401k Plan data: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN plan

INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 401k Plan overview

Plan Name	INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN
Plan identification number	001

INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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.
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

INVESTMENT COMPANY INSTITUTE has sponsored the creation of one or more 401k plans.

Company Name: INVESTMENT COMPANY INSTITUTE

Employer identification number (EIN): 135266605

NAIC Classification: 813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Additional information about INVESTMENT COMPANY INSTITUTE

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 825796

More information about INVESTMENT COMPANY INSTITUTE

Form 5500 Filing Information

Submission information for form 5500 for 401k plan INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01
001 2022-01-01
001 2021-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 MARK DELCOCO MARK DELCOCO 2018-10-02
001 2016-01-01 MARK DELCOCO MARK DELCOCO 2017-10-03
001 2015-01-01 MARK DELCOCO MARK DELCOCO 2016-09-22
001 2014-01-01 MARK DELCOCO MARK DELCOCO 2015-10-05
001 2013-01-01 MARK DELCOCO MARK DELCOCO 2014-07-30
001 2012-01-01 MARK DELCOCO MARK DELCOCO 2013-10-09
001 2011-01-01 MARK DELCOCO MARK DELCOCO 2012-07-30
001 2010-01-01 MARK DELCOCO MARK DELCOCO 2011-10-13
001 2009-01-01 MARK DELCOCO MARK DELCOCO 2010-09-29

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01
001	2022-01-01
001	2021-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	MARK DELCOCO	MARK DELCOCO	2018-10-02
001	2016-01-01	MARK DELCOCO	MARK DELCOCO	2017-10-03
001	2015-01-01	MARK DELCOCO	MARK DELCOCO	2016-09-22
001	2014-01-01	MARK DELCOCO	MARK DELCOCO	2015-10-05
001	2013-01-01	MARK DELCOCO	MARK DELCOCO	2014-07-30
001	2012-01-01	MARK DELCOCO	MARK DELCOCO	2013-10-09
001	2011-01-01	MARK DELCOCO	MARK DELCOCO	2012-07-30
001	2010-01-01	MARK DELCOCO	MARK DELCOCO	2011-10-13
001	2009-01-01	MARK DELCOCO	MARK DELCOCO	2010-09-29

Plan Statistics for INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN

401k plan membership statisitcs for INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN

Measure Date Value
2023: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 267
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 163
Number of retired or separated participants receiving benefits 2023-01-01 6
Number of other retired or separated participants entitled to future benefits 2023-01-01 104
Total of all active and inactive participants 2023-01-01 273
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 273
Number of participants with account balances 2023-01-01 271
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 1
2022: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 264
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 154
Number of retired or separated participants receiving benefits 2022-01-01 8
Number of other retired or separated participants entitled to future benefits 2022-01-01 105
Total of all active and inactive participants 2022-01-01 267
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 267
Number of participants with account balances 2022-01-01 263
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 5
2021: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 260
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 160
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 103
Total of all active and inactive participants 2021-01-01 263
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 1
Total participants 2021-01-01 264
Number of participants with account balances 2021-01-01 259
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 6
2020: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 265
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 163
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 96
Total of all active and inactive participants 2020-01-01 259
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 1
Total participants 2020-01-01 260
Number of participants with account balances 2020-01-01 256
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 3
2019: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 264
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 167
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 97
Total of all active and inactive participants 2019-01-01 264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 1
Total participants 2019-01-01 265
Number of participants with account balances 2019-01-01 262
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 1
2018: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 265
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 167
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 97
Total of all active and inactive participants 2018-01-01 264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 1
Total participants 2018-01-01 265
Number of participants with account balances 2018-01-01 261
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 7
2017: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 258
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 169
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 96
Total of all active and inactive participants 2017-01-01 265
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 265
Number of participants with account balances 2017-01-01 261
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 3
2016: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 260
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 164
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 94
Total of all active and inactive participants 2016-01-01 258
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 258
Number of participants with account balances 2016-01-01 255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 4
2015: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 250
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 169
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 87
Total of all active and inactive participants 2015-01-01 256
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 256
Number of participants with account balances 2015-01-01 252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 250
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 168
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 80
Total of all active and inactive participants 2014-01-01 248
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 248
Number of participants with account balances 2014-01-01 245
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 4
2013: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 238
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 160
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 83
Total of all active and inactive participants 2013-01-01 243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 243
Number of participants with account balances 2013-01-01 243
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 240
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 165
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 79
Total of all active and inactive participants 2012-01-01 244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 244
Number of participants with account balances 2012-01-01 239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 233
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 161
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 79
Total of all active and inactive participants 2011-01-01 240
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 240
Number of participants with account balances 2011-01-01 236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 11
2010: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 234
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 155
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 74
Total of all active and inactive participants 2010-01-01 229
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 229
Number of participants with account balances 2010-01-01 229
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 6
2009: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 254
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 160
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 75
Total of all active and inactive participants 2009-01-01 235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 235
Number of participants with account balances 2009-01-01 234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 9

Measure	Date	Value
2023: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	267
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	163
Number of retired or separated participants receiving benefits	2023-01-01	6
Number of other retired or separated participants entitled to future benefits	2023-01-01	104
Total of all active and inactive participants	2023-01-01	273
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	273
Number of participants with account balances	2023-01-01	271
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	1
2022: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	264
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	154
Number of retired or separated participants receiving benefits	2022-01-01	8
Number of other retired or separated participants entitled to future benefits	2022-01-01	105
Total of all active and inactive participants	2022-01-01	267
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	267
Number of participants with account balances	2022-01-01	263
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	5
2021: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	260
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	160
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	103
Total of all active and inactive participants	2021-01-01	263
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	1
Total participants	2021-01-01	264
Number of participants with account balances	2021-01-01	259
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	6
2020: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	265
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	163
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	96
Total of all active and inactive participants	2020-01-01	259
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	1
Total participants	2020-01-01	260
Number of participants with account balances	2020-01-01	256
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	3
2019: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	264
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	167
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	97
Total of all active and inactive participants	2019-01-01	264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	1
Total participants	2019-01-01	265
Number of participants with account balances	2019-01-01	262
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	1
2018: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	265
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	167
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	97
Total of all active and inactive participants	2018-01-01	264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	1
Total participants	2018-01-01	265
Number of participants with account balances	2018-01-01	261
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	7
2017: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	258
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	169
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	96
Total of all active and inactive participants	2017-01-01	265
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	265
Number of participants with account balances	2017-01-01	261
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	3
2016: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	260
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	164
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	94
Total of all active and inactive participants	2016-01-01	258
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	258
Number of participants with account balances	2016-01-01	255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	4
2015: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	250
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	169
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	87
Total of all active and inactive participants	2015-01-01	256
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	256
Number of participants with account balances	2015-01-01	252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	250
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	168
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	80
Total of all active and inactive participants	2014-01-01	248
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	248
Number of participants with account balances	2014-01-01	245
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	4
2013: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	238
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	160
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	83
Total of all active and inactive participants	2013-01-01	243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	243
Number of participants with account balances	2013-01-01	243
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	240
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	165
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	79
Total of all active and inactive participants	2012-01-01	244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	244
Number of participants with account balances	2012-01-01	239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	233
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	161
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	79
Total of all active and inactive participants	2011-01-01	240
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	240
Number of participants with account balances	2011-01-01	236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	11
2010: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	234
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	155
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	74
Total of all active and inactive participants	2010-01-01	229
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	229
Number of participants with account balances	2010-01-01	229
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	6
2009: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	254
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	160
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	75
Total of all active and inactive participants	2009-01-01	235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	235
Number of participants with account balances	2009-01-01	234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	9

Financial Data on INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN

Measure	Date	Value
2023 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets	2023-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total income from all sources (including contributions)	2023-12-31	$31,773,490
Total loss/gain on sale of assets	2023-12-31	$0
Total of all expenses incurred	2023-12-31	$8,101,393
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2023-12-31	$8,068,309
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2023-12-31	$6,452,023
Value of total assets at end of year	2023-12-31	$144,884,962
Value of total assets at beginning of year	2023-12-31	$121,212,865
Total of administrative expenses incurred including professional, contract, advisory and management fees	2023-12-31	$33,084
Total interest from all sources	2023-12-31	$16,776
Total dividends received (eg from common stock, registered investment company shares)	2023-12-31	$2,882,789
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2023-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2023-12-31	$2,882,789
Was this plan covered by a fidelity bond	2023-12-31	Yes
Value of fidelity bond cover	2023-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2023-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2023-12-31	No
Contributions received from participants	2023-12-31	$2,685,771
Participant contributions at end of year	2023-12-31	$261,435
Participant contributions at beginning of year	2023-12-31	$318,178
Income. Received or receivable in cash from other sources (including rollovers)	2023-12-31	$590,810
Value of other receiveables (less allowance for doubtful accounts) at end of year	2023-12-31	$16,041
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2023-12-31	$15,088
Other income not declared elsewhere	2023-12-31	$63,004
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-12-31	No
Value of net income/loss	2023-12-31	$23,672,097
Value of net assets at end of year (total assets less liabilities)	2023-12-31	$144,884,962
Value of net assets at beginning of year (total assets less liabilities)	2023-12-31	$121,212,865
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2023-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2023-12-31	No
Were any leases to which the plan was party in default or uncollectible	2023-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2023-12-31	$92,456,728
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2023-12-31	$77,988,160
Interest on participant loans	2023-12-31	$16,776
Value of interest in common/collective trusts at end of year	2023-12-31	$51,537,618
Value of interest in common/collective trusts at beginning of year	2023-12-31	$42,309,627
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2023-12-31	$15,818,753
Net investment gain or loss from common/collective trusts	2023-12-31	$6,540,145
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2023-12-31	No
Was there a failure to transmit to the plan any participant contributions	2023-12-31	No
Has the plan failed to provide any benefit when due under the plan	2023-12-31	No
Contributions received in cash from employer	2023-12-31	$3,175,442
Employer contributions (assets) at end of year	2023-12-31	$613,140
Employer contributions (assets) at beginning of year	2023-12-31	$581,812
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2023-12-31	$8,068,309
Did the plan have assets held for investment	2023-12-31	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	2023-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2023-12-31	No
Opinion of an independent qualified public accountant for this plan	2023-12-31	Unqualified
Accountancy firm name	2023-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2023-12-31	134008324
2022 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-27,402,386
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$4,687,368
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$4,652,386
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$7,052,807
Value of total assets at end of year	2022-12-31	$121,212,865
Value of total assets at beginning of year	2022-12-31	$153,302,619
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$34,982
Total interest from all sources	2022-12-31	$13,909
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$3,048,184
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$3,048,184
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$2,408,965
Participant contributions at end of year	2022-12-31	$318,178
Participant contributions at beginning of year	2022-12-31	$313,372
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$1,643,479
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$15,088
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-12-31	$42,139
Other income not declared elsewhere	2022-12-31	$111,032
Administrative expenses (other) incurred	2022-12-31	$34,982
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-32,089,754
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$121,212,865
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$153,302,619
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$77,988,160
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$144,775,909
Interest on participant loans	2022-12-31	$13,909
Value of interest in common/collective trusts at end of year	2022-12-31	$42,309,627
Value of interest in common/collective trusts at beginning of year	2022-12-31	$7,575,690
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-36,840,186
Net investment gain or loss from common/collective trusts	2022-12-31	$-788,132
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$3,000,363
Employer contributions (assets) at end of year	2022-12-31	$581,812
Employer contributions (assets) at beginning of year	2022-12-31	$595,509
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$4,652,386
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2022-12-31	134008324
2021 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$25,684,812
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$8,980,412
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$8,944,429
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$6,433,382
Value of total assets at end of year	2021-12-31	$153,302,619
Value of total assets at beginning of year	2021-12-31	$136,598,219
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$35,983
Total interest from all sources	2021-12-31	$17,157
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$11,458,213
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$11,458,213
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$2,435,766
Participant contributions at end of year	2021-12-31	$313,372
Participant contributions at beginning of year	2021-12-31	$283,349
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$749,798
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-12-31	$42,139
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-12-31	$34,184
Other income not declared elsewhere	2021-12-31	$159,891
Administrative expenses (other) incurred	2021-12-31	$35,983
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$16,704,400
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$153,302,619
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$136,598,219
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$144,775,909
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$128,764,334
Interest on participant loans	2021-12-31	$17,157
Value of interest in common/collective trusts at end of year	2021-12-31	$7,575,690
Value of interest in common/collective trusts at beginning of year	2021-12-31	$6,886,801
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$7,473,488
Net investment gain or loss from common/collective trusts	2021-12-31	$142,681
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$3,247,818
Employer contributions (assets) at end of year	2021-12-31	$595,509
Employer contributions (assets) at beginning of year	2021-12-31	$629,551
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$8,944,429
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Disclaimer
Accountancy firm name	2021-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2021-12-31	134008324
2020 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$40,254,649
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$6,677,277
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$6,641,524
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$14,815,750
Value of total assets at end of year	2020-12-31	$136,598,219
Value of total assets at beginning of year	2020-12-31	$103,020,847
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$35,753
Total interest from all sources	2020-12-31	$16,549
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$5,961,883
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$5,961,883
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$2,380,743
Participant contributions at end of year	2020-12-31	$283,349
Participant contributions at beginning of year	2020-12-31	$259,772
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$9,156,235
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$34,184
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$26,126
Other income not declared elsewhere	2020-12-31	$115,615
Administrative expenses (other) incurred	2020-12-31	$35,753
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$33,577,372
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$136,598,219
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$103,020,847
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$128,764,334
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$97,570,220
Interest on participant loans	2020-12-31	$16,549
Value of interest in common/collective trusts at end of year	2020-12-31	$6,886,801
Value of interest in common/collective trusts at beginning of year	2020-12-31	$4,546,089
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$19,196,944
Net investment gain or loss from common/collective trusts	2020-12-31	$147,908
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$3,278,772
Employer contributions (assets) at end of year	2020-12-31	$629,551
Employer contributions (assets) at beginning of year	2020-12-31	$618,640
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$6,641,524
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2020-12-31	134008324
2019 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
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	$27,693,818
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$6,599,275
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$6,548,336
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$6,492,252
Value of total assets at end of year	2019-12-31	$103,020,847
Value of total assets at beginning of year	2019-12-31	$81,926,304
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$50,939
Total interest from all sources	2019-12-31	$15,903
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$4,273,838
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	$4,273,838
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	$2,254,521
Participant contributions at end of year	2019-12-31	$259,772
Participant contributions at beginning of year	2019-12-31	$358,527
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$1,071,433
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$26,126
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$29,881
Other income not declared elsewhere	2019-12-31	$113,124
Administrative expenses (other) incurred	2019-12-31	$50,939
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	$21,094,543
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$103,020,847
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$81,926,304
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$97,570,220
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$76,397,306
Interest on participant loans	2019-12-31	$15,903
Value of interest in common/collective trusts at end of year	2019-12-31	$4,546,089
Value of interest in common/collective trusts at beginning of year	2019-12-31	$4,526,293
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$16,691,874
Net investment gain or loss from common/collective trusts	2019-12-31	$106,827
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	No
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	$3,166,298
Employer contributions (assets) at end of year	2019-12-31	$618,640
Employer contributions (assets) at beginning of year	2019-12-31	$614,297
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$6,548,336
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	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2019-12-31	134008324
2018 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
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	$2,214,538
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,328,459
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,268,494
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$5,184,702
Value of total assets at end of year	2018-12-31	$81,926,304
Value of total assets at beginning of year	2018-12-31	$81,040,225
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$59,965
Total interest from all sources	2018-12-31	$12,102
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$4,797,279
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	$4,797,279
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	No
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	$2,140,735
Participant contributions at end of year	2018-12-31	$358,527
Participant contributions at beginning of year	2018-12-31	$251,313
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$44,324
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$29,881
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$27,723
Other income not declared elsewhere	2018-12-31	$120,585
Administrative expenses (other) incurred	2018-12-31	$59,965
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	$886,079
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$81,926,304
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$81,040,225
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$76,397,306
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$76,388,114
Interest on participant loans	2018-12-31	$12,102
Value of interest in common/collective trusts at end of year	2018-12-31	$4,526,293
Value of interest in common/collective trusts at beginning of year	2018-12-31	$3,701,530
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-7,990,940
Net investment gain or loss from common/collective trusts	2018-12-31	$90,810
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	$2,999,643
Employer contributions (assets) at end of year	2018-12-31	$614,297
Employer contributions (assets) at beginning of year	2018-12-31	$671,545
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,268,494
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	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2018-12-31	134008324
2017 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$19,876,270
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,309,104
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,268,706
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$5,322,506
Value of total assets at end of year	2017-12-31	$81,040,225
Value of total assets at beginning of year	2017-12-31	$63,473,059
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$40,398
Total interest from all sources	2017-12-31	$12,098
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$3,259,381
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$3,259,381
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$2,063,783
Participant contributions at end of year	2017-12-31	$251,313
Participant contributions at beginning of year	2017-12-31	$289,644
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$208,248
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$27,723
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$11,327
Other income not declared elsewhere	2017-12-31	$89,454
Administrative expenses (other) incurred	2017-12-31	$40,398
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$17,567,166
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$81,040,225
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$63,473,059
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$76,388,114
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$59,443,394
Interest on participant loans	2017-12-31	$12,098
Value of interest in common/collective trusts at end of year	2017-12-31	$3,701,530
Value of interest in common/collective trusts at beginning of year	2017-12-31	$3,054,169
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$11,122,682
Net investment gain or loss from common/collective trusts	2017-12-31	$70,149
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$3,050,475
Employer contributions (assets) at end of year	2017-12-31	$671,545
Employer contributions (assets) at beginning of year	2017-12-31	$674,525
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,268,706
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2017-12-31	134008324
2016 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$3,133
Total income from all sources (including contributions)	2016-12-31	$9,381,019
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$3,211,502
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$3,210,562
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$5,130,590
Value of total assets at end of year	2016-12-31	$63,473,059
Value of total assets at beginning of year	2016-12-31	$57,306,675
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$940
Total interest from all sources	2016-12-31	$7,416
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,999,360
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,999,360
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$2,021,082
Participant contributions at end of year	2016-12-31	$289,644
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$115,240
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$11,327
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$10,916
Administrative expenses (other) incurred	2016-12-31	$940
Liabilities. Value of operating payables at end of year	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$3,133
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$6,169,517
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$63,473,059
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$57,303,542
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$59,443,394
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$54,619,535
Interest on participant loans	2016-12-31	$7,416
Value of interest in common/collective trusts at end of year	2016-12-31	$3,054,169
Value of interest in common/collective trusts at beginning of year	2016-12-31	$1,956,777
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$2,200,796
Net investment gain or loss from common/collective trusts	2016-12-31	$42,857
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$2,994,268
Employer contributions (assets) at end of year	2016-12-31	$674,525
Employer contributions (assets) at beginning of year	2016-12-31	$719,447
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$3,210,562
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2016-12-31	134008324
2015 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$3,133
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$3,711
Total income from all sources (including contributions)	2015-12-31	$6,250,127
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,959,412
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,959,412
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$5,146,591
Value of total assets at end of year	2015-12-31	$57,306,675
Value of total assets at beginning of year	2015-12-31	$53,016,538
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$2,721,357
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$2,721,357
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$3,000,000
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
Contributions received from participants	2015-12-31	$2,044,583
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$24,960
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$10,916
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Liabilities. Value of operating payables at end of year	2015-12-31	$3,133
Liabilities. Value of operating payables at beginning of year	2015-12-31	$3,711
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	$4,290,715
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$57,303,542
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$53,012,827
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	$54,619,535
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$49,903,240
Value of interest in common/collective trusts at end of year	2015-12-31	$1,956,777
Value of interest in common/collective trusts at beginning of year	2015-12-31	$2,353,603
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,625,267
Net investment gain or loss from common/collective trusts	2015-12-31	$7,446
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
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
Contributions received in cash from employer	2015-12-31	$3,077,048
Employer contributions (assets) at end of year	2015-12-31	$719,447
Employer contributions (assets) at beginning of year	2015-12-31	$759,695
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,959,412
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2015-12-31	134008324
2014 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$3,711
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$3,100
Total income from all sources (including contributions)	2014-12-31	$8,295,588
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$870,748
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$870,732
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$5,285,783
Value of total assets at end of year	2014-12-31	$53,016,538
Value of total assets at beginning of year	2014-12-31	$45,591,087
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$16
Total interest from all sources	2014-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,592,871
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	$2,592,871
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$3,000,000
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	$1,948,667
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$245,467
Administrative expenses (other) incurred	2014-12-31	$16
Liabilities. Value of operating payables at end of year	2014-12-31	$3,711
Liabilities. Value of operating payables at beginning of year	2014-12-31	$3,100
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	$7,424,840
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$53,012,827
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$45,587,987
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$49,903,240
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$43,603,271
Value of interest in common/collective trusts at end of year	2014-12-31	$2,353,603
Value of interest in common/collective trusts at beginning of year	2014-12-31	$1,929,839
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$365,817
Net investment gain or loss from common/collective trusts	2014-12-31	$51,117
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	$3,091,649
Employer contributions (assets) at end of year	2014-12-31	$759,695
Employer contributions (assets) at beginning of year	2014-12-31	$57,977
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$870,732
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	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2014-12-31	134008324
2013 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$3,100
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$6,414
Total income from all sources (including contributions)	2013-12-31	$12,279,368
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,337,804
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,337,804
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,822,003
Value of total assets at end of year	2013-12-31	$45,591,087
Value of total assets at beginning of year	2013-12-31	$34,652,837
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$1,350,292
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	$1,350,292
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$3,000,000
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	$1,908,515
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$6,420
Liabilities. Value of operating payables at end of year	2013-12-31	$3,100
Liabilities. Value of operating payables at beginning of year	2013-12-31	$6,414
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	$10,941,564
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$45,587,987
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$34,646,423
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	$43,603,271
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$32,173,468
Value of interest in common/collective trusts at end of year	2013-12-31	$1,929,839
Value of interest in common/collective trusts at beginning of year	2013-12-31	$2,421,641
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$8,138,782
Net investment gain or loss from common/collective trusts	2013-12-31	$-31,709
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	$907,068
Employer contributions (assets) at end of year	2013-12-31	$57,977
Employer contributions (assets) at beginning of year	2013-12-31	$57,728
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,337,804
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	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2013-12-31	134008324
2012 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$6,414
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$6,270
Total income from all sources (including contributions)	2012-12-31	$7,466,598
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,943,314
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,942,916
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,867,413
Value of total assets at end of year	2012-12-31	$34,652,837
Value of total assets at beginning of year	2012-12-31	$29,129,409
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$398
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$1,086,008
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$1,086,008
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,807,763
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$196,752
Administrative expenses (other) incurred	2012-12-31	$398
Liabilities. Value of operating payables at end of year	2012-12-31	$6,414
Liabilities. Value of operating payables at beginning of year	2012-12-31	$6,270
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$5,523,284
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$34,646,423
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$29,123,139
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$32,173,468
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$27,755,725
Value of interest in common/collective trusts at end of year	2012-12-31	$2,421,641
Value of interest in common/collective trusts at beginning of year	2012-12-31	$1,331,100
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,427,957
Net investment gain or loss from common/collective trusts	2012-12-31	$85,220
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$862,898
Employer contributions (assets) at end of year	2012-12-31	$57,728
Employer contributions (assets) at beginning of year	2012-12-31	$42,584
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,942,916
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2012-12-31	134008324
2011 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$6,270
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$5,474
Total income from all sources (including contributions)	2011-12-31	$2,321,374
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$897,353
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$897,353
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,542,856
Value of total assets at end of year	2011-12-31	$29,129,409
Value of total assets at beginning of year	2011-12-31	$27,704,592
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,003,396
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$1,003,396
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,720,571
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$5,273
Liabilities. Value of operating payables at end of year	2011-12-31	$6,270
Liabilities. Value of operating payables at beginning of year	2011-12-31	$5,474
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$1,424,021
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$29,123,139
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$27,699,118
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$27,755,725
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$26,514,893
Value of interest in common/collective trusts at end of year	2011-12-31	$1,331,100
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,153,363
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,265,116
Net investment gain or loss from common/collective trusts	2011-12-31	$40,238
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$817,012
Employer contributions (assets) at end of year	2011-12-31	$42,584
Employer contributions (assets) at beginning of year	2011-12-31	$36,336
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$897,353
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2011-12-31	134008324
2010 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$5,474
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$5,859
Total income from all sources (including contributions)	2010-12-31	$6,135,110
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$873,508
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$873,508
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,435,788
Value of total assets at end of year	2010-12-31	$27,704,592
Value of total assets at beginning of year	2010-12-31	$22,443,375
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$617,144
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$617,144
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,612,740
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$123
Liabilities. Value of operating payables at end of year	2010-12-31	$5,474
Liabilities. Value of operating payables at beginning of year	2010-12-31	$5,859
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$5,261,602
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$27,699,118
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$22,437,516
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$26,514,893
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$20,847,911
Value of interest in common/collective trusts at end of year	2010-12-31	$1,153,363
Value of interest in common/collective trusts at beginning of year	2010-12-31	$1,520,081
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,030,879
Net investment gain or loss from common/collective trusts	2010-12-31	$51,299
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$822,925
Employer contributions (assets) at end of year	2010-12-31	$36,336
Employer contributions (assets) at beginning of year	2010-12-31	$75,383
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$873,508
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2010-12-31	134008324
2009 : INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN

2023: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	Yes
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 – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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 – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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 – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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 – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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 – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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 – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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	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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: INVESTMENT COMPANY INSTITUTE SECTION 401(K) 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: INVESTMENT COMPANY INSTITUTE SECTION 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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INVESTMENT COMPANY OF AMERICA AND SELF RETIREMENT PLANS [EIN = 381803178]

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Company Name:	INVESTMENT COMPANY INSTITUTE
Employer identification number (EIN):	135266605
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	825796