Plan Snapshot
- Plan Sponsor: Xoma Royalty Corporation
- Sponsor EIN: 522154066
- Sponsor Address: 2200 POWELL STREET SUITE 310, EMERYVILLE, CA, 94608
- Plan Type: 401(k)
- Total Participants: 13
- Total Assets: $25.4M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: Yes
- Participant Loans: No
- Participant-Directed Investments: Yes
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2024 | 13 | $25.4M | $141,141 | $284,845 |
| 2023 | 15 | $23.0M | $118,040 | $253,405 |
| 2022 | 13 | $22.5M | $114,895 | $245,686 |
Service Providers (Schedule C)
Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).
| Provider Name | Role | Direct Compensation | Indirect Compensation | Total Fees |
|---|---|---|---|---|
| ROCATON INVESTMENT ADVISORS LLC | Other Service Provider | $31,428 | — | $31,428 |
| WITHUMSMITH+BROWN, PC | Investment Advisor | $17,160 | — | $17,160 |
| GOLDMAN SACHS ASSET MANAGEMENT LP | Other Service Provider | $10,974 | — | $10,974 |
| EMPOWER ANNUITY INSURANCE COMPANY | Recordkeeper | $5,364 | — | $5,364 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $64,926
- Estimated Expense Ratio: 0.255% of plan assets
Historical Administrative Expenses
Breakdown of administrative expense categories reported on Form 5500 filings.
| Year | Total Admin Expenses | Investment Mgmt Fees | Contract Admin Fees | IQPA Audit Fees | Professional Fees |
|---|---|---|---|---|---|
| 2024 | $93,728 | $17,160 | — | — | — |
| 2023 | $106,957 | $48,675 | — | — | — |
| 2022 | $83,474 | $64,624 | $18,800 | — | — |