401k Plan data: 401(K) PLAN FOR SOTERA HEALTH, LLC plan

401(K) PLAN FOR SOTERA HEALTH, LLC 401k Plan overview

Plan Name	401(K) PLAN FOR SOTERA HEALTH, LLC
Plan identification number	002

401(K) PLAN FOR SOTERA HEALTH, LLC Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
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

SOTERA HEALTH, LLC has sponsored the creation of one or more 401k plans.

Company Name: SOTERA HEALTH, LLC

Employer identification number (EIN): 201192338

NAIC Classification: 551112
NAIC Description: Offices of Other Holding Companies

Additional information about SOTERA HEALTH, LLC

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2020-09-22

Company Identification Number: 0803770488

Legal Registered Office Address: 1121 BRIARCREST DR STE 102

BRYAN
United States of America (USA)
77802

More information about SOTERA HEALTH, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan 401(K) PLAN FOR SOTERA HEALTH, LLC

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2019-01-01
002 2018-01-01

Plan Statistics for 401(K) PLAN FOR SOTERA HEALTH, LLC

401k plan membership statisitcs for 401(K) PLAN FOR SOTERA HEALTH, LLC

Measure Date Value
2019: 401(K) PLAN FOR SOTERA HEALTH, LLC 2019 401k membership
Total participants, beginning-of-year 2019-01-01 1,746
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 1,470
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 307
Total of all active and inactive participants 2019-01-01 1,777
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 5
Total participants 2019-01-01 1,782
Number of participants with account balances 2019-01-01 1,698
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 1
2018: 401(K) PLAN FOR SOTERA HEALTH, LLC 2018 401k membership
Total participants, beginning-of-year 2018-01-01 1,399
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 1,469
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 273
Total of all active and inactive participants 2018-01-01 1,742
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 4
Total participants 2018-01-01 1,746
Number of participants with account balances 2018-01-01 1,622
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 13

Measure	Date	Value
2019: 401(K) PLAN FOR SOTERA HEALTH, LLC 2019 401k membership
Total participants, beginning-of-year	2019-01-01	1,746
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	1,470
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	307
Total of all active and inactive participants	2019-01-01	1,777
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	5
Total participants	2019-01-01	1,782
Number of participants with account balances	2019-01-01	1,698
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	1
2018: 401(K) PLAN FOR SOTERA HEALTH, LLC 2018 401k membership
Total participants, beginning-of-year	2018-01-01	1,399
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	1,469
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	273
Total of all active and inactive participants	2018-01-01	1,742
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	4
Total participants	2018-01-01	1,746
Number of participants with account balances	2018-01-01	1,622
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	13

Financial Data on 401(K) PLAN FOR SOTERA HEALTH, LLC

Measure	Date	Value
2019 : 401(K) PLAN FOR SOTERA HEALTH, LLC 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$3,910,341
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$34,600,474
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$9,732,745
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$9,324,084
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$12,002,623
Value of total assets at end of year	2019-12-31	$129,986,983
Value of total assets at beginning of year	2019-12-31	$101,208,913
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$408,661
Total interest from all sources	2019-12-31	$178,659
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$3,074,808
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$3,074,808
Administrative expenses professional fees incurred	2019-12-31	$21,275
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$7,009,151
Participant contributions at end of year	2019-12-31	$3,517,441
Participant contributions at beginning of year	2019-12-31	$3,280,638
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$1,118,062
Administrative expenses (other) incurred	2019-12-31	$249,377
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$24,867,729
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$129,986,983
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$101,208,913
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$138,009
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$113,611,906
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$87,607,365
Value of interest in pooled separate accounts at end of year	2019-12-31	$8,502,339
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$6,396,329
Interest on participant loans	2019-12-31	$178,659
Value of interest in common/collective trusts at end of year	2019-12-31	$4,355,297
Value of interest in common/collective trusts at beginning of year	2019-12-31	$3,924,581
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$18,226,173
Net investment gain/loss from pooled separate accounts	2019-12-31	$196,077
Net investment gain or loss from common/collective trusts	2019-12-31	$922,134
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$3,875,410
Employer contributions (assets) at end of year	2019-12-31	$0
Employer contributions (assets) at beginning of year	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$9,324,084
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	CROWE LLP
Accountancy firm EIN	2019-12-31	350921680
2018 : 401(K) PLAN FOR SOTERA HEALTH, LLC 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$21,377,025
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$5,188,420
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$12,076,530
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$11,759,681
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$11,302,982
Value of total assets at end of year	2018-12-31	$101,208,913
Value of total assets at beginning of year	2018-12-31	$86,719,998
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$316,849
Total interest from all sources	2018-12-31	$911,332
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$4,390,399
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$4,390,399
Administrative expenses professional fees incurred	2018-12-31	$19,500
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$6,546,678
Participant contributions at end of year	2018-12-31	$3,280,638
Participant contributions at beginning of year	2018-12-31	$2,892,767
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$1,119,692
Administrative expenses (other) incurred	2018-12-31	$196,184
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-6,888,110
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$101,208,913
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$86,719,998
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$101,165
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$87,607,365
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$45,750,801
Value of interest in pooled separate accounts at end of year	2018-12-31	$6,396,329
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$7,157,316
Interest on participant loans	2018-12-31	$145,558
Value of interest in common/collective trusts at end of year	2018-12-31	$3,924,581
Value of interest in common/collective trusts at beginning of year	2018-12-31	$30,919,114
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$765,774
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-11,636,584
Net investment gain/loss from pooled separate accounts	2018-12-31	$178,853
Net investment gain or loss from common/collective trusts	2018-12-31	$41,438
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$3,636,612
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$11,759,681
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	CROWE LLP
Accountancy firm EIN	2018-12-31	350921680

Form 5500 Responses for 401(K) PLAN FOR SOTERA HEALTH, LLC

2019: 401(K) PLAN FOR SOTERA HEALTH, LLC 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 - Trust	Yes
2018: 401(K) PLAN FOR SOTERA HEALTH, LLC 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 - Trust	Yes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31613

Policy instance

Insurance contract or identification number	GA31613
Number of Individuals Covered	1413
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?	No
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

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31613

Policy instance

Insurance contract or identification number	GA31613
Number of Individuals Covered	163
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?	No
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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See full terms and conditions

Company Name:	SOTERA HEALTH, LLC
Employer identification number (EIN):	201192338
NAIC Classification:	551112
NAIC Description:	Offices of Other Holding Companies

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2020-09-22
Company Identification Number:	0803770488
Legal Registered Office Address:	1121 BRIARCREST DR STE 102 BRYAN United States of America (USA) 77802