401k Plan data: AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN plan

AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	002

AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

AXA US HOLDINGS, INC. has sponsored the creation of one or more 401k plans.

Company Name: AXA US HOLDINGS, INC.

Employer identification number (EIN): 823179759

NAIC Classification: 523900

Additional information about AXA US HOLDINGS, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 6574653

More information about AXA US HOLDINGS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

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

Plan Statistics for AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2019: AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 414
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 248
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 115
Total of all active and inactive participants 2019-01-01 363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 2
Total participants 2019-01-01 365
Number of participants with account balances 2019-01-01 361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 11
2018: AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 149
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 318
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 95
Total of all active and inactive participants 2018-01-01 413
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 1
Total participants 2018-01-01 414
Number of participants with account balances 2018-01-01 409
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 13

Measure	Date	Value
2019: AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	414
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	248
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	115
Total of all active and inactive participants	2019-01-01	363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	2
Total participants	2019-01-01	365
Number of participants with account balances	2019-01-01	361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	11
2018: AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	149
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	318
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	95
Total of all active and inactive participants	2018-01-01	413
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	1
Total participants	2018-01-01	414
Number of participants with account balances	2018-01-01	409
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	13

Financial Data on AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2019 : AXA US HOLDINGS, INC. 401(K) PROFIT SHARING 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	$35,301,492
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$5,075,948
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$5,046,024
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$10,618,339
Value of total assets at end of year	2019-12-31	$146,801,852
Value of total assets at beginning of year	2019-12-31	$116,576,308
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$29,924
Total interest from all sources	2019-12-31	$39,659
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$4,081,423
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	$4,081,423
Administrative expenses professional fees incurred	2019-12-31	$18,510
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
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	$4,706,796
Participant contributions at end of year	2019-12-31	$980,935
Participant contributions at beginning of year	2019-12-31	$618,542
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$629
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$14,577,242
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$11,225,444
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$972,062
Other income not declared elsewhere	2019-12-31	$2,143,624
Administrative expenses (other) incurred	2019-12-31	$1,950
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	$30,225,544
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$146,801,852
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$116,576,308
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
Assets. partnership/joint venture interests at end of year	2019-12-31	$22,770
Assets. partnership/joint venture interests at beginning of year	2019-12-31	$0
Investment advisory and management fees	2019-12-31	$9,464
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$130,337,216
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$102,241,188
Interest on participant loans	2019-12-31	$39,659
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$18,418,447
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$4,939,481
Employer contributions (assets) at end of year	2019-12-31	$883,689
Employer contributions (assets) at beginning of year	2019-12-31	$2,490,505
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$5,046,024
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	Yes
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	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2019-12-31	942290202
2018 : AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$62,618,980
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	$-1,578,976
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$3,444,808
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$3,361,119
Expenses. Certain deemed distributions of participant loans	2018-12-31	$63,216
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$7,739,857
Value of total assets at end of year	2018-12-31	$116,576,308
Value of total assets at beginning of year	2018-12-31	$58,981,112
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$20,473
Total interest from all sources	2018-12-31	$10,779
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$5,192,583
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	$5,192,583
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$2,785,449
Participant contributions at end of year	2018-12-31	$618,542
Participant contributions at beginning of year	2018-12-31	$12,972
Participant contributions at end of year	2018-12-31	$629
Participant contributions at beginning of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$11,225,444
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$12,159,367
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$454,325
Other income not declared elsewhere	2018-12-31	$-1,020,977
Administrative expenses (other) incurred	2018-12-31	$20,473
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	$-5,023,784
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$116,576,308
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$58,981,112
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	$102,241,188
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$45,608,838
Interest on participant loans	2018-12-31	$10,779
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-13,501,218
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	Yes
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	$4,500,083
Employer contributions (assets) at end of year	2018-12-31	$2,490,505
Employer contributions (assets) at beginning of year	2018-12-31	$1,199,935
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$3,361,119
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2018-12-31	942290202

Form 5500 Responses for AXA US HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

2019: AXA US HOLDINGS, INC. 401(K) PROFIT SHARING 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: AXA US HOLDINGS, INC. 401(K) PROFIT SHARING 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

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Company Name:	AXA US HOLDINGS, INC.
Employer identification number (EIN):	823179759
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	6574653