Register Now for our 2018 Annual Employee Ownership Conference

Are you an NCEO member? Learn more or sign up now. Have a question about employee ownership? Call Corey Rosen.

Home » Employee Ownership Surveys, Research, and Company Lists »

Database of All ESOPs in the US

Updated February 2017

Database of ESOPs: entire country ($400 for NCEO members, $600 for nonmembers)
Add to Cart

Database of ESOPs: single census division ($75 per division for NCEO members, $200 for nonmembers)

The NCEO compiles a comprehensive list of all ESOPs and their characteristics based on analysis of data reported on the Form 5500 and made available by the Department of Labor.

This list has been updated to include all ESOPs as of December 31, 2016 and is available for purchase for the entire United States ($400 for members; $600 for nonmembers) or by region ($75 for members; $200 for nonmembers). See below for the regional definitions.

For questions about this data, contact Nancy Wiefek at or 510-208-1312.


The list is provided as a spreadsheet in Microsoft Excel format and includes a codebook describing the fields. It includes 6,932 ESOPs, and following DOL standard practices, excludes plans covering only one participant. Each row corresponds to an ESOP and each column contains information about that plan.

The database includes the following fields:
  • The Form 5500 filing year from which data was drawn for the plan.
  • The EIN and name of the company that sponsors the ESOP.
  • The sponsor's DBA name, if applicable.
  • Sponsor's street address, city, state, and zip code.
  • Number of ESOPs 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.
  • KSOP indicator for plans having a 401(k) feature.
  • The year that the company established the ESOP.
  • The name of the plan.
  • 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 matching sponsor EINs to a list of public companies by Compustat in January 2017.
  • The census region of the sponsor.

Regional Data

To purchase data only for a specific division(s), click the appropriate add-to-cart button above 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