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View More Press Releases by National Center for Employee Ownership [NCEO]

Press release:

Database of U.S. ESOP Plans

Issued by: National Center for Employee Ownership [NCEO]

Date: Feb. 18, 2015

February 2015 -- The NCEO compiles databases of ESOP plans from data collected by the U.S. Department of Labor. These databases are now available for purchase, either for the entire United States ($400 for members; $600 for nonmembers) or for a specific region ($75 for members; $200 for nonmembers). See below for the regional definitions.

Each database is provided as a spreadsheet in Microsoft Excel format and includes a codebook describing the data and how to use it. For questions about this data, contact Nancy Wiefek at nwiefek@nceo.org or 510-208-1312.

The Source of the Data
The U.S. Department of Labor (DOL) collects information every year on qualified retirement plans on its Form 5500 and schedules. The NCEO downloaded and analyzed the cleaned and edited research files made available at the DOL Web site. This spreadsheet has been updated as of 2015; it is drawn from the 2012 Form 5500 filings, the most current year for which research files are available.
Content

The database includes 6,846 ESOP plans, and following DOL standard practices, excludes plans covering only one participant. Each row in the spreadsheet corresponds to an ESOP plan and each column contains information about that plan.

The spreadsheets from the NCEO include the following fields; those that are new for the 2015 version of the database are flagged with NEW.

  • The name of the company that sponsors the ESOP and its EIN. If it does business under a different name, that is included as well.
  • Sponsor's city, state, and zip.
  • Number of ESOP plans associated with each EIN.
  • A code indicating the company's primary line of business, using the North American Industry Classification System.
  • Industry code based on line of business.
  • Companies that indicated their ESOP is subject to collective bargaining.
  • K401 indicator for plans having a 401(k) feature.
  • The year that the company established the ESOP.
  • The total number of plan participants, including retired and separated participants with balances remaining.
  • The number of plan participants who are active employees.
  • Indicator for plans with more than 100 total participants.
  • Whether the company declared itself an S corporation.
  • Whether the ESOP currently has a loan (i.e., is leveraged)
  • The dollar value of employer securities in the plan.
  • The dollar value of total assets in the plan.
  • Public/Private: Drawn from a list of public companies run through Dun and Bradstreet in February 2015. -- NEW
  • Nine census divisions based on plan sponsor's state.
  • Four census regions based on divisions.
Regional Data
To purchase data only for a specific division(s), click the appropriate add-to-cart button and then when you go to checkout, type the division into the "Other Information" box on the first screen, below your name and address. The nine census divisions are defined as:
  • Division 1: New England: CT, ME, MA, NH, RI, VT
  • Division 2: Middle Atlantic: NJ, NY, PA
  • Division 3: East North Central: IL, IN, MI, OH, WI
  • Division 4: West North Central: IA, KS, MN, MO, NE, ND, SD
  • Division 5: South Atlantic: DE, DC, FL, GA, MD, NC, SC, VA, WV
  • Division 6: East South Central: AL, KY, MS, TN
  • Division 7: West South Central: AR, LA, OK, TX
  • Division 8: Mountain: AZ, CO, ID, MT, NV, NM, UT, WY
  • Division 9: Pacific: AK, CA, HI, OR, WA
For additional information on how to order, click here.

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View More Press Releases by National Center for Employee Ownership [NCEO]


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