This list includes information about all ESOPs in wholesale and retail trade companies, 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].