This list includes information about all ESOPs in the finance, insurance, and real estate industries, drawing on companies' Form 5500 filings and additional research by the NCEO. It is provided as a .xlsx spreadsheet and includes a codebook describing the fields. Each row corresponds to an ESOP and each column contains information about that plan.
Fields in the database include:
Descriptive plan and company data fields from plan year 2022 Form 5500 filings (or the most recent available filing before 2022):
- Sponsor company name
- DBA name of the sponsor company where applicable
- Sponsor street address
- Sponsor industry (six-digit NAICS code, sector name, and detailed industry name)
- Date of ESOP creation
- Number of participants (active and total)
- Total plan assets amount
- Plan employer securities amount
- Plan contributions
- Plan distributions
- S or C corporation indicator
- KSOP indicator
- Collectively bargained plan indicator
- Leveraged/non-leveraged ESOP indicator
Additional fields:
- Percentage ESOP ownership where available
- Company website URL where available
- Indicator of whether employee ownership is mentioned in the company's website
- Indicator for publicly traded companies, including cases where the ESOP company is a subsidiary of a public company
Following DOL standard practices, the database excludes plans covering only one participant. We also exclude terminated plans.
Download a sample of the data here.
For questions about the ESOP database or any NCEO research, contact [email protected].