILLIAM SURERUS 2015-10-14
001 2013-04-01 WILLIAM SURERUS WILLIAM SURERUS 2015-01-16

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	SEAN BRUMBLE	WILLIAM SURERUS	2018-09-25
001	2016-01-01	SEAN BRUMBLE	WILLIAM SURERUS	2017-07-28
001	2016-01-01		WILLIAM SURERUS	2017-07-28
001	2015-01-01	SEAN BRUMBLE	WILLIAM SURERUS	2016-10-05
001	2014-01-01	JULIE SCHOTANUS	WILLIAM SURERUS	2015-10-14
001	2013-04-01	WILLIAM SURERUS	WILLIAM SURERUS	2015-01-16

Plan Statistics for AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN

401k plan membership statisitcs for AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN

Measure Date Value
2022: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 31
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 57
Total of all active and inactive participants 2022-01-01 88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 88
Number of participants with account balances 2022-01-01 88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 105
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 53
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 53
Total of all active and inactive participants 2021-01-01 106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 106
Number of participants with account balances 2021-01-01 105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 3
2020: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 104
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 68
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 37
Total of all active and inactive participants 2020-01-01 105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 105
Number of participants with account balances 2020-01-01 103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 84
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 66
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 38
Total of all active and inactive participants 2019-01-01 104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 104
Number of participants with account balances 2019-01-01 104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 1
2018: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 91
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 54
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 30
Total of all active and inactive participants 2018-01-01 84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 84
Number of participants with account balances 2018-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 87
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 61
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 30
Total of all active and inactive participants 2017-01-01 91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 91
Number of participants with account balances 2017-01-01 90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 83
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 59
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 28
Total of all active and inactive participants 2016-01-01 87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 87
Number of participants with account balances 2016-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 3
2015: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 90
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 60
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 23
Total of all active and inactive participants 2015-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 83
Number of participants with account balances 2015-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2014: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 59
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 31
Total of all active and inactive participants 2014-01-01 90
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 90
Number of participants with account balances 2014-01-01 90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 6
2013: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-04-01 118
Total number of active participants reported on line 7a of the Form 5500 2013-04-01 115
Number of retired or separated participants receiving benefits 2013-04-01 0
Number of other retired or separated participants entitled to future benefits 2013-04-01 16
Total of all active and inactive participants 2013-04-01 131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-04-01 0
Total participants 2013-04-01 131
Number of participants with account balances 2013-04-01 131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-04-01 4

Measure	Date	Value
2022: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	31
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	57
Total of all active and inactive participants	2022-01-01	88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	88
Number of participants with account balances	2022-01-01	88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	105
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	53
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	53
Total of all active and inactive participants	2021-01-01	106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	106
Number of participants with account balances	2021-01-01	105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	3
2020: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	104
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	68
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	37
Total of all active and inactive participants	2020-01-01	105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	105
Number of participants with account balances	2020-01-01	103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	84
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	66
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	38
Total of all active and inactive participants	2019-01-01	104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	104
Number of participants with account balances	2019-01-01	104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	1
2018: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	91
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	54
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	30
Total of all active and inactive participants	2018-01-01	84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	84
Number of participants with account balances	2018-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	87
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	61
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	30
Total of all active and inactive participants	2017-01-01	91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	91
Number of participants with account balances	2017-01-01	90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	83
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	59
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	28
Total of all active and inactive participants	2016-01-01	87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	87
Number of participants with account balances	2016-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	3
2015: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	90
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	60
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	23
Total of all active and inactive participants	2015-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	83
Number of participants with account balances	2015-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2014: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	59
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	31
Total of all active and inactive participants	2014-01-01	90
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	90
Number of participants with account balances	2014-01-01	90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	6
2013: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-04-01	118
Total number of active participants reported on line 7a of the Form 5500	2013-04-01	115
Number of retired or separated participants receiving benefits	2013-04-01	0
Number of other retired or separated participants entitled to future benefits	2013-04-01	16
Total of all active and inactive participants	2013-04-01	131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-04-01	0
Total participants	2013-04-01	131
Number of participants with account balances	2013-04-01	131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-04-01	4

Financial Data on AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN

Measure	Date	Value
2022 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2022 401k financial data
Total income from all sources	2022-12-31	$-1,909,022
Expenses. Total of all expenses incurred	2022-12-31	$3,033,714
Benefits paid (including direct rollovers)	2022-12-31	$3,032,350
Total plan assets at end of year	2022-12-31	$14,409,162
Total plan assets at beginning of year	2022-12-31	$19,351,898
Value of fidelity bond covering the plan	2022-12-31	$2,000,000
Total contributions received or receivable from participants	2022-12-31	$705,857
Other income received	2022-12-31	$-3,180,641
Net income (gross income less expenses)	2022-12-31	$-4,942,736
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$14,409,162
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$19,351,898
Assets. Value of participant loans	2022-12-31	$28,029
Total contributions received or receivable from employer(s)	2022-12-31	$565,762
Value of corrective distributions	2022-12-31	$71
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$1,293
2021 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2021 401k financial data
Total income from all sources	2021-12-31	$5,491,191
Expenses. Total of all expenses incurred	2021-12-31	$1,361,473
Benefits paid (including direct rollovers)	2021-12-31	$1,360,402
Total plan assets at end of year	2021-12-31	$19,351,898
Total plan assets at beginning of year	2021-12-31	$15,222,180
Value of fidelity bond covering the plan	2021-12-31	$2,000,000
Total contributions received or receivable from participants	2021-12-31	$1,092,340
Contributions received from other sources (not participants or employers)	2021-12-31	$1,360,974
Other income received	2021-12-31	$2,235,401
Net income (gross income less expenses)	2021-12-31	$4,129,718
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$19,351,898
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$15,222,180
Assets. Value of participant loans	2021-12-31	$31,410
Total contributions received or receivable from employer(s)	2021-12-31	$802,476
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$1,071
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
2020 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2020 401k financial data
Total income from all sources	2020-12-31	$4,348,833
Expenses. Total of all expenses incurred	2020-12-31	$3,957,907
Benefits paid (including direct rollovers)	2020-12-31	$3,951,610
Total plan assets at end of year	2020-12-31	$15,222,180
Total plan assets at beginning of year	2020-12-31	$14,831,254
Value of fidelity bond covering the plan	2020-12-31	$2,000,000
Total contributions received or receivable from participants	2020-12-31	$946,628
Contributions received from other sources (not participants or employers)	2020-12-31	$149,559
Other income received	2020-12-31	$2,564,156
Net income (gross income less expenses)	2020-12-31	$390,926
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$15,222,180
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$14,831,254
Assets. Value of participant loans	2020-12-31	$154,655
Total contributions received or receivable from employer(s)	2020-12-31	$688,490
Value of corrective distributions	2020-12-31	$4,055
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$2,242
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
2019 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$4,713,653
Expenses. Total of all expenses incurred	2019-12-31	$752,460
Benefits paid (including direct rollovers)	2019-12-31	$751,109
Total plan assets at end of year	2019-12-31	$14,831,254
Total plan assets at beginning of year	2019-12-31	$10,870,061
Value of fidelity bond covering the plan	2019-12-31	$2,000,000
Total contributions received or receivable from participants	2019-12-31	$798,451
Contributions received from other sources (not participants or employers)	2019-12-31	$702,250
Other income received	2019-12-31	$2,602,533
Net income (gross income less expenses)	2019-12-31	$3,961,193
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$14,831,254
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$10,870,061
Assets. Value of participant loans	2019-12-31	$181,146
Assets. Value of assets in partnership/joint-venture interests	2019-12-31	$36,495
Total contributions received or receivable from employer(s)	2019-12-31	$610,419
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$1,351
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$723,893
Expenses. Total of all expenses incurred	2018-12-31	$2,822,047
Benefits paid (including direct rollovers)	2018-12-31	$2,820,721
Total plan assets at end of year	2018-12-31	$10,870,061
Total plan assets at beginning of year	2018-12-31	$12,968,215
Value of fidelity bond covering the plan	2018-12-31	$2,000,000
Total contributions received or receivable from participants	2018-12-31	$750,254
Contributions received from other sources (not participants or employers)	2018-12-31	$124,220
Other income received	2018-12-31	$-716,059
Net income (gross income less expenses)	2018-12-31	$-2,098,154
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$10,870,061
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$12,968,215
Assets. Value of participant loans	2018-12-31	$130,338
Assets. Value of assets in partnership/joint-venture interests	2018-12-31	$41,158
Total contributions received or receivable from employer(s)	2018-12-31	$565,478
Value of corrective distributions	2018-12-31	$572
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$754
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$3,270,265
Expenses. Total of all expenses incurred	2017-12-31	$2,572,622
Benefits paid (including direct rollovers)	2017-12-31	$2,571,984
Total plan assets at end of year	2017-12-31	$12,968,215
Total plan assets at beginning of year	2017-12-31	$12,270,572
Value of fidelity bond covering the plan	2017-12-31	$2,000,000
Total contributions received or receivable from participants	2017-12-31	$746,181
Contributions received from other sources (not participants or employers)	2017-12-31	$72,210
Other income received	2017-12-31	$1,865,877
Net income (gross income less expenses)	2017-12-31	$697,643
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$12,968,215
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$12,270,572
Assets. Value of participant loans	2017-12-31	$223,746
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$82,588
Total contributions received or receivable from employer(s)	2017-12-31	$585,997
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$638
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$2,090,174
Expenses. Total of all expenses incurred	2016-12-31	$842,963
Benefits paid (including direct rollovers)	2016-12-31	$841,914
Total plan assets at end of year	2016-12-31	$12,270,572
Total plan assets at beginning of year	2016-12-31	$11,023,361
Value of fidelity bond covering the plan	2016-12-31	$2,000,000
Total contributions received or receivable from participants	2016-12-31	$765,584
Contributions received from other sources (not participants or employers)	2016-12-31	$76,761
Other income received	2016-12-31	$706,549
Net income (gross income less expenses)	2016-12-31	$1,247,211
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$12,270,572
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$11,023,361
Assets. Value of participant loans	2016-12-31	$213,293
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$9,183
Total contributions received or receivable from employer(s)	2016-12-31	$541,280
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$1,049
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$1,406,500
Expenses. Total of all expenses incurred	2015-12-31	$731,200
Benefits paid (including direct rollovers)	2015-12-31	$730,102
Total plan assets at end of year	2015-12-31	$11,023,361
Total plan assets at beginning of year	2015-12-31	$10,348,061
Value of fidelity bond covering the plan	2015-12-31	$2,000,000
Total contributions received or receivable from participants	2015-12-31	$756,272
Contributions received from other sources (not participants or employers)	2015-12-31	$84,599
Other income received	2015-12-31	$-8,911
Net income (gross income less expenses)	2015-12-31	$675,300
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$11,023,361
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$10,348,061
Assets. Value of participant loans	2015-12-31	$189,933
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$8,087
Total contributions received or receivable from employer(s)	2015-12-31	$574,540
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$1,098
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$57,336
Total unrealized appreciation/depreciation of assets	2014-12-31	$57,336
Total transfer of assets to this plan	2014-12-31	$16,872
Total transfer of assets from this plan	2014-12-31	$5,950,731
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,714,821
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,947,639
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,946,787
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,992,953
Value of total assets at end of year	2014-12-31	$10,348,061
Value of total assets at beginning of year	2014-12-31	$14,514,738
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$852
Total interest from all sources	2014-12-31	$54,681
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$110,050
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$110,050
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,404,882
Participant contributions at end of year	2014-12-31	$154,931
Participant contributions at beginning of year	2014-12-31	$107,562
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$372,467
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$1,048,739
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$513,646
Other income not declared elsewhere	2014-12-31	$-23,441
Administrative expenses (other) incurred	2014-12-31	$852
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,767,182
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$10,348,061
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$14,514,738
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$57,680
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$6,532,480
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$9,159,713
Value of interest in pooled separate accounts at end of year	2014-12-31	$1,434,538
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$1,732,896
Interest on participant loans	2014-12-31	$6,005
Interest earned on other investments	2014-12-31	$48,676
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$1,795,965
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$2,465,828
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$417,653
Net investment gain/loss from pooled separate accounts	2014-12-31	$105,589
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,074,425
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,946,787
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2014-12-31	410766749
2013 : AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$12,483,121
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	$3,042,547
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,010,930
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,010,027
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,113,253
Value of total assets at end of year	2013-12-31	$14,514,738
Value of total assets at beginning of year	2013-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$903
Total interest from all sources	2013-12-31	$46,979
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$101,529
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$101,529
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$618,439
Participant contributions at end of year	2013-12-31	$107,562
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$1,048,739
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$62,527
Other income not declared elsewhere	2013-12-31	$171,579
Administrative expenses (other) incurred	2013-12-31	$903
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,031,617
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$14,514,738
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$9,159,713
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$0
Value of interest in pooled separate accounts at end of year	2013-12-31	$1,732,896
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$3,315
Interest earned on other investments	2013-12-31	$43,664
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$2,465,828
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,379,761
Net investment gain/loss from pooled separate accounts	2013-12-31	$229,446
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$432,287
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,010,027
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2013-12-31	410766749

Form 5500 Responses for AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN

2022: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	Yes
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: AVIVA INVESTORS AMERICAS SAVINGS & RETIREMENT PLAN 2013 form 5500 responses
2013-04-01	Type of plan entity	Single employer plan
2013-04-01	First time form 5500 has been submitted	Yes
2013-04-01	Submission has been amended	Yes
2013-04-01	This submission is the final filing	No
2013-04-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-04-01	Plan is a collectively bargained plan	No
2013-04-01	Plan funding arrangement – Insurance	Yes
2013-04-01	Plan funding arrangement – Trust	Yes
2013-04-01	Plan benefit arrangement – Insurance	Yes
2013-04-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	88
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	106
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	105
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	104
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	84
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	91
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	83
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	90
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074053

Policy instance

Insurance contract or identification number	074053
Number of Individuals Covered	131
Insurance policy start date	2013-04-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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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Company Name:	AVIVA INVESTORS AMERICAS LLC
Employer identification number (EIN):	611691139
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	5133504