401k Plan data: THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2)

THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 401k Plan overview

Plan Name	THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN
Plan identification number	004

THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
Plan covered by PBGC that was terminated and closed out for PBGC purposes - Before the end of the plan year (or a prior plan year), (1) the plan terminated in a standard (or distress) termination and completed the distribution of plan assets in satisfaction of all benefit liabilities (or all ERISA Title IV benefits for distress termination); or (2) a trustee was appointed for a terminated plan pursuant to ERISA section 4042.
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).

401k Sponsoring company profile

BROWN BROTHERS HARRIMAN & CO. has sponsored the creation of one or more 401k plans.

Company Name: BROWN BROTHERS HARRIMAN & CO.

Employer identification number (EIN): 134973745

NAIC Classification: 522110
NAIC Description: Commercial Banking

Additional information about BROWN BROTHERS HARRIMAN & CO.

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1992-04-08

Company Identification Number: 1627398

Legal Registered Office Address: ATTN OFFICE OF GENERAL COUNSEL
140 BROADWAY
NEW YORK
United States of America (USA)
100051101

More information about BROWN BROTHERS HARRIMAN & CO.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2016-01-01 SANDI STEIN
004 2015-01-01 SANDI STEIN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
004	2016-01-01	SANDI STEIN
004	2015-01-01	SANDI STEIN

Plan Statistics for THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN

401k plan membership statisitcs for THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN

Measure Date Value
2016: THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1,968
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
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 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 2,044
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 1,806
Number of retired or separated participants receiving benefits 2015-01-01 2
Number of other retired or separated participants entitled to future benefits 2015-01-01 159
Total of all active and inactive participants 2015-01-01 1,967
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 1,968
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2016: THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1,968
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
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	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	2,044
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	1,806
Number of retired or separated participants receiving benefits	2015-01-01	2
Number of other retired or separated participants entitled to future benefits	2015-01-01	159
Total of all active and inactive participants	2015-01-01	1,967
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	1,968
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN

Measure	Date	Value
2016 : THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-07-21	$21,121
Total unrealized appreciation/depreciation of assets	2016-07-21	$21,121
Total transfer of assets from this plan	2016-07-21	$2,380,682
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-07-21	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-07-21	$714,781
Total income from all sources (including contributions)	2016-07-21	$4,480
Total loss/gain on sale of assets	2016-07-21	$-16,641
Total of all expenses incurred	2016-07-21	$55,195,803
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-07-21	$55,195,803
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-07-21	$0
Value of total assets at end of year	2016-07-21	$0
Value of total assets at beginning of year	2016-07-21	$58,286,786
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-07-21	$0
Total income from rents	2016-07-21	$0
Total interest from all sources	2016-07-21	$0
Total dividends received (eg from common stock, registered investment company shares)	2016-07-21	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-07-21	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-07-21	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-07-21	$0
Was this plan covered by a fidelity bond	2016-07-21	Yes
Value of fidelity bond cover	2016-07-21	$100,000,000
If this is an individual account plan, was there a blackout period	2016-07-21	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-07-21	$0
Were there any nonexempt tranactions with any party-in-interest	2016-07-21	No
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-07-21	$1,926,833
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-07-21	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-07-21	$71,080
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-07-21	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-07-21	$714,781
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-07-21	No
Value of net income/loss	2016-07-21	$-55,191,323
Value of net assets at end of year (total assets less liabilities)	2016-07-21	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-07-21	$57,572,005
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-07-21	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-07-21	No
Were any leases to which the plan was party in default or uncollectible	2016-07-21	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-07-21	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-07-21	$2,220,186
Income. Interest from US Government securities	2016-07-21	$0
Asset value of US Government securities at end of year	2016-07-21	$0
Asset value of US Government securities at beginning of year	2016-07-21	$55,995,520
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-07-21	Yes
Was there a failure to transmit to the plan any participant contributions	2016-07-21	No
Has the plan failed to provide any benefit when due under the plan	2016-07-21	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-07-21	$53,268,970
Did the plan have assets held for investment	2016-07-21	No
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	2016-07-21	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-07-21	Yes
Aggregate proceeds on sale of assets	2016-07-21	$56,000,000
Aggregate carrying amount (costs) on sale of assets	2016-07-21	$56,016,641
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-07-21	No
Opinion of an independent qualified public accountant for this plan	2016-07-21	Unqualified
Accountancy firm name	2016-07-21	BDO USA,LLP
Accountancy firm EIN	2016-07-21	135381590
2015 : THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$26,434
Total unrealized appreciation/depreciation of assets	2015-12-31	$26,434
Total transfer of assets to this plan	2015-12-31	$60,088,369
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$714,781
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$436,362
Total loss/gain on sale of assets	2015-12-31	$-74,444
Total of all expenses incurred	2015-12-31	$2,952,726
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,146,970
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$0
Value of total assets at end of year	2015-12-31	$58,286,786
Value of total assets at beginning of year	2015-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$1,805,756
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$126,045
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$981,937
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$981,937
Administrative expenses professional fees incurred	2015-12-31	$1,805,756
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$100,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$71,080
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$714,781
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-2,516,364
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$57,572,005
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$2,220,186
Interest earned on other investments	2015-12-31	$129,493
Income. Interest from US Government securities	2015-12-31	$-3,448
Asset value of US Government securities at end of year	2015-12-31	$55,995,520
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-623,610
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,146,970
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$1,671,058
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$1,745,502
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	BDO USA,LLP
Accountancy firm EIN	2015-12-31	135381590

Form 5500 Responses for THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN

2016: THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THE BROWN BROTHERS HARRIMAN CASH BALANCE PLAN (NO. 2) - SPIN-OFF PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	First time form 5500 has been submitted	Yes
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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BROWN BROTHERS HARRIMAN & CO.
Employer identification number (EIN):	134973745
NAIC Classification:	522110
NAIC Description:	Commercial Banking

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1992-04-08
Company Identification Number:	1627398
Legal Registered Office Address:	ATTN OFFICE OF GENERAL COUNSEL 140 BROADWAY NEW YORK United States of America (USA) 100051101