401k Plan data: TEKLA RESEARCH, INC. 401(K) PLAN plan

TEKLA RESEARCH, INC. 401(K) PLAN 401k Plan overview

Plan Name	TEKLA RESEARCH, INC. 401(K) PLAN
Plan identification number	001

TEKLA RESEARCH, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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.
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

TEKLA RESEARCH, INC. has sponsored the creation of one or more 401k plans.

Company Name: TEKLA RESEARCH, INC.

Employer identification number (EIN): 541773706

NAIC Classification: 541330
NAIC Description: Engineering Services

Additional information about TEKLA RESEARCH, INC.

Jurisdiction of Incorporation: Virginia Secretary of State

Incorporation Date: 1995-09-26

Company Identification Number: 0453629

Legal Registered Office Address: 3700 FETTLER PARK DRIVE
SUITE 304
DUMFRIES
United States of America (USA)
22025

More information about TEKLA RESEARCH, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TEKLA RESEARCH, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2018-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01 DAVID RUSSELL
001 2015-01-01 DAVID RUSSELL
001 2014-01-01 DAVID RUSSELL
001 2013-01-01 DAVID RUSSELL
001 2012-01-01 DAVID RUSSELL
001 2011-01-01 DAVID RUSSELL
001 2010-01-01 DAVID RUSSELL
001 2009-01-01 DAVID RUSSELL

Plan Statistics for TEKLA RESEARCH, INC. 401(K) PLAN

401k plan membership statisitcs for TEKLA RESEARCH, INC. 401(K) PLAN

Measure Date Value
2022: TEKLA RESEARCH, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 316
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 253
Number of other retired or separated participants entitled to future benefits 2022-01-01 101
Total of all active and inactive participants 2022-01-01 354
Total participants 2022-01-01 354
Number of participants with account balances 2022-01-01 350
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 17
2021: TEKLA RESEARCH, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 270
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 231
Number of other retired or separated participants entitled to future benefits 2021-01-01 91
Total of all active and inactive participants 2021-01-01 322
Total participants 2021-01-01 322
Number of participants with account balances 2021-01-01 316
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 17
2020: TEKLA RESEARCH, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 175
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 206
Number of other retired or separated participants entitled to future benefits 2020-01-01 70
Total of all active and inactive participants 2020-01-01 276
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 1
Total participants 2020-01-01 277
Number of participants with account balances 2020-01-01 270
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 10
2019: TEKLA RESEARCH, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 162
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 126
Number of other retired or separated participants entitled to future benefits 2019-01-01 53
Total of all active and inactive participants 2019-01-01 179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 1
Total participants 2019-01-01 180
Number of participants with account balances 2019-01-01 175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 13
2018: TEKLA RESEARCH, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 132
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 127
Number of other retired or separated participants entitled to future benefits 2018-01-01 42
Total of all active and inactive participants 2018-01-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 1
Total participants 2018-01-01 170
Number of participants with account balances 2018-01-01 165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 13
2017: TEKLA RESEARCH, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 104
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 107
Number of other retired or separated participants entitled to future benefits 2017-01-01 28
Total of all active and inactive participants 2017-01-01 135
Total participants 2017-01-01 135
Number of participants with account balances 2017-01-01 129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 9
2016: TEKLA RESEARCH, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 98
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 82
Number of other retired or separated participants entitled to future benefits 2016-01-01 25
Total of all active and inactive participants 2016-01-01 107
Total participants 2016-01-01 107
Number of participants with account balances 2016-01-01 104
2015: TEKLA RESEARCH, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 76
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 78
Number of other retired or separated participants entitled to future benefits 2015-01-01 20
Total of all active and inactive participants 2015-01-01 98
Total participants 2015-01-01 98
Number of participants with account balances 2015-01-01 98
2014: TEKLA RESEARCH, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 63
Number of other retired or separated participants entitled to future benefits 2014-01-01 13
Total of all active and inactive participants 2014-01-01 76
Total participants 2014-01-01 76
Number of participants with account balances 2014-01-01 76
2013: TEKLA RESEARCH, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 55
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 48
Number of other retired or separated participants entitled to future benefits 2013-01-01 14
Total of all active and inactive participants 2013-01-01 62
Total participants 2013-01-01 62
Number of participants with account balances 2013-01-01 62
2012: TEKLA RESEARCH, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 57
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 46
Number of other retired or separated participants entitled to future benefits 2012-01-01 9
Total of all active and inactive participants 2012-01-01 55
Total participants 2012-01-01 55
Number of participants with account balances 2012-01-01 55
2011: TEKLA RESEARCH, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 50
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 44
Number of other retired or separated participants entitled to future benefits 2011-01-01 13
Total of all active and inactive participants 2011-01-01 57
Total participants 2011-01-01 57
Number of participants with account balances 2011-01-01 57
2010: TEKLA RESEARCH, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 43
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 42
Number of other retired or separated participants entitled to future benefits 2010-01-01 8
Total of all active and inactive participants 2010-01-01 50
Total participants 2010-01-01 50
Number of participants with account balances 2010-01-01 50
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: TEKLA RESEARCH, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 34
Number of other retired or separated participants entitled to future benefits 2009-01-01 16
Total of all active and inactive participants 2009-01-01 50
Total participants 2009-01-01 50
Number of participants with account balances 2009-01-01 48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 3

Measure	Date	Value
2022: TEKLA RESEARCH, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	316
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	253
Number of other retired or separated participants entitled to future benefits	2022-01-01	101
Total of all active and inactive participants	2022-01-01	354
Total participants	2022-01-01	354
Number of participants with account balances	2022-01-01	350
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	17
2021: TEKLA RESEARCH, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	270
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	231
Number of other retired or separated participants entitled to future benefits	2021-01-01	91
Total of all active and inactive participants	2021-01-01	322
Total participants	2021-01-01	322
Number of participants with account balances	2021-01-01	316
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	17
2020: TEKLA RESEARCH, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	175
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	206
Number of other retired or separated participants entitled to future benefits	2020-01-01	70
Total of all active and inactive participants	2020-01-01	276
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	1
Total participants	2020-01-01	277
Number of participants with account balances	2020-01-01	270
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	10
2019: TEKLA RESEARCH, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	162
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	126
Number of other retired or separated participants entitled to future benefits	2019-01-01	53
Total of all active and inactive participants	2019-01-01	179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	1
Total participants	2019-01-01	180
Number of participants with account balances	2019-01-01	175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	13
2018: TEKLA RESEARCH, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	132
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	127
Number of other retired or separated participants entitled to future benefits	2018-01-01	42
Total of all active and inactive participants	2018-01-01	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	1
Total participants	2018-01-01	170
Number of participants with account balances	2018-01-01	165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	13
2017: TEKLA RESEARCH, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	104
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	107
Number of other retired or separated participants entitled to future benefits	2017-01-01	28
Total of all active and inactive participants	2017-01-01	135
Total participants	2017-01-01	135
Number of participants with account balances	2017-01-01	129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	9
2016: TEKLA RESEARCH, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	98
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	82
Number of other retired or separated participants entitled to future benefits	2016-01-01	25
Total of all active and inactive participants	2016-01-01	107
Total participants	2016-01-01	107
Number of participants with account balances	2016-01-01	104
2015: TEKLA RESEARCH, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	76
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	78
Number of other retired or separated participants entitled to future benefits	2015-01-01	20
Total of all active and inactive participants	2015-01-01	98
Total participants	2015-01-01	98
Number of participants with account balances	2015-01-01	98
2014: TEKLA RESEARCH, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	63
Number of other retired or separated participants entitled to future benefits	2014-01-01	13
Total of all active and inactive participants	2014-01-01	76
Total participants	2014-01-01	76
Number of participants with account balances	2014-01-01	76
2013: TEKLA RESEARCH, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	55
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	48
Number of other retired or separated participants entitled to future benefits	2013-01-01	14
Total of all active and inactive participants	2013-01-01	62
Total participants	2013-01-01	62
Number of participants with account balances	2013-01-01	62
2012: TEKLA RESEARCH, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	57
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	46
Number of other retired or separated participants entitled to future benefits	2012-01-01	9
Total of all active and inactive participants	2012-01-01	55
Total participants	2012-01-01	55
Number of participants with account balances	2012-01-01	55
2011: TEKLA RESEARCH, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	50
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	44
Number of other retired or separated participants entitled to future benefits	2011-01-01	13
Total of all active and inactive participants	2011-01-01	57
Total participants	2011-01-01	57
Number of participants with account balances	2011-01-01	57
2010: TEKLA RESEARCH, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	43
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	42
Number of other retired or separated participants entitled to future benefits	2010-01-01	8
Total of all active and inactive participants	2010-01-01	50
Total participants	2010-01-01	50
Number of participants with account balances	2010-01-01	50
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: TEKLA RESEARCH, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	34
Number of other retired or separated participants entitled to future benefits	2009-01-01	16
Total of all active and inactive participants	2009-01-01	50
Total participants	2009-01-01	50
Number of participants with account balances	2009-01-01	48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	3

Financial Data on TEKLA RESEARCH, INC. 401(K) PLAN

Measure	Date	Value
2022 : TEKLA RESEARCH, INC. 401(K) PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$447,086
Total of all expenses incurred	2022-12-31	$863,349
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$777,202
Value of total corrective distributions	2022-12-31	$2,381
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$4,038,847
Value of total assets at end of year	2022-12-31	$20,045,099
Value of total assets at beginning of year	2022-12-31	$20,461,362
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$83,766
Total interest from all sources	2022-12-31	$19,325
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$611,901
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	$611,901
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
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	$2,036,127
Participant contributions at end of year	2022-12-31	$449,085
Participant contributions at beginning of year	2022-12-31	$364,585
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$470,857
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	$-416,263
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$20,045,099
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$20,461,362
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
Investment advisory and management fees	2022-12-31	$83,766
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$18,877,703
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$19,925,893
Interest on participant loans	2022-12-31	$19,325
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$718,311
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$170,884
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-4,222,987
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	Yes
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	$1,531,863
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$777,202
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2022-12-31	No
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	BDO USA, PC
Accountancy firm EIN	2022-12-31	135381590
2021 : TEKLA RESEARCH, INC. 401(K) PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$6,463,401
Total of all expenses incurred	2021-12-31	$1,694,880
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,630,993
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$4,112,552
Value of total assets at end of year	2021-12-31	$20,461,362
Value of total assets at beginning of year	2021-12-31	$15,692,841
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$63,887
Total interest from all sources	2021-12-31	$16,493
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$445,981
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	$445,981
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Funding deficiency by the employer to the plan for this plan year	2021-12-31	$0
Minimum employer required contribution for this plan year	2021-12-31	$0
Amount contributed by the employer to the plan for this plan year	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	$1,818,766
Participant contributions at end of year	2021-12-31	$364,585
Participant contributions at beginning of year	2021-12-31	$254,170
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$948,850
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	$4,768,521
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$20,461,362
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$15,692,841
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
Investment advisory and management fees	2021-12-31	$63,887
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$19,925,893
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$15,211,200
Interest on participant loans	2021-12-31	$13,752
Interest earned on other investments	2021-12-31	$2,741
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$170,884
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$227,471
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$1,888,375
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	Yes
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	$1,344,936
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,630,993
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2021-12-31	No
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	Unqualified
Accountancy firm name	2021-12-31	BDO USA, LLP
Accountancy firm EIN	2021-12-31	135381590
2020 : TEKLA RESEARCH, INC. 401(K) PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$5,003,269
Total of all expenses incurred	2020-12-31	$873,097
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$793,840
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$2,987,469
Value of total assets at end of year	2020-12-31	$15,692,841
Value of total assets at beginning of year	2020-12-31	$11,562,669
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$79,257
Total interest from all sources	2020-12-31	$14,015
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$428,407
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	$428,407
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$300,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Funding deficiency by the employer to the plan for this plan year	2020-12-31	$0
Minimum employer required contribution for this plan year	2020-12-31	$0
Amount contributed by the employer to the plan for this plan year	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	$1,342,508
Participant contributions at end of year	2020-12-31	$254,170
Participant contributions at beginning of year	2020-12-31	$146,252
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$611,655
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	$4,130,172
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$15,692,841
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$11,562,669
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
Investment advisory and management fees	2020-12-31	$79,257
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$15,211,200
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$11,155,554
Interest on participant loans	2020-12-31	$9,063
Interest earned on other investments	2020-12-31	$4,952
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$227,471
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$260,863
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$1,573,378
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	$1,033,306
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$793,840
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-12-31	No
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	Unqualified
Accountancy firm name	2020-12-31	BDO USA, LLP
Accountancy firm EIN	2020-12-31	135381590
2019 : TEKLA RESEARCH, INC. 401(K) PLAN 2019 401k financial data
Total income from all sources (including contributions)	2019-12-31	$3,576,749
Total of all expenses incurred	2019-12-31	$1,133,382
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$1,055,001
Expenses. Certain deemed distributions of participant loans	2019-12-31	$4,205
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,584,694
Value of total assets at end of year	2019-12-31	$11,562,669
Value of total assets at beginning of year	2019-12-31	$9,119,302
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$74,176
Total interest from all sources	2019-12-31	$20,064
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$271,820
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	$271,820
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$300,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Funding deficiency by the employer to the plan for this plan year	2019-12-31	$0
Minimum employer required contribution for this plan year	2019-12-31	$0
Amount contributed by the employer to the plan for this plan year	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	$1,065,432
Participant contributions at end of year	2019-12-31	$146,252
Participant contributions at beginning of year	2019-12-31	$199,779
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$19,714
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	$2,443,367
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$11,562,669
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$9,119,302
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$74,176
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$11,155,554
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$8,598,318
Interest on participant loans	2019-12-31	$8,976
Interest earned on other investments	2019-12-31	$11,088
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$260,863
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$190,009
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,700,171
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
Assets. Invements in employer securities at beginning of year	2019-12-31	$131,016
Contributions received in cash from employer	2019-12-31	$499,548
Employer contributions (assets) at beginning of year	2019-12-31	$180
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$1,055,001
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	No
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	BDO USA, LLP
Accountancy firm EIN	2019-12-31	135381590
2018 : TEKLA RESEARCH, INC. 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$80,049
Total unrealized appreciation/depreciation of assets	2018-12-31	$80,049
Total income from all sources (including contributions)	2018-12-31	$1,319,734
Total of all expenses incurred	2018-12-31	$828,351
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$767,140
Value of total corrective distributions	2018-12-31	$500
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,752,978
Value of total assets at end of year	2018-12-31	$9,119,302
Value of total assets at beginning of year	2018-12-31	$8,627,919
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$60,711
Total interest from all sources	2018-12-31	$16,952
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$258,660
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	$258,660
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$300,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Funding deficiency by the employer to the plan for this plan year	2018-12-31	$0
Minimum employer required contribution for this plan year	2018-12-31	$0
Amount contributed by the employer to the plan for this plan year	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	$914,373
Participant contributions at end of year	2018-12-31	$199,779
Participant contributions at beginning of year	2018-12-31	$219,885
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$278,207
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	$491,383
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$9,119,302
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$8,627,919
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$60,711
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$8,598,318
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$8,026,822
Interest on participant loans	2018-12-31	$10,056
Interest earned on other investments	2018-12-31	$6,896
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$190,009
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$330,245
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-788,905
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
Assets. Invements in employer securities at end of year	2018-12-31	$131,016
Assets. Invements in employer securities at beginning of year	2018-12-31	$50,967
Contributions received in cash from employer	2018-12-31	$560,398
Employer contributions (assets) at end of year	2018-12-31	$180
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$767,140
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	No
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	BDO USA, LLP
Accountancy firm EIN	2018-12-31	135381590
2017 : TEKLA RESEARCH, INC. 401(K) PLAN 2017 401k financial data
Funding deficiency by the employer to the plan for this plan year	2017-12-31	$0
Minimum employer required contribution for this plan year	2017-12-31	$0
Amount contributed by the employer to the plan for this plan year	2017-12-31	$0
2016 : TEKLA RESEARCH, INC. 401(K) PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$291,245
Total income from all sources	2016-12-31	$1,889,223
Expenses. Total of all expenses incurred	2016-12-31	$599,093
Benefits paid (including direct rollovers)	2016-12-31	$575,744
Total plan assets at end of year	2016-12-31	$7,142,837
Total plan assets at beginning of year	2016-12-31	$5,561,462
Value of fidelity bond covering the plan	2016-12-31	$300,000
Total contributions received or receivable from participants	2016-12-31	$653,416
Other income received	2016-12-31	$852,051
Net income (gross income less expenses)	2016-12-31	$1,290,130
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$7,142,837
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$5,561,462
Assets. Value of participant loans	2016-12-31	$135,832
Assets. Value of employer securities	2016-12-31	$50,967
Total contributions received or receivable from employer(s)	2016-12-31	$383,756
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$23,349
Funding deficiency by the employer to the plan for this plan year	2016-12-31	$0
Minimum employer required contribution for this plan year	2016-12-31	$0
Amount contributed by the employer to the plan for this plan year	2016-12-31	$0
2015 : TEKLA RESEARCH, INC. 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$13,112
Total income from all sources	2015-12-31	$708,787
Expenses. Total of all expenses incurred	2015-12-31	$366,035
Benefits paid (including direct rollovers)	2015-12-31	$345,046
Total plan assets at end of year	2015-12-31	$5,561,462
Total plan assets at beginning of year	2015-12-31	$5,205,598
Value of fidelity bond covering the plan	2015-12-31	$300,000
Total contributions received or receivable from participants	2015-12-31	$552,585
Other income received	2015-12-31	$-149,355
Net income (gross income less expenses)	2015-12-31	$342,752
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$5,561,462
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$5,205,598
Assets. Value of participant loans	2015-12-31	$99,097
Assets. Value of employer securities	2015-12-31	$64,275
Total contributions received or receivable from employer(s)	2015-12-31	$305,557
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$20,989
Funding deficiency by the employer to the plan for this plan year	2015-12-31	$0
Minimum employer required contribution for this plan year	2015-12-31	$0
Amount contributed by the employer to the plan for this plan year	2015-12-31	$0
2014 : TEKLA RESEARCH, INC. 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$21,297
Total income from all sources	2014-12-31	$888,862
Expenses. Total of all expenses incurred	2014-12-31	$435,361
Benefits paid (including direct rollovers)	2014-12-31	$414,937
Total plan assets at end of year	2014-12-31	$5,205,598
Total plan assets at beginning of year	2014-12-31	$4,730,800
Value of fidelity bond covering the plan	2014-12-31	$300,000
Total contributions received or receivable from participants	2014-12-31	$495,590
Other income received	2014-12-31	$119,449
Net income (gross income less expenses)	2014-12-31	$453,501
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$5,205,598
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$4,730,800
Assets. Value of participant loans	2014-12-31	$92,151
Assets. Value of employer securities	2014-12-31	$71,292
Total contributions received or receivable from employer(s)	2014-12-31	$273,823
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$20,424
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2013 : TEKLA RESEARCH, INC. 401(K) PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$1,477,734
Expenses. Total of all expenses incurred	2013-12-31	$940,135
Benefits paid (including direct rollovers)	2013-12-31	$923,400
Total plan assets at end of year	2013-12-31	$4,730,800
Total plan assets at beginning of year	2013-12-31	$4,193,201
Value of fidelity bond covering the plan	2013-12-31	$300,000
Total contributions received or receivable from participants	2013-12-31	$429,677
Other income received	2013-12-31	$634,246
Net income (gross income less expenses)	2013-12-31	$537,599
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$4,730,800
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$4,193,201
Assets. Value of participant loans	2013-12-31	$91,941
Assets. Value of employer securities	2013-12-31	$63,306
Total contributions received or receivable from employer(s)	2013-12-31	$413,811
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$16,735
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
2012 : TEKLA RESEARCH, INC. 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,311,772
Expenses. Total of all expenses incurred	2012-12-31	$342,166
Benefits paid (including direct rollovers)	2012-12-31	$342,166
Total plan assets at end of year	2012-12-31	$4,193,201
Total plan assets at beginning of year	2012-12-31	$3,223,595
Value of fidelity bond covering the plan	2012-12-31	$300,000
Total contributions received or receivable from participants	2012-12-31	$350,516
Other income received	2012-12-31	$529,956
Net income (gross income less expenses)	2012-12-31	$969,606
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$4,193,201
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$3,223,595
Assets. Value of participant loans	2012-12-31	$89,248
Assets. Value of employer securities	2012-12-31	$63,306
Total contributions received or receivable from employer(s)	2012-12-31	$431,300
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2011 : TEKLA RESEARCH, INC. 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$528,685
Expenses. Total of all expenses incurred	2011-12-31	$370,103
Benefits paid (including direct rollovers)	2011-12-31	$369,544
Total plan assets at end of year	2011-12-31	$3,223,595
Total plan assets at beginning of year	2011-12-31	$3,065,013
Value of fidelity bond covering the plan	2011-12-31	$300,000
Total contributions received or receivable from participants	2011-12-31	$324,545
Contributions received from other sources (not participants or employers)	2011-12-31	$3,031
Other income received	2011-12-31	$-134,786
Net income (gross income less expenses)	2011-12-31	$158,582
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,223,595
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,065,013
Total contributions received or receivable from employer(s)	2011-12-31	$335,895
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$559
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : TEKLA RESEARCH, INC. 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$868,720
Expenses. Total of all expenses incurred	2010-12-31	$288,055
Benefits paid (including direct rollovers)	2010-12-31	$286,033
Total plan assets at end of year	2010-12-31	$3,065,013
Total plan assets at beginning of year	2010-12-31	$2,484,348
Value of fidelity bond covering the plan	2010-12-31	$300,000
Total contributions received or receivable from participants	2010-12-31	$255,905
Contributions received from other sources (not participants or employers)	2010-12-31	$26,958
Other income received	2010-12-31	$320,417
Net income (gross income less expenses)	2010-12-31	$580,665
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,065,013
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,484,348
Assets. Value of participant loans	2010-12-31	$44,519
Assets. Value of employer securities	2010-12-31	$72,701
Total contributions received or receivable from employer(s)	2010-12-31	$265,440
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$2,022
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2009 : TEKLA RESEARCH, INC. 401(K) PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for TEKLA RESEARCH, INC. 401(K) PLAN

2022: TEKLA RESEARCH, INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: TEKLA RESEARCH, INC. 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: TEKLA RESEARCH, INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: TEKLA RESEARCH, INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: TEKLA RESEARCH, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	Yes
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: TEKLA RESEARCH, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: TEKLA RESEARCH, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: TEKLA RESEARCH, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: TEKLA RESEARCH, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: TEKLA RESEARCH, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: TEKLA RESEARCH, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: TEKLA RESEARCH, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: TEKLA RESEARCH, INC. 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: TEKLA RESEARCH, INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

894472+087

Policy instance

Insurance contract or identification number	894472+087
Number of Individuals Covered	354
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,608
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1608
Insurance broker organization code?	4

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

894472+087

Policy instance

Insurance contract or identification number	894472+087
Number of Individuals Covered	323
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $369
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	369
Insurance broker organization code?	4

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

894472+087

Policy instance

Insurance contract or identification number	894472+087
Number of Individuals Covered	270
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

894472+087

Policy instance

Insurance contract or identification number	894472+087
Number of Individuals Covered	175
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,511
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1511
Insurance broker organization code?	4

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

894472+087

Policy instance

Insurance contract or identification number	894472+087
Number of Individuals Covered	165
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $934
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	934
Insurance broker organization code?	4

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

894472+087

Policy instance

Insurance contract or identification number	894472+087
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $766
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP 19730

Policy instance

Insurance contract or identification number	GP 19730
Number of Individuals Covered	98
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $12,664
Total amount of fees paid to insurance company	USD $30
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $12,664
Amount paid for insurance broker fees	30
Insurance broker organization code?	4
Insurance broker name	LPL FINANCIAL CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP 19730

Policy instance

Insurance contract or identification number	GP 19730
Number of Individuals Covered	76
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $9,386
Total amount of fees paid to insurance company	USD $36
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,386
Amount paid for insurance broker fees	36
Insurance broker organization code?	4
Insurance broker name	LPL FINANCIAL CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP 19730

Policy instance

Insurance contract or identification number	GP 19730
Number of Individuals Covered	62
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $8,707
Total amount of fees paid to insurance company	USD $25
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $8,707
Amount paid for insurance broker fees	25
Insurance broker organization code?	4
Insurance broker name	LPL FINANCIAL CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP 19730

Policy instance

Insurance contract or identification number	GP 19730
Number of Individuals Covered	55
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $38,022
Total amount of fees paid to insurance company	USD $6,000
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $38,022
Insurance broker organization code?	3
Amount paid for insurance broker fees	6000
Additional information about fees paid to insurance broker	TPA FEE
Insurance broker name	FITZWATER AND DEAN, PLC

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-710397

Policy instance

Insurance contract or identification number	GA-710397
Number of Individuals Covered	57
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $9,400
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-710397

Policy instance

Insurance contract or identification number	GA-710397
Number of Individuals Covered	50
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $7,428
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,428
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

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Company Name:	TEKLA RESEARCH, INC.
Employer identification number (EIN):	541773706
NAIC Classification:	541330
NAIC Description:	Engineering Services

Jurisdiction of Incorporation:	Virginia Secretary of State
Incorporation Date:	1995-09-26
Company Identification Number:	0453629
Legal Registered Office Address:	3700 FETTLER PARK DRIVE SUITE 304 DUMFRIES United States of America (USA) 22025