Recordkeeping fees per participant
not reported
Not reported on this filing.
Employers › D. E. Shaw
D. E. Shaw 401(k)
- Finance and insurance
- New York, NY
- EIN 13-3695715
- 1 plan with Schedule H financials
- Plan year 2024
- D. E. Shaw & Co., L.P.
- SEC registrant D. E. Shaw & Co, L.P.
Administrative expenses excluding investment management, per participant · D. E. Shaw & Co. 401(k) Plan · plan year 2024
$14.98
Higher than 9% of the 2,324 plans $250M to 1B that report it.
Source
= $31,855 / 2,127
derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20251013125336NAL0001342481001, received 2025-10-13
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251013125336NAL0001342481001, received 2025-10-13
Percentiles compare this plan with the Schedule H plans $250M to 1B in assets of the same plan year, excluding final filings; shown only where at least 50 comparable plans report the figure. Plan year 2024-01-01 to 2024-12-31, filing received 2025-10-13.
Cost and contributions
Administrative expenses per participant
$14.98
Higher than 6% of the 2,405 plans $250M to 1B that report it.
Source
= $31,855 / 2,127
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20251013125336NAL0001342481001, received 2025-10-13
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251013125336NAL0001342481001, received 2025-10-13
Administrative expenses as a share of assets
0.004%
Higher than 3% of the 2,407 plans $250M to 1B that report it.
Source
= $31,855 / $719,229,988
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20251013125336NAL0001342481001, received 2025-10-13
assets_eoy: Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20251013125336NAL0001342481001, received 2025-10-13
Employer contributions per participant
$6,207
Higher than 82% of the 2,457 plans $250M to 1B that report it.
Source
= $13,203,132 / 2,127
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20251013125336NAL0001342481001, received 2025-10-13
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251013125336NAL0001342481001, received 2025-10-13
Employer share of total contributions
23.2%
Higher than 24% of the 2,459 plans $250M to 1B that report it.
Source
= $13,203,132 / $56,898,043
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20251013125336NAL0001342481001, received 2025-10-13
total_contrib: Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20251013125336NAL0001342481001, received 2025-10-13
Plan terms, as stated in D. E. Shaw & Co., L.P.'s SEC filings
Plan terms are not published in public filings.
Plan features
2E profit-sharing · 2F ERISA 404(c) plan · 2G fully participant-directed · 2J 401(k) feature · 2K 401(m) arrangement · 2T default investment (QDIA) · 3D IRS pre-approved plan · 3H controlled-group sponsor · Form 5500, line 8a; TYPE_PENSION_BNFT_CODE pos 81; filing 20251013125336NAL0001342481001, received 2025-10-13
Full record, D. E. Shaw & Co. 401(k) Plan
| Field | Value | Source |
|---|---|---|
| Plan sponsor | D. E. SHAW & CO., L.P. | Form 5500, Part II line 2a; SPONSOR_DFE_NAME pos 19; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Plan name | D. E. SHAW & CO. 401(K) PLAN | Form 5500, line 1a; PLAN_NAME pos 16; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Sponsor EIN / plan number | 13-3695715 / 001 | Form 5500, line 2b; SPONS_DFE_EIN pos 44; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Plan type | multiple-employer | Form 5500, Part I line A; TYPE_PLAN_ENTITY_CD pos 4; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Sponsor location | NEW YORK, NY | Form 5500, line 2a; SPONS_DFE_MAIL_US_STATE pos 25; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Industry (business code) | 523900, Finance and insurance | Form 5500, line 2d; BUSINESS_CODE pos 46; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Plan year | 2024-01-01 to 2024-12-31 | Form 5500, Part I plan year; FORM_PLAN_YEAR_BEGIN_DATE pos 2; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Filing received | 2025-10-13 | Form 5500, EFAST2 receipt date; DATE_RECEIVED pos 102; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Final filing | no | Form 5500, Part I line B; FINAL_FILING_IND pos 8; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Amended filing | no | Form 5500, Part I line B; AMENDED_IND pos 7; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Participants, beginning of year | 2,034 | Form 5500, line 5; TOT_PARTCP_BOY_CNT pos 71; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Active participants | 1,342 | Form 5500, line 6a(2); TOT_ACTIVE_PARTCP_CNT pos 72; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Participants, end of year | 2,145 | Form 5500, line 6f; TOT_ACT_RTD_SEP_BENEF_CNT pos 77; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Participants with an account balance | 2,127 | Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Total assets, beginning of year | $592,184,321 | Schedule H, Part I line 1f col (a); TOT_ASSETS_BOY_AMT pos 30; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Total assets, end of year | $719,229,988 | Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Net assets, end of year | $719,229,988 | Schedule H, line 1l col (b); NET_ASSETS_EOY_AMT pos 67; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Total income | $151,827,033 | Schedule H, Part II line 2d; TOT_INCOME_AMT pos 97; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Net income | $127,045,667 | Schedule H, line 2k; NET_INCOME_AMT pos 111; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Employer contributions | $13,203,132 | Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Participant contributions | $38,862,650 | Schedule H, line 2a(1)(B); PARTICIPANT_CONTRIB_AMT pos 69; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Other contributions (incl. rollovers) | $4,832,261 | Schedule H, line 2a(1)(C); OTH_CONTRIB_RCVD_AMT pos 70; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Total contributions | $56,898,043 | Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Benefit payments | $24,675,395 | Schedule H, line 2e(4); TOT_DISTRIB_BNFT_AMT pos 101; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Total expenses (incl. benefit payments) | $24,781,366 | Schedule H, line 2j; TOT_EXPENSES_AMT pos 110; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Total administrative expenses | $31,855 | Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Administrative expenses excluding investment management | $31,855 | derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Held in mutual funds | $718,162,120 | Schedule H, line 1c(13) col (b); INT_REG_INVST_CO_EOY_AMT pos 55; filing 20251013125336NAL0001342481001, received 2025-10-13 |
| Independent auditor | ERNST & YOUNG LLP | Schedule H, Part III line 3a; ACCOUNTANT_FIRM_NAME pos 116; filing 20251013125336NAL0001342481001, received 2025-10-13 |
Position = column in the DOL layout for form year 2024. Filing 20251013125336NAL0001342481001, received 2025-10-13.
Service providers paid directly by the plan
| Provider | Relationship | Service codes | Direct compensation | Indirect |
|---|---|---|---|---|
| VANGUARD ADVISORS INC. | NONE | 26 Investment advisory (participants) | $30,980 | no |
| THE VANGUARD GROUP, INCrecordkeeper | NONE | 15 Recordkeeping and information management; 25 Trustee (directed); 37 Participant loan processing; 52 Investment management fees paid indirectly by plan | $1,955 | yes |
Schedule C Part I line 2: name (a), service codes (b), relationship (c), direct compensation paid by the plan (d), indirect compensation received (e). Filing 20251013125336NAL0001342481001, received 2025-10-13.
What changed since the 2023 plan year
| Figure | 2023 | 2024 | Change |
|---|---|---|---|
| Total assets | $592,184,321 | $719,229,988 | 21.5% |
| Participants with a balance | 2,020 | 2,127 | 5.3% |
| Administrative expenses | $20,085 | $31,855 | 58.6% |
| Recordkeeping fees per participant | not reported | not reported | |
| Employer contributions | $10,876,546 | $13,203,132 | 21.4% |
Prior filing 20250205152849NAL0019381218001, received 2025-02-05; the plan years are contiguous.
Alerts, claims and corrections
Sponsor name as filed: D. E. SHAW & CO., L.P.; SEC registrant: D. E. SHAW & CO, L.P. (CIK 1009268, matched by EIN).