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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 11-K
FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS
AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
(Mark One)
| x | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2013
OR
| ¨ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission File No.: 333-74483
| A. | Full title of the plan and the address of the plan, if different from that of the issuer named below: |
Willis 401(k) Retirement Savings Plan
| B. | Name of issuer of the securities held pursuant to the plan and address of its principal executive office: |
Willis North America Inc.
Attn: Adam Rosman
One World Financial Center
200 Liberty Street
New York, NY 10281-1003
(212) 915-8888
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Willis 401(k) Retirement Savings Plan
Employer ID No: 13-5654526
Plan Number: 003
Financial Statements as of December 31, 2013 and 2012, and for the Year Ended December 31, 2013, Supplemental Schedule as of December 31, 2013, and Report of Independent Registered Public Accounting Firm
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WILLIS 401(k) RETIREMENT SAVINGS PLAN
| NOTE: | All other schedules required by Section 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 have been omitted because they are not applicable. |
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REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Trustees and Participants of
Willis 401(k) Retirement Savings Plan
Nashville, Tennessee
We have audited the accompanying statements of net assets available for benefits of the Willis 401(k) Retirement Savings Plan (the “Plan”) as of December 31, 2013 and 2012, and the related statement of changes in net assets available for benefits for the year ended December 31, 2013. These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. Our audits included consideration of internal control over financial reporting as a basis for designing audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion. An audit also includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, such financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2013 and 2012, and the changes in net assets available for benefits for the year ended December 31, 2013, in conformity with accounting principles generally accepted in the United States of America.
Our audits were conducted for the purpose of forming an opinion on the basic financial statements taken as a whole. The supplemental schedule of assets (held at end of year) as of December 31, 2013, is presented for the purpose of additional analysis and is not a required part of the basic financial statements, but is supplementary information required by the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. This supplemental schedule is the responsibility of the Plan’s management. Such supplemental schedule has been subjected to the auditing procedures applied in our audit of the basic 2013 financial statements and, in our opinion, is fairly stated in all material respects when considered in relation to the basic 2013 financial statements taken as a whole.
Nashville, TN
June 27, 2014
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WILLIS 401(k) RETIREMENT SAVINGS PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2013 AND 2012
| 2013 | 2012 | |||||||
| ASSETS: |
||||||||
| Participant-directed investments — at fair value |
$ | 783,083,857 | $ | 660,361,027 | ||||
|
|
|
|
|
|||||
| Total investments |
783,083,857 | 660,361,027 | ||||||
|
|
|
|
|
|||||
| Receivables: |
||||||||
| Notes receivable from participants |
8,824,628 | 8,490,515 | ||||||
| Contributions receivable from employer |
14,408,250 | 9,555,723 | ||||||
| Contributions receivable from participants |
1,089,114 | 1,034,684 | ||||||
|
|
|
|
|
|||||
| Total receivables |
24,321,992 | 19,080,922 | ||||||
|
|
|
|
|
|||||
| NET ASSETS REFLECTING ALL INVESTMENTS AT FAIR VALUE |
807,405,849 | 679,441,949 | ||||||
| ADJUSTMENT FROM FAIR VALUE TO CONTRACT VALUE FOR FULLY BENEFIT-RESPONSIVE STABLE VALUE FUNDS |
(13,823,365 | ) | (20,683,722 | ) | ||||
|
|
|
|
|
|||||
| NET ASSETS AVAILABLE FOR BENEFITS |
$ | 793,582,484 | $ | 658,758,227 | ||||
|
|
|
|
|
|||||
See notes to financial statements.
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WILLIS 401(k) RETIREMENT SAVINGS PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2013
| ADDITIONS: |
||||
| Contributions: |
||||
| Participant contributions |
$ | 43,018,336 | ||
| Rollover contributions |
6,670,930 | |||
| Employer contributions |
14,402,366 | |||
|
|
|
|||
| Total contributions |
64,091,632 | |||
|
|
|
|||
| Investment income: |
||||
| Net appreciation in fair value of investments |
106,921,714 | |||
| Dividends |
13,530,893 | |||
| Interest |
5,196,761 | |||
|
|
|
|||
| Net investment income |
125,649,368 | |||
|
|
|
|||
| Interest income on notes receivable from participants |
358,514 | |||
|
|
|
|||
| DEDUCTIONS: |
||||
| Benefits paid to participants |
(54,868,760 | ) | ||
| Administrative expenses |
(406,497 | ) | ||
|
|
|
|||
| Total deductions |
(55,275,257 | ) | ||
|
|
|
|||
| INCREASE IN NET ASSETS |
134,824,257 | |||
|
|
|
|||
| NET ASSETS AVAILABLE FOR BENEFITS: |
||||
| Beginning of year |
658,758,227 | |||
|
|
|
|||
| End of year |
$ | 793,582,484 | ||
|
|
|
|||
See notes to financial statements.
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WILLIS 401(k) RETIREMENT SAVINGS PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2013 AND 2012, AND FOR THE YEAR ENDED DECEMBER 31, 2013
| 1. | DESCRIPTION OF THE PLAN |
The following description of the Willis 401(k) Retirement Savings Plan (the “Plan”) provides only general information. Participants should refer to the Plan agreement for a complete description of the Plan’s provisions.
General — The Plan is a defined contribution plan sponsored by Willis North America Inc. (the “Company” or “Employer”), a subsidiary of Willis Group Holdings plc, and covers all eligible employees of the Company and its subsidiaries. The Benefits Committee of the Board of Directors of the Company controls and manages the operation and administration of the Plan. State Street Bank and Trust serves as the trustee of the Plan and Transamerica Retirement Solutions (formerly Diversified Investment Advisors) serves as the record keeper. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974 (ERISA).
Contributions — Full-time and part-time employees of the Company are eligible to participate in the Plan. Newly hired employees are automatically enrolled in the Plan after 60 days of service with a 3% pre-tax contribution rate of eligible compensation. Participants may elect to contribute between 1% and 99% of their eligible compensation as pretax and/or Roth 401(k) contributions, subject to Internal Revenue Service (IRS) limits. Eligible compensation consists of the participant’s base pay plus commissions and production incentives received during the calendar year.
After a year of service, participants are eligible for a 100% match of employee contributions made by the Company up to a maximum of 3% for 2013 and 2% for 2012 of the employee’s annual eligible compensation. The match is subject to certain Internal Revenue Code (IRC) limitations. The Company match is discretionary, calculated annually and automatically invested per the participant’s investment elections.
Participant Accounts — Individual accounts are maintained for each Plan participant. Each participant’s account is credited with the participant’s contribution, the Company’s match, and Plan earnings, and charged with withdrawals, an allocation of Plan losses, and administrative expenses. Allocations are based on participant earnings or account balances, as defined. The benefit to which a participant is entitled is the benefit that can be provided from the participant’s vested account.
Investments — Participants direct the investment of their contributions and Employer matching contributions into various investment options offered by the Plan. The Plan currently offers a variety of mutual funds, Willis Group Holdings plc common stock, and stable value funds as investment options for participants.
The Willis Stable Value Fund and Transamerica Financial Life Insurance Company (TFLIC) Stable 5 Fund are fully benefit-responsive and are invested in separate group annuity insurance contracts with TFLIC. In addition, participants have the option of transferring amounts from the above Plan offered funds into a self-directed brokerage account.
Vesting — Participants are vested immediately in their contributions, plus actual earnings thereon. Employer contributions and earnings thereon are 25% vested after two years of service, 50% after three years, 75% after four years, and fully vested after five years of service with the Company, or a predecessor company, or as soon as the employee reaches the age of 65, dies, or becomes disabled, whichever occurs first.
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Notes Receivable from Participants — Participants may borrow from their fund accounts up to a maximum of $50,000 or 50% of their account balance, whichever is less. The loans are secured by an assignment of a participant’s vested interest in the Plan, and bear interest at rates commensurate with local prevailing rates at the time funds are borrowed, as determined quarterly by the Plan administrator. Principal and interest is paid ratably through payroll deductions. Participant loans are classified as notes receivable and measured at the unpaid principal balance plus accrued but unpaid interest.
Payment of Benefits — On termination of service with the Company (including termination of service due to death, disability, or retirement), a participant may generally elect to receive either a lump-sum amount equal to the value of the participant’s vested interest in his or her account, or annual installments.
Participants are also eligible to make hardship withdrawals from their deferred contributions in the event of certain financial hardships. Following a financial hardship withdrawal, participants are not allowed to contribute to the Plan for a period of six months.
Forfeited Accounts — When participants terminate employment with the Company, the non-vested portion of the participant’s account as defined by the Plan, represents a forfeiture. The plan document permits the use of forfeitures to either reduce future employer contributions or plan administrative expenses for the year. During the years ended December 31, 2013 and 2012, non-vested forfeiture amounts were $271,714 and $164,798, respectively, all of which were used to offset employer contributions.
Plan Termination — Although the Company has not expressed any intent to terminate the Plan, it may cease making contributions or terminate the Plan, at any time, subject to the provisions of ERISA. Upon full or partial termination of the Plan, the balance in each participant’s or retired participant’s accounts becomes nonforfeitable and each participant, retired participant, or beneficiary is entitled to receive any amounts then credited to his/her accounts in the trust, provided that the Company may elect to continue the trust and make payments therefrom, pursuant to the terms of the Plan.
| 2. | SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES |
Basis of Accounting — The accompanying financial statements have been prepared in accordance with accounting principles generally accepted in the United States of America (GAAP).
Investment Valuation and Income Recognition — The Plan’s investments are stated at fair value. Fair value of a financial instrument is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. See Note 7 for discussion on fair value measurements.
Investment contracts held by a defined contribution plan are required to be reported at fair value; however, contract value is the relevant measurement attribute for that portion of the net assets available for benefits that is attributable to fully benefit-responsive investment contracts. Contract value is the amount Plan participants would receive if they were to initiate permitted transactions under the terms of the Plan. The statement of net assets available for benefits presents the fair value of the investment contracts as well as the adjustment of the fully benefit-responsive investment contracts from fair value to contract value. The statement of changes in net assets available for benefits is prepared using the contract value basis.
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Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date. Net appreciation includes the Plan’s gains and losses on investments bought and sold as well as held during the year.
Management fees and operating expenses charged to the Plan for investments in the mutual funds and guaranteed investment contracts are deducted from income earned on a daily basis and are not separately reflected. Consequently, management fees and operating expenses are reflected as a reduction of investment return for such investments.
Use of Estimates — The preparation of financial statements in conformity with GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and changes therein and disclosure of contingent assets and liabilities. Actual results could differ from those estimates.
Risks and Uncertainties — The Plan provides various investment instruments, including common stock, mutual funds, and stable value funds. Investment securities, in general, are exposed to various risks, such as interest rate risk, credit risk, and overall market volatility. Due to the level of risk associated with certain investment securities, it is reasonably possible that changes in the values of investment securities will occur in the near term and that such change could materially affect the value of the participant’s account balances and the amounts reported in the financial statements.
Notes Receivable from Participants — Notes receivable from participants are measured at their unpaid principal balance plus any accrued but unpaid interest. Delinquent participant loans are recorded as distributions based on the terms of the Plan document.
Administrative Expenses — Administrative expenses of the Plan are paid by the participants and the Plan as provided in the Plan document. The record keeper is compensated to administer the Plan through net fees of 0.13% withdrawn from participants’ accounts for selecting certain investment options. The Plan may additionally use funds allocated to the Expense Budget Account (EBA) to pay administrative expenses approved by the Employer or can be allocated to participants at the end of the year, at the direction of the Employer. The EBA is a plan level unallocated account that can be credited when fees withdrawn from participants’ accounts are in excess of 0.13% and/or other amounts withdrawn from participants’ accounts. The EBA is also funded based on a plan service fee of 0.02%.
Payment of Benefits — Benefit payments to participants are recorded upon distribution. All distribution payments are processed the same day, therefore, at December 31, 2013 and 2012 there were no amounts allocated to accounts of persons who have elected to withdraw from the Plan, but have not yet been paid.
Excess Contributions Payable — The Plan is required to return contributions received during the Plan year in excess of the IRC limits. There were no excess contributions payable at December 31, 2013 and 2012.
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| 3. | INVESTMENTS |
Individual investments that represent greater than 5% of the Plan’s net assets available for benefits are as follows:
| As of December 31, 2013: |
||||
| Willis Stable Value Fund (at contract value) |
$ | 117,407,314 | ||
| Pimco Total Return Fund |
68,880,232 | |||
| Transamerica Partners Institutional Stock Index Fund |
67,334,207 | |||
| TRowe America Growth Fund |
56,891,806 | |||
| American Funds Income Fund |
49,527,546 | |||
| American Funds Fundamental Investment Fund |
53,302,126 | |||
| American Funds Europacific |
45,742,855 | |||
| As of December 31, 2012: |
||||
| Willis Stable Value Fund (at contract value) |
$ | 109,669,424 | ||
| Pimco Total Return Fund |
73,490,247 | |||
| Transamerica Partners Institutional Stock Index Fund |
51,582,362 | |||
| American Funds Income Fund |
44,749,737 | |||
| TRowe America Growth Fund |
42,898,809 | |||
| American Funds Fundamental Investment Fund |
40,951,616 | |||
| American Funds Europacific |
38,028,653 | |||
| TFLIC Stable 5 Fund (at contract value) |
35,151,714 | |||
During the year ended December 31, 2013, the Plan’s investments (including gains and losses on investments bought and sold, as well as held during the year) appreciated/(depreciated) as follows:
| Mutual funds |
$ | 98,697,116 | ||
| Common stock |
8,259,928 | |||
| Money market funds and other financial assets |
(35,330 | ) | ||
|
|
|
|||
| Net appreciation in fair value of investments |
$ | 106,921,714 | ||
|
|
|
|||
| 4. | FULLY BENEFIT-RESPONSIVE INVESTMENT CONTRACTS |
The Plan has two fully benefit-responsive investment contracts with TFLIC. TFLIC maintains the contributions in a non-pooled separate account (Willis Stable Value Fund) and a pooled separate account (TFLIC Stable 5 Fund), which are credited with earnings on the underlying investments and charged for participant withdrawals and administrative expenses. The contracts are included in the financial statements at fair value and then adjusted to contract value. Contract value represents contributions made under the contract, plus earnings, less participant withdrawals and administrative expenses. Participants may ordinarily direct the withdrawal or transfer of all or a portion of their investment at contract value.
The contracts have certain restrictions that affect the ability to collect the full contract value, for example, the Plan may not withdraw more than 20% of the beginning of the year balance of the contract without incurring a penalty. Plan management believes that the occurrence of events that would cause the Plan to transact at less than contract value is not probable. TFLIC may not terminate the contracts at any amount less than contract value.
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TFLIC is contractually obligated to pay the principal and specified interest rate that is guaranteed to the Plan. The crediting interest rate is based on a formula agreed upon with TFLIC, but may not be less than 0%. Such interest rates are reviewed for resetting on a quarterly basis for the Willis Stable Value Fund and on an annual basis for the TFLIC Stable 5 Fund. The crediting rate of the contract will track current market yields on a trailing basis.
| 2013 | 2012 | |||||||
| Willis Stable Value Fund average yields: |
||||||||
| Based on annualized earnings (1) |
3.73 | % | 10.42 | % | ||||
| Based on interest rate credited to participants (2) |
2.70 | 2.93 | ||||||
| TFLIC Stable 5 Fund average yields: |
||||||||
| Based on annualized earnings (1) |
4.58 | % | 15.80 | % | ||||
| Based on interest rate credited to participants (2) |
4.44 | 3.28 | ||||||
| (1) | Computed by dividing the annualized actual earnings of the contract on the last day of the Plan year by the fair value of the investments on the same date. |
| (2) | Computed by dividing the annualized earnings credited to participants on the last day of the Plan year by the fair value of the investments on the same date. |
| 5. | FEDERAL INCOME TAX STATUS |
The IRS has determined and informed the Company by a letter dated May 14, 2008, that the Plan and related trust were designed in accordance with the applicable regulations of the IRC. The Company and Plan management believe that the Plan is currently designed and operated in compliance with the applicable requirements of the IRC, and the Plan and related trust continue to be tax-exempt. Therefore, no provision for income taxes has been included in the Plan’s financial statements. During 2012, the Plan administrator filed for an updated determination letter and in a letter dated March 13, 2013, the IRS has determined and informed the Company that the Plan and related trust are designed with the applicable IRC regulations.
GAAP requires Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the IRS. The Plan administrator has analyzed the tax positions taken by the Plan, and has concluded that as of December 31, 2013, there are no uncertain positions taken or expected to be taken that would require recognition of a liability (or asset) or disclosure in the financial statements. The Plan is subject to routine audits by taxing jurisdictions. The Plan administrator believes it is no longer subject to income tax examinations for years prior to December 31, 2009.
| 6. | EXEMPT PARTY-IN-INTEREST TRANSACTIONS |
Transactions with parties-in-interest include investments in shares of Willis Group Holdings plc common stock, contributions from the Company, investments in certain funds managed by the recordkeeper of the Plan, and the investment contracts managed by TFLIC; therefore, these transactions qualify as exempt party-in-interest transactions. Administrative expenses of the Plan not borne by participants are paid by the Company. Such amounts paid by the Company in 2013 and 2012 were not significant.
At December 31, 2013 and 2012, the Plan held 483,775 and 499,804 shares, respectively, of common stock of Willis Group Holdings plc, with a fair value of $21,677,953 and $17,654,599, respectively.
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| 7. | FAIR VALUE MEASUREMENTS |
Accounting Standard Codification (ASC) 820, Fair Value Measurements and Disclosures, provides a framework for measuring fair value. That framework provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value, as follows: Level 1, which refers to securities valued using unadjusted quoted prices from active markets for identical assets; Level 2, which refers to securities not traded on an active market but for which observable market inputs are readily available; and Level 3, which refers to securities valued based on significant unobservable inputs. Assets are classified in their entirety based on the lowest level of input that is significant to the fair value measurement. The Plan’s policy is to recognize significant transfers between levels at the end of the reporting period.
Asset Valuation Techniques — Valuation technologies maximize the use of relevant observable inputs and minimize the use of unobservable inputs. The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used at December 31, 2013 and 2012.
Mutual Funds — Valued at the daily closing price as reported by the fund. These funds are required to publish their daily net asset value and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded.
Common Stocks — Valued at the closing price reported on the active market on which the individual securities are traded.
Guaranteed Investment Contracts — Valued at the net asset value of units of a bank collective trust. The net asset value as provided by the trustee, is used as a practical expedient to estimate fair value. The net asset value is based on the fair value of the underlying investments held by the fund less its liabilities.
Money Market Funds — Valued at amortized cost, which approximates fair value.
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The following tables set forth by level, within the fair value hierarchy, a summary of the Plan’s investments measured at fair value on a recurring basis as of December 31, 2013, and December 31, 2012:
| Assets at Fair Value as of December 31, 2013 | ||||||||||||||||
| Active Markets for Identical Assets (Level 1) |
Other Observable Inputs (Level 2) |
Significant Unobservable Inputs (Level 3) |
Total | |||||||||||||
| Mutual Funds: |
||||||||||||||||
| Large Cap Stocks: |
||||||||||||||||
| Domestic |
$ | 296,719,964 | $ | — | $ | — | $ | 296,719,964 | ||||||||
| International |
51,245,681 | — | — | 51,245,681 | ||||||||||||
| Mid/Small Cap Stocks |
104,370,208 | — | — | 104,370,208 | ||||||||||||
| Retirement Funds |
32,544,624 | — | — | 32,544,624 | ||||||||||||
| Bonds: |
||||||||||||||||
| Investment Grade |
68,880,232 | — | — | 68,880,232 | ||||||||||||
| High Yield |
17,482,283 | — | — | 17,482,283 | ||||||||||||
| Various Diversified Funds |
7,365,011 | — | — | 7,365,011 | ||||||||||||
| Common Stocks: |
||||||||||||||||
| Willis Group Holdings plc |
21,677,953 | — | — | 21,677,953 | ||||||||||||
| Other Common Stock |
12,609,854 | — | — | 12,609,854 | ||||||||||||
| Guaranteed Investment |
||||||||||||||||
| Contracts |
— | 163,969,779 | — | 163,969,779 | ||||||||||||
| Money Market Funds |
— | 5,332,175 | — | 5,332,175 | ||||||||||||
| Other Financial Assets |
886,093 | — | — | 886,093 | ||||||||||||
|
|
|
|
|
|
|
|
|
|||||||||
| Total Assets at Fair Value |
$ | 613,781,903 | $ | 169,301,954 | $ | — | $ | 783,083,857 | ||||||||
|
|
|
|
|
|
|
|
|
|||||||||
| Assets at Fair Value as of December 31, 2012 | ||||||||||||||||
| Active Markets for Identical Assets (Level 1) |
Other Observable Inputs (Level 2) |
Significant Unobservable Inputs (Level 3) |
Total | |||||||||||||
| Mutual Funds: |
||||||||||||||||
| Large Cap Stocks: |
||||||||||||||||
| Domestic |
$ | 229,167,332 | $ | — | $ | — | $ | 229,167,332 | ||||||||
| International |
41,490,346 | — | — | 41,490,346 | ||||||||||||
| Mid/Small Cap Stocks |
78,042,741 | — | — | 78,042,741 | ||||||||||||
| Retirement Funds |
17,382,583 | — | — | 17,382,583 | ||||||||||||
| Bonds: |
||||||||||||||||
| Investment Grade |
73,490,247 | — | — | 73,490,247 | ||||||||||||
| High Yield |
16,143,848 | — | — | 16,143,848 | ||||||||||||
| Various Diversified Funds |
5,597,312 | — | — | 5,597,312 | ||||||||||||
| Common Stocks: |
||||||||||||||||
| Willis Group Holdings plc |
17,654,599 | — | — | 17,654,599 | ||||||||||||
| Other Common Stock |
10,443,830 | — | — | 10,443,830 | ||||||||||||
| Guaranteed Investment |
||||||||||||||||
| Contracts |
— | 165,504,860 | — | 165,504,860 | ||||||||||||
| Money Market Funds |
— | 4,575,040 | — | 4,575,040 | ||||||||||||
| Other Financial Assets |
868,289 | — | — | 868,289 | ||||||||||||
|
|
|
|
|
|
|
|
|
|||||||||
| Total Assets at Fair Value |
$ | 490,281,127 | $ | 170,079,900 | $ | — | $ | 660,361,027 | ||||||||
|
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Transfers Between Levels — The availability of observable market data is monitored to assess the appropriate classification of financial instruments within the fair value hierarchy. Changes in economic conditions or model-based valuation techniques may require the transfer of financial instruments from one fair value level to another. In such instances, the transfer is reported at the beginning of the reporting period.
For the years ended, December 31, 2013 and 2012, there were no transfers between levels.
| 8. | SUBSEQUENT EVENTS |
Subsequent events were evaluated through the date of financial statement issuance. Based on this review, no significant event occurred that requires disclosure.
* * * * * *
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401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value | ||||||||
| Mutual Funds |
||||||||||
| Large Cap Stocks |
||||||||||
| Domestic |
||||||||||
| American Funds Income Fund |
Mutual Fund |
$ | 49,527,546 | |||||||
| American Funds Fundamental Investment Fund |
Mutual Fund |
53,302,126 | ||||||||
| JPMorgan US Equity Fund |
Mutual Fund |
36,004,195 | ||||||||
| MFS Value Fund |
Mutual Fund |
33,660,084 | ||||||||
| T Rowe America Growth Fund |
Mutual Fund |
56,891,806 | ||||||||
| Transamerica Partners Institutional Stock Index Fund |
Mutual Fund |
67,334,207 | ||||||||
|
|
|
|||||||||
| Total |
296,719,964 | |||||||||
|
|
|
|||||||||
| International |
||||||||||
| American Funds Europacific |
Mutual Fund |
45,742,855 | ||||||||
| Russell Emerging Markets Fund |
Mutual Fund |
5,502,826 | ||||||||
|
|
|
|||||||||
| Total |
51,245,681 | |||||||||
|
|
|
|||||||||
| Mid/Small Cap Stocks |
||||||||||
| Columbia Small Cap Value Fund |
Mutual Fund |
29,861,591 | ||||||||
| Eagle Small Cap Growth |
Mutual Fund |
27,494,504 | ||||||||
| Fidelity Spartan Extended Market Index |
Mutual Fund |
8,605,578 | ||||||||
| Prudential Mid Cap |
Mutual Fund |
24,652,295 | ||||||||
| Ridge Worth Mid Cap Value |
Mutual Fund |
13,756,240 | ||||||||
|
|
|
|||||||||
| Total |
104,370,208 | |||||||||
|
|
|
|||||||||
| Retirement Funds |
||||||||||
| T Rowe RA 2010 |
Mutual Fund |
2,155,787 | ||||||||
| T Rowe RA 2020 |
Mutual Fund |
10,533,030 | ||||||||
| T Rowe RA 2030 |
Mutual Fund |
9,245,185 | ||||||||
| T Rowe RA 2040 |
Mutual Fund |
6,458,105 | ||||||||
| T Rowe RA 2050 |
Mutual Fund |
2,480,329 | ||||||||
| T Rowe RA Income |
Mutual Fund |
1,672,188 | ||||||||
|
|
|
|||||||||
| Total |
32,544,624 | |||||||||
|
|
|
|||||||||
| Bonds |
||||||||||
| Investment Grade |
||||||||||
| PIMCO Total Return Fund |
Mutual Fund |
68,880,232 | ||||||||
|
|
|
|||||||||
| Total |
68,880,232 | |||||||||
|
|
|
|||||||||
| High Yield |
||||||||||
| Transamerica Partners Institutional High Yield Fund |
Mutual Fund |
17,482,283 | ||||||||
|
|
|
|||||||||
| Total |
17,482,283 | |||||||||
|
|
|
|||||||||
| Various Diversified Mutual Funds |
||||||||||
| ABERDEEN GLOBAL HIGH INCM F |
71 | Mutual Fund |
746 | |||||||
| ABERDEEN GLOBAL SELECT OPPTY |
307 | Mutual Fund |
12,158 | |||||||
| ACADIAN EMERGING MKTS PORTFO |
537 | Mutual Fund |
9,857 | |||||||
| ADVISORONE AMERIGO FUND CL N |
1,413 | Mutual Fund |
24,426 | |||||||
| ADVISORONE CLERMONT FUND CL N |
2,015 | Mutual Fund |
21,476 | |||||||
| ADVISORONE DESCARTES N |
874 | Mutual Fund |
11,120 | |||||||
| ADVISORONE ENHANCED INCM N |
528 | Mutual Fund |
5,559 | |||||||
| ADVISORONE FLEXIBLE INCM N |
1,089 | Mutual Fund |
11,154 | |||||||
| ADVISORONE LIAHONA N |
1,821 | Mutual Fund |
19,122 | |||||||
| ADVISORONE SELECT ALLOCA |
1,562 | Mutual Fund |
17,228 | |||||||
| AKRE FOCUS FD RETAIL |
701 | Mutual Fund |
14,602 | |||||||
| ALLIANCEBERNSTEIN DISCOV |
2,626 | Mutual Fund |
25,809 | |||||||
| AMANA INCOME FUND |
233 | Mutual Fund |
10,197 | |||||||
| AMERICAN BEACON BRIDGE |
1,131 | Mutual Fund |
24,073 | |||||||
| AMERICAN BEACON STEPHENS SM CA |
582 | Mutual Fund |
9,891 | |||||||
| AMERICAN CENTURY EQUITY GROWTH |
107 | Mutual Fund |
3,296 | |||||||
| AMERICAN FD GROWTH FD OF AMERI |
3,881 | Mutual Fund |
165,856 | |||||||
| ANGEL OAK MULTI STRATEGY INCM |
321 | Mutual Fund |
3,857 | |||||||
| AQR DIVERSIFIED ARBITR |
836 | Mutual Fund |
9,116 | |||||||
| AQR INTL MOMENTUM FD CL L |
1,065 | Mutual Fund |
16,771 | |||||||
| AQR MGD FUTURES STRAT FD CL I |
2,325 | Mutual Fund |
24,623 | |||||||
| AQR MOMENTUM FD CL L |
1,973 | Mutual Fund |
40,819 | |||||||
| AQR MULTI STRATEGY ALT FD CL |
3,031 | Mutual Fund |
29,646 | |||||||
| AQR RISK PARITY FD CL I |
2,741 | Mutual Fund |
29,521 | |||||||
| AQR SMALL CAP MOMENTUM FD CL |
736 | Mutual Fund |
16,435 | |||||||
| ARTISAN GLOBAL OPPTY INV CL |
543 | Mutual Fund |
9,938 | |||||||
| ARTISAN INTL FUND INV |
1,246 | Mutual Fund |
37,975 | |||||||
| ARTISAN INTL VALUE FUND INV |
1,092 | Mutual Fund |
40,148 | |||||||
| ARTISAN SM CAP FD INV |
339 | Mutual Fund |
10,030 | |||||||
| BAIRD SHORT TERM BD INST |
2,200 | Mutual Fund |
21,321 | |||||||
| BARON ASSET FUND |
186 | Mutual Fund |
11,546 | |||||||
| BARON SMALL CAP FUND |
895 | Mutual Fund |
31,124 | |||||||
| BERWYN INCOME FUND |
7,239 | Mutual Fund |
101,415 | |||||||
| BLACKROCK EQTY DIVIDEND FD INV |
534 | Mutual Fund |
12,976 | |||||||
| BLACKROCK GLOBAL ALLOCA |
488 | Mutual Fund |
10,414 | |||||||
- 13 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| BLACKROCK INTL OPPTY A |
652 | Mutual Fund |
25,983 | |||||||
| BLACKROCK MULTI ASSET INCM P |
926 | Mutual Fund |
10,465 | |||||||
| BLACKROCK STRAT INCM OPPTY |
3,922 | Mutual Fund |
39,847 | |||||||
| BROWN CAP MGMT SMALL CO FD INV |
250 | Mutual Fund |
18,519 | |||||||
| BUFFALO DISCOVERY FUND |
1,667 | Mutual Fund |
33,235 | |||||||
| BUFFALO FLEXIBLE INCOME FUND |
1 | Mutual Fund |
21 | |||||||
| BUFFALO GROWTH FUND |
1,522 | Mutual Fund |
53,025 | |||||||
| CALVERT INTL OPPTY FD A |
1,292 | Mutual Fund |
21,490 | |||||||
| CGM FOCUS FUND |
222 | Mutual Fund |
8,969 | |||||||
| COHEN & STEERS REALTY SHARES |
83 | Mutual Fund |
5,220 | |||||||
| COLUMBIA ACORN FUND CL Z |
1,233 | Mutual Fund |
46,009 | |||||||
| COLUMBIA MASTERS INTL EQTY A |
1,550 | Mutual Fund |
15,840 | |||||||
| CREDIT SUISSE COMMODITY RETURN |
14,516 | Mutual Fund |
104,952 | |||||||
| DELAFIELD FUND |
1,216 | Mutual Fund |
46,257 | |||||||
| DFA COMMODITY STRATEGY PORT |
3,994 | Mutual Fund |
33,187 | |||||||
| DFA EMERGING MKTS CORE EQTY P |
2,692 | Mutual Fund |
52,389 | |||||||
| DFA EMERGING MKTS PORT INSTL |
1,009 | Mutual Fund |
26,187 | |||||||
| DFA EMERGING MKTS SMALL CAP PO |
125 | Mutual Fund |
2,507 | |||||||
| DFA EMERGING MKTS VALUE PORT I |
94 | Mutual Fund |
2,591 | |||||||
| DFA GLOBAL REAL ESTATE SECURI |
10,260 | Mutual Fund |
90,703 | |||||||
| DFA INTL CORE EQTY PORT INSTL |
5,610 | Mutual Fund |
71,865 | |||||||
| DFA INTL REAL ESTATE SECURI |
770 | Mutual Fund |
3,865 | |||||||
| DFA INTL SMALL CAP VALUE PORT |
937 | Mutual Fund |
19,072 | |||||||
| DFA INTL SMALL CO PORT INSTL |
2,846 | Mutual Fund |
54,681 | |||||||
| DFA INTL VALUE III PORT |
955 | Mutual Fund |
16,668 | |||||||
| DFA LARGE CAP VALUE III PORTFO |
1,683 | Mutual Fund |
39,899 | |||||||
| DFA REAL ESTATE SECURI |
253 | Mutual Fund |
6,554 | |||||||
| DFA SLCTIVELY HEDGED GLOBAL |
1,520 | Mutual Fund |
15,182 | |||||||
| DFA TWO YEAR GLBL FIXED INCM P |
396 | Mutual Fund |
3,967 | |||||||
| DFA US CORE EQTY 2 PORT INSTL |
5,580 | Mutual Fund |
91,344 | |||||||
| DFA US LARGE CAP VALUE PORT I |
10,795 | Mutual Fund |
341,337 | |||||||
| DFA US SMALL CAP VALUE PORT I |
1,598 | Mutual Fund |
56,601 | |||||||
| DFA US TARGETED VALUE PORT I |
1,167 | Mutual Fund |
26,574 | |||||||
| DIREXION MONTHLY SMALL CAP BE |
84 | Mutual Fund |
269 | |||||||
| DODGE & COX INTL STOCK FUND |
941 | Mutual Fund |
40,495 | |||||||
| DODGE & COX STOCK FUND |
396 | Mutual Fund |
66,829 | |||||||
| DOUBLELINE TOTAL RETURN BD FD |
5,188 | Mutual Fund |
55,926 | |||||||
| DREYFUS SMALL CAP STOCK INDEX |
333 | Mutual Fund |
9,874 | |||||||
| DRIEHAUS EMERGING MRKTS GROWTH |
161 | Mutual Fund |
5,224 | |||||||
| DWS ENHANCED COMMODITY STRAT |
1,158 | Mutual Fund |
17,606 | |||||||
| DWS SMALL CAP VALUE FD A |
913 | Mutual Fund |
26,089 | |||||||
| EATON VANCE FLOATING RATE F |
1,220 | Mutual Fund |
11,197 | |||||||
| FAIRHOLME FUND |
786 | Mutual Fund |
30,793 | |||||||
| FEDERATED HIGH YIELD TRUST |
1,214 | Mutual Fund |
8,216 | |||||||
| FEDERATED PRUDENT BEAR FD CL |
1,077 | Mutual Fund |
2,844 | |||||||
| FEDERATED US GOVT SEC FD 1 TO |
1,941 | Mutual Fund |
20,599 | |||||||
| FIDELITY CAPITAL APPR FD |
577 | Mutual Fund |
20,887 | |||||||
| FIDELITY FOCUSED STOCK FUND |
423 | Mutual Fund |
8,349 | |||||||
| FIDELITY INTL DISCOVERY FUND |
438 | Mutual Fund |
17,750 | |||||||
| FIDELITY LATIN AMER FUND |
564 | Mutual Fund |
17,637 | |||||||
| FIDELITY LEVERAGED COMPAN |
6,826 | Mutual Fund |
295,174 | |||||||
| FIDELITY SLCT COMM EQUIPM |
57 | Mutual Fund |
1,670 | |||||||
| FIDELITY SLCT HEALTH CARE P |
91 | Mutual Fund |
17,188 | |||||||
| FIDELITY SLCT SOFTWARE & COMPU |
54 | Mutual Fund |
6,422 | |||||||
| FIDELITY SLCT TELECOM PORTFO |
34 | Mutual Fund |
2,032 | |||||||
| FIRST EAGLE GLOBAL FUND CL A |
2,865 | Mutual Fund |
153,607 | |||||||
| FIRST EAGLE OVERSEAS FUND C |
55 | Mutual Fund |
1,281 | |||||||
| FMI LARGE CAP FUND |
118 | Mutual Fund |
2,457 | |||||||
| FRANKLIN INCM FD CL A |
4,370 | Mutual Fund |
10,576 | |||||||
| GABELLI ASSET FUND AAA |
39 | Mutual Fund |
2,569 | |||||||
| GABELLI EQUITY INCOME FUND C |
835 | Mutual Fund |
23,868 | |||||||
| GABELLI SMALL CAP GROWTH FUND |
951 | Mutual Fund |
45,916 | |||||||
| GATEWAY FUND CL A |
587 | Mutual Fund |
17,017 | |||||||
| HARBOR CAP APPRECIATION FUND I |
1,636 | Mutual Fund |
92,772 | |||||||
| HARBOR COMMODITY REAL RETURN |
640 | Mutual Fund |
3,789 | |||||||
| HARBOR INTERNATIONAL FUND I |
336 | Mutual Fund |
23,654 | |||||||
| HARDING LOEVNER EMERGING MARKE |
181 | Mutual Fund |
8,818 | |||||||
| HEARTLAND SELECT VALUE FUND I |
229 | Mutual Fund |
7,739 | |||||||
| HEARTLAND VALUE PLUS FD INV CL |
889 | Mutual Fund |
31,852 | |||||||
| HENNESSY FOCUS FD INV CL |
82 | Mutual Fund |
5,439 | |||||||
| HENNESSY SMALL CAP FINANC |
317 | Mutual Fund |
8,064 | |||||||
| ICON ENERGY FUND CL S |
0 | Mutual Fund |
9 | |||||||
| INVESCO TECHNOLOGY FD INV CL |
13 | Mutual Fund |
502 | |||||||
- 14 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| IQ ALPHA HEDGE STRATEGY INST C |
2,732 | Mutual Fund |
29,692 | |||||||
| IRONCLAD MGD RISK |
946 | Mutual Fund |
10,515 | |||||||
| IVY ASSET STRATEGY FUND CL A |
470 | Mutual Fund |
15,040 | |||||||
| JANUS BALANCED FD CL T |
635 | Mutual Fund |
19,038 | |||||||
| JANUS CONTRARIAN FD CL T |
407 | Mutual Fund |
8,512 | |||||||
| JANUS ENTERPRISE FD CL T |
69 | Mutual Fund |
5,621 | |||||||
| JANUS GLOBAL LIFE SCIENC |
242 | Mutual Fund |
10,428 | |||||||
| JANUS GROWTH & INCM CL T |
31 | Mutual Fund |
1,391 | |||||||
| JANUS INTECH US GROWTH T |
1,177 | Mutual Fund |
23,215 | |||||||
| JANUS OVERSEAS FD CL T |
117 | Mutual Fund |
4,297 | |||||||
| JANUS TRITON FD CL T |
5,227 | Mutual Fund |
123,517 | |||||||
| JANUS VENTURE FD CL T |
152 | Mutual Fund |
9,934 | |||||||
| JENSEN QUALITY GROWTH FD CL J |
312 | Mutual Fund |
11,801 | |||||||
| JHANCOCK INCOME FUND CL A |
2 | Mutual Fund |
16 | |||||||
| JHANCOCK3 DISCIPLINED VALUE |
1,161 | Mutual Fund |
21,462 | |||||||
| JPMORGAN EQUITY INCOME A |
836 | Mutual Fund |
10,761 | |||||||
| JPMORGAN INCM BUILDER FD A |
1,013 | Mutual Fund |
10,424 | |||||||
| LAUDUS U.S. LARGE CAP GROWTH |
1,097 | Mutual Fund |
20,363 | |||||||
| LEUTHOLD CORE INVESTMENT FUND |
549 | Mutual Fund |
10,000 | |||||||
| LITMAN GREGORY MASTERS ALT ST |
3,910 | Mutual Fund |
44,658 | |||||||
| LOOMIS SAYLES BOND FUND CL I |
4,634 | Mutual Fund |
70,248 | |||||||
| LOOMIS SAYLES BOND FUND CL R |
2,087 | Mutual Fund |
31,493 | |||||||
| LOOMIS SAYLES GLOBAL BD FD CL |
3,313 | Mutual Fund |
52,981 | |||||||
| MAINSTAY LARGE CAP GROWTH |
1,307 | Mutual Fund |
13,133 | |||||||
| MAINSTAY MARKETFIELD FD CL I |
1,128 | Mutual Fund |
20,896 | |||||||
| MAIRS AND POWER GWTH FD |
150 | Mutual Fund |
16,686 | |||||||
| MANAGERS REAL ESTATE SECURI |
50 | Mutual Fund |
484 | |||||||
| MANAGERS SKYLINE SPECIAL EQUIT |
71 | Mutual Fund |
2,831 | |||||||
| MARATHON VALUE PORTFOLIO |
953 | Mutual Fund |
20,969 | |||||||
| MARSICO GLOBAL FD |
1,223 | Mutual Fund |
17,385 | |||||||
| MATTHEWS CHINA FUND |
533 | Mutual Fund |
12,172 | |||||||
| MERGER FUND |
466 | Mutual Fund |
7,455 | |||||||
| MERIDIAN GROWTH FUND LEGACY |
699 | Mutual Fund |
26,032 | |||||||
| METROPOLITAN WEST TOTAL RETURN |
8,350 | Mutual Fund |
88,090 | |||||||
| MFS INTL VALUE CL A |
727 | Mutual Fund |
24,516 | |||||||
| MOTLEY FOOL INDEPE |
2,803 | Mutual Fund |
53,934 | |||||||
| NEUBERGER BERMAN FOCUS FD INV |
63 | Mutual Fund |
1,734 | |||||||
| NORTHERN SMALL CAP CORE FUND |
467 | Mutual Fund |
9,780 | |||||||
| NUVEEN SYMPHONY MID CAP CORE A |
11 | Mutual Fund |
345 | |||||||
| OAKMARK INTL FD CLASS I |
4,930 | Mutual Fund |
129,747 | |||||||
| OAKMARK INTL SMALL CAP FUND |
1,238 | Mutual Fund |
21,398 | |||||||
| OBERWEIS INTL OPPTY FD |
587 | Mutual Fund |
11,418 | |||||||
| OPPENHEIMER DEVELOPING MKTS F |
194 | Mutual Fund |
7,360 | |||||||
| OPPENHEIMER INTL GROWTH FD CL |
1,188 | Mutual Fund |
45,569 | |||||||
| OPPENHEIMER SENIOR FLOATI |
954 | Mutual Fund |
8,044 | |||||||
| OPPENHEIMER STEELPATH MLP SL |
1,936 | Mutual Fund |
23,772 | |||||||
| PACIFIC ADV SMALL CAP VALUE |
17 | Mutual Fund |
1,026 | |||||||
| PARNASSUS EQUITY INCOME FUND I |
728 | Mutual Fund |
26,719 | |||||||
| PAYDEN EQUITY INCOME FD |
381 | Mutual Fund |
4,873 | |||||||
| PERMANENT PORTFOLIO |
97 | Mutual Fund |
4,167 | |||||||
| PIMCO ALL ASSET ALL AUTHOR |
3,355 | Mutual Fund |
33,112 | |||||||
| PIMCO ALL ASSET ALL AUTHOR |
4,431 | Mutual Fund |
43,864 | |||||||
| PIMCO ALL ASSET CL D |
2,835 | Mutual Fund |
34,246 | |||||||
| PIMCO ALL ASSET INSTL CL |
1,819 | Mutual Fund |
21,977 | |||||||
| PIMCO COMMODITY REAL RETURN |
2,816 | Mutual Fund |
15,261 | |||||||
| PIMCO COMMODITY REAL RETURN |
3,958 | Mutual Fund |
21,732 | |||||||
| PIMCO DIV AND INCM BUILDE |
273 | Mutual Fund |
3,463 | |||||||
| PIMCO EMER MKTS CURRENCY INSTL |
6,096 | Mutual Fund |
61,687 | |||||||
| PIMCO GLOBAL ADVANTAGE STRATE |
3,769 | Mutual Fund |
41,612 | |||||||
| PIMCO GNMA D |
8,533 | Mutual Fund |
93,602 | |||||||
| PIMCO TOTAL RETURN FUND CL D |
15,478 | Mutual Fund |
165,465 | |||||||
| PIMCO TOTAL RETURN FUND INSTL |
9,209 | Mutual Fund |
98,444 | |||||||
| PIMCO UNCONSTRAINED BD FD IN |
2,366 | Mutual Fund |
26,235 | |||||||
| PRINCIPAL GLOBAL DIVERSE INCM |
212 | Mutual Fund |
2,992 | |||||||
| RYDEX GOVT LONG BD 1.2X STRATE |
685 | Mutual Fund |
9,553 | |||||||
| RYDEX NASDAQ-100 FUND INV CL |
134 | Mutual Fund |
2,863 | |||||||
| SCHWAB DIVIDEND EQUITY FUND |
1,269 | Mutual Fund |
22,536 | |||||||
| SCHWAB FUNDAMENTAL US LARGE |
2,506 | Mutual Fund |
35,585 | |||||||
| SCHWAB GNMA FUND |
3,003 | Mutual Fund |
29,730 | |||||||
| SCHWAB HEALTH CARE FUND |
316 | Mutual Fund |
7,370 | |||||||
| SCHWAB INTL INDEX FUND |
715 | Mutual Fund |
14,215 | |||||||
| SCHWAB MARKETTRACK CONSER |
495 | Mutual Fund |
7,612 | |||||||
| SCHWAB S&P 500 INDEX FD |
1,475 | Mutual Fund |
42,552 | |||||||
- 15 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| SCHWAB SMALL CAP INDEX FUND |
2,476 | Mutual Fund |
68,312 | |||||||
| SCHWAB TARGET 2020 FUND |
1,570 | Mutual Fund |
21,429 | |||||||
| SCHWAB TOTAL STOCK MKT INDEX |
352 | Mutual Fund |
11,842 | |||||||
| SCHWAB TREASURY INFLAT |
7,476 | Mutual Fund |
81,264 | |||||||
| SCOUT CORE BD FD CL I |
1,875 | Mutual Fund |
21,303 | |||||||
| SCOUT SMALL CAP FD |
399 | Mutual Fund |
9,533 | |||||||
| SCOUT UNCONSTRAINED BOND FD CL |
901 | Mutual Fund |
10,662 | |||||||
| SEQUOIA FUND |
42 | Mutual Fund |
9,465 | |||||||
| SMEAD VALUE FD INV CL |
183 | Mutual Fund |
6,612 | |||||||
| SOUND SHORE INVESTOR |
2,002 | Mutual Fund |
98,196 | |||||||
| SSGA EMERGING MARKETS FD |
148 | Mutual Fund |
2,619 | |||||||
| T ROWE PRICE EUROPEAN STOCK |
209 | Mutual Fund |
4,491 | |||||||
| T ROWE PRICE INST FLOATI |
3,709 | Mutual Fund |
38,165 | |||||||
| T ROWE PRICE MEDIA AND TELECO |
315 | Mutual Fund |
21,884 | |||||||
| TEMPLETON FOREIGN FUND CL A |
1,076 | Mutual Fund |
8,945 | |||||||
| TEMPLETON WORLD A |
2,528 | Mutual Fund |
49,072 | |||||||
| TETON WESTWOOD BALANCED FD CL |
1,540 | Mutual Fund |
19,284 | |||||||
| THIRD AVENUE VALUE FD INSTL |
506 | Mutual Fund |
28,969 | |||||||
| THORNBURG DEVELOPING WORLD |
430 | Mutual Fund |
8,061 | |||||||
| THORNBURG INVT INCOME BUILDE |
510 | Mutual Fund |
10,654 | |||||||
| THORNBURG LTD TERM INCM FD CL |
1,004 | Mutual Fund |
13,331 | |||||||
| TIAA CREF HIGH YIELD BOND F |
667 | Mutual Fund |
6,839 | |||||||
| TIAA CREF INSTL SOCIAL CHOICE |
404 | Mutual Fund |
5,718 | |||||||
| TIAA CREF MID CAP GROWTH FD RE |
467 | Mutual Fund |
10,595 | |||||||
| TOCQUEVILLE GOLD FUND |
46 | Mutual Fund |
1,504 | |||||||
| TOUCHSTONE SANDS CAPITAL SLCT |
1,942 | Mutual Fund |
33,935 | |||||||
| VANGUARD DEVELOPED MKTS INDEX |
8,884 | Mutual Fund |
102,792 | |||||||
| VANGUARD DIV GROWTH FD INVEST |
903 | Mutual Fund |
19,284 | |||||||
| VANGUARD EMRG MKTS STK INDEX |
1,330 | Mutual Fund |
34,387 | |||||||
| VANGUARD EQUITY INCOME FD INV |
206 | Mutual Fund |
6,139 | |||||||
| VANGUARD HEALTH CARE FD INVES |
28 | Mutual Fund |
5,152 | |||||||
| VANGUARD HIGH YIELD CORP FUND |
1,469 | Mutual Fund |
8,860 | |||||||
| VANGUARD INTL EXPLORER INVES |
1,828 | Mutual Fund |
33,665 | |||||||
| VANGUARD INTL GROWTH FD INVEST |
1,086 | Mutual Fund |
25,345 | |||||||
| VANGUARD MID CAP GROWTH INDEX |
816 | Mutual Fund |
28,935 | |||||||
| VANGUARD REIT INDEX FUND INVES |
840 | Mutual Fund |
18,031 | |||||||
| VANGUARD SHORT TERM BOND INDEX |
5,059 | Mutual Fund |
53,069 | |||||||
| VANGUARD SHORT TERM INVEST |
3,160 | Mutual Fund |
33,811 | |||||||
| VANGUARD SMALL CAP GWTH INDEX |
1,210 | Mutual Fund |
41,600 | |||||||
| VANGUARD SMALL CAP INDEX FD IN |
666 | Mutual Fund |
35,112 | |||||||
| VANGUARD TOTAL BD MARKET INDEX |
7,859 | Mutual Fund |
82,994 | |||||||
| VANGUARD TOTAL INTL STK INDEX |
1,979 | Mutual Fund |
33,152 | |||||||
| VANGUARD TOTAL STOCK MKT INDEX |
2,347 | Mutual Fund |
109,526 | |||||||
| VANGUARD WELLINGTON FD INVEST |
588 | Mutual Fund |
22,325 | |||||||
| VIRTUS DYNAMIC ALPHAS |
5,254 | Mutual Fund |
68,664 | |||||||
| VIRTUS PREMIUM ALPHAS |
4,056 | Mutual Fund |
67,165 | |||||||
| VULCAN VALUE PARTNERS FD |
1,477 | Mutual Fund |
26,944 | |||||||
| WASATCH LONG SHORT FD INV |
1,075 | Mutual Fund |
17,431 | |||||||
| WASATCH SMALL CAP GROWTH FD IN |
385 | Mutual Fund |
20,194 | |||||||
| WEITZ SHORT INTERMEDIATE INCOM |
413 | Mutual Fund |
5,159 | |||||||
| WEITZ VALUE FUND |
333 | Mutual Fund |
14,960 | |||||||
| WELLS FARGO ADVTG ABSLT RETURN |
3,522 | Mutual Fund |
39,341 | |||||||
| WELLS FARGO ADVTG DIVERS INTL |
91 | Mutual Fund |
1,130 | |||||||
| WELLS FARGO ADVTG GWTH FD IN |
4,593 | Mutual Fund |
234,560 | |||||||
| WELLS FARGO ADVTG INTRIN |
411 | Mutual Fund |
9,441 | |||||||
| WELLS FARGO ADVTG PREMIE |
396 | Mutual Fund |
5,675 | |||||||
| WHITE OAK SELECT GROWTH FUND |
460 | Mutual Fund |
26,167 | |||||||
| YACKTMAN FOCUSED SERVICE CL |
513 | Mutual Fund |
12,897 | |||||||
| YACKTMAN FUND SERVICE CL |
7,839 | Mutual Fund |
184,521 | |||||||
|
|
|
|||||||||
| Total |
7,365,011 | |||||||||
|
|
|
|||||||||
| Common Stocks |
||||||||||
| Willis |
||||||||||
| WILLIS STOCK FUND |
483,775 | Shares of Common Stock |
21,677,953 | |||||||
|
|
|
|||||||||
| Total |
21,677,953 | |||||||||
|
|
|
|||||||||
| Other Common Stock |
||||||||||
| 1 800 FLOWERS.COM INC |
1,400 | Shares of Common Stock |
7,574 | |||||||
| 3 D SYSTEMS CORP |
177 | Shares of Common Stock |
16,449 | |||||||
| 3M COMPANY |
1,291 | Shares of Common Stock |
181,117 | |||||||
| A E S CORP |
100 | Shares of Common Stock |
1,451 | |||||||
| A M R CORPORATION XXXSTOCK |
75 | Shares of Common Stock |
— | |||||||
| A T & T INC NEW |
1,122 | Shares of Common Stock |
39,457 | |||||||
| ABBOTT LABORATORIES |
52 | Shares of Common Stock |
2,011 | |||||||
| ABBVIE INC |
52 | Shares of Common Stock |
2,741 | |||||||
- 16 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| ABERDEEN ASIA PAC INCM |
10,000 | Shares of Common Stock |
57,600 | |||||||
| ACCENTURE PLC CL A F |
45 | Shares of Common Stock |
3,700 | |||||||
| ACHILLION PHARMA INC ** PEN |
1,980 | Shares of Common Stock |
6,572 | |||||||
| ADAMS EXPRESS CO |
87 | Shares of Common Stock |
1,140 | |||||||
| ADT CORP |
18 | Shares of Common Stock |
728 | |||||||
| ADVANCED PHOTONIX CL A |
4,000 | Shares of Common Stock |
2,759 | |||||||
| ADVISORSHARES TRUST ETF RANGER |
600 | Shares of Common Stock |
7,656 | |||||||
| AETNA INC NEW |
100 | Shares of Common Stock |
6,859 | |||||||
| AGILENT TECHNOLOGIES INCTENDER |
100 | Shares of Common Stock |
5,719 | |||||||
| AGRIUM INC FDUTCH |
100 | Shares of Common Stock |
9,148 | |||||||
| AIRGAS INC TENDER |
53 | Shares of Common Stock |
5,919 | |||||||
| AKAMAI TECHNOLOGIES |
22 | Shares of Common Stock |
1,038 | |||||||
| ALAMOS GOLD INC F |
400 | Shares of Common Stock |
4,852 | |||||||
| ALASKA COMMUNS SYS GROUP |
1,000 | Shares of Common Stock |
2,120 | |||||||
| ALBERTA STAR DEV CP NEWF |
200 | Shares of Common Stock |
31 | |||||||
| ALCATEL LUCENT ADR FSPONSO |
595 | Shares of Common Stock |
2,618 | |||||||
| ALCOA INC |
1,031 | Shares of Common Stock |
10,959 | |||||||
| ALKANE RESOURCES ORD F |
5,000 | Shares of Common Stock |
1,521 | |||||||
| ALLEGHENY TECH INC NEW |
45 | Shares of Common Stock |
1,603 | |||||||
| ALLEGION PUBLIC LTD CO F |
9 | Shares of Common Stock |
398 | |||||||
| ALMOST FAMILY INC |
500 | Shares of Common Stock |
16,165 | |||||||
| ALNYLAM PHARMACEUTICALS ** PEN |
500 | Shares of Common Stock |
32,150 | |||||||
| ALPS TRUST ETF ALERIA |
400 | Shares of Common Stock |
7,116 | |||||||
| ALTRIA GROUP INC |
409 | Shares of Common Stock |
15,696 | |||||||
| ALTRIA GROUP INC |
626 | Shares of Common Stock |
24,045 | |||||||
| AMARIN CORP PLC NEW ADRFSPONSO |
100 | Shares of Common Stock |
197 | |||||||
| AMAZON COM INC |
15 | Shares of Common Stock |
5,982 | |||||||
| AMER ELECTRIC PWR CO INC |
200 | Shares of Common Stock |
9,348 | |||||||
| AMEREN CORPORATION |
720 | Shares of Common Stock |
26,035 | |||||||
| AMERICAN AIRLS GROUP INC |
474 | Shares of Common Stock |
11,969 | |||||||
| AMERICAN CAPITAL AGENCY REITS |
500 | Shares of Common Stock |
9,645 | |||||||
| AMERICAN GRAPHITE TECH |
500 | Shares of Common Stock |
80 | |||||||
| AMERICAN INTL GROUP INC TRADES |
357 | Shares of Common Stock |
7,229 | |||||||
| AMERICAN INTL GROUP NEW |
1,027 | Shares of Common Stock |
52,424 | |||||||
| AMERICAN SKIING CORP XXXPLAN O |
1,830 | Shares of Common Stock |
— | |||||||
| AMERICAN TOWER CORP REIT |
80 | Shares of Common Stock |
6,386 | |||||||
| AMERICAN WATER WORKS CO ** PEN |
137 | Shares of Common Stock |
5,783 | |||||||
| AMERIPRISE FINANCIAL INC |
50 | Shares of Common Stock |
5,753 | |||||||
| AMERN SUPERCONDUCTOR CP |
5,000 | Shares of Common Stock |
8,200 | |||||||
| ANADARKO PETROLEUM CORP |
600 | Shares of Common Stock |
47,592 | |||||||
| ANNALY CAPITAL MGMT REIT |
10,242 | Shares of Common Stock |
102,117 | |||||||
| AOL INC |
6 | Shares of Common Stock |
280 | |||||||
| APERAM FNEW YO |
1 | Shares of Common Stock |
18 | |||||||
| APOLLO COMM REAL EST FIN** PEN |
2,000 | Shares of Common Stock |
32,500 | |||||||
| APOLLO GLOBAL MANAGEMENT** PEN |
105 | Shares of Common Stock |
3,319 | |||||||
| APPLE INC |
50 | Shares of Common Stock |
28,051 | |||||||
| APPLE INC |
744 | Shares of Common Stock |
417,607 | |||||||
| APPLIED MATERIALS INC |
538 | Shares of Common Stock |
9,512 | |||||||
| AQUA AMERICA INC |
772 | Shares of Common Stock |
18,203 | |||||||
| ARADIGM CORP NEW |
180 | Shares of Common Stock |
32 | |||||||
| ARCELOR MITTAL NY NEW FNEW YO |
160 | Shares of Common Stock |
2,854 | |||||||
| ARCH COAL INC |
728 | Shares of Common Stock |
3,238 | |||||||
| ARCHER-DANIELS-MIDLND CO |
50 | Shares of Common Stock |
2,170 | |||||||
| ARES CAPITAL CORP |
2,500 | Shares of Common Stock |
44,425 | |||||||
| ARLINGTON ASSET INVT NEW |
1,000 | Shares of Common Stock |
26,390 | |||||||
| ARTISAN PART ASSET MNGT ** PEN |
95 | Shares of Common Stock |
6,193 | |||||||
| ASSICURAZIONI GENL ORD F |
150 | Shares of Common Stock |
3,543 | |||||||
| ATLAS CORPORATION |
103,000 | Shares of Common Stock |
340 | |||||||
| ATLAS ENERGY LP |
150 | Shares of Common Stock |
7,028 | |||||||
| AUCTION MILLS INC NEW |
4 | Shares of Common Stock |
— | |||||||
| AUTO DATA PROCESSING |
40 | Shares of Common Stock |
3,232 | |||||||
| AVALON HOLDINGS CORP A CLASS |
1,000 | Shares of Common Stock |
5,200 | |||||||
| AVERY DENNISON CORP |
85 | Shares of Common Stock |
4,266 | |||||||
| AVIAT NETWORKS INC |
10,000 | Shares of Common Stock |
22,600 | |||||||
| AVISTA CORPORATION |
200 | Shares of Common Stock |
5,638 | |||||||
| AXOGEN INC |
200 | Shares of Common Stock |
898 | |||||||
| B/E AEROSPACE INC |
300 | Shares of Common Stock |
26,109 | |||||||
| B2GOLD CORP F |
392 | Shares of Common Stock |
792 | |||||||
| BAIDU COM INC ADR F** PEN |
35 | Shares of Common Stock |
6,226 | |||||||
| BANCO SANTANDR CENT ADRFSPONSO |
541 | Shares of Common Stock |
4,907 | |||||||
| BANDERA GOLD LTD F |
500 | Shares of Common Stock |
7 | |||||||
| BANK OF AMERICA CORP |
6,851 | Shares of Common Stock |
106,666 | |||||||
| BARRICK GOLD CORP F |
1,000 | Shares of Common Stock |
17,630 | |||||||
- 17 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| BAXANO SURGICAL INC |
3,761 | Shares of Common Stock |
3,799 | |||||||
| BAXTER INTERNATIONAL INC |
300 | Shares of Common Stock |
20,865 | |||||||
| BAYER A G SPONSORED ADRFSPONSO |
350 | Shares of Common Stock |
49,700 | |||||||
| BAYSWATER URANIUM NEW F |
100 | Shares of Common Stock |
5 | |||||||
| BAYTEX ENERGY CORP F |
15 | Shares of Common Stock |
587 | |||||||
| BED BATH & BEYOND |
50 | Shares of Common Stock |
4,015 | |||||||
| BERKLEY W R CORPORATION |
107 | Shares of Common Stock |
4,622 | |||||||
| BERKSHIRE HATHAWAY B NEWCLASS |
485 | Shares of Common Stock |
57,502 | |||||||
| BEST BUY INC |
100 | Shares of Common Stock |
3,988 | |||||||
| BIOELECTRONICS CORP |
12,000 | Shares of Common Stock |
5 | |||||||
| BIOGEN IDEC INC DUTCH |
100 | Shares of Common Stock |
27,957 | |||||||
| BIOGEN IDEC INC DUTCH |
200 | Shares of Common Stock |
55,914 | |||||||
| BIOMARIN PHARMACEUTICAL |
300 | Shares of Common Stock |
21,105 | |||||||
| BIOPURE CORP CL A NEW TRADIN |
16 | Shares of Common Stock |
— | |||||||
| BLACK HILLS CORP |
600 | Shares of Common Stock |
31,506 | |||||||
| BLACKBERRY LTD F |
500 | Shares of Common Stock |
3,720 | |||||||
| BLACKHAWK NETWORK HLDGS ** PEN |
500 | Shares of Common Stock |
12,630 | |||||||
| BLACKSTONE GROUP LP ** PEN |
578 | Shares of Common Stock |
18,205 | |||||||
| BOEING CO ODDLOT |
70 | Shares of Common Stock |
9,582 | |||||||
| BONANZA OIL & GAS INC TRADIN |
2,400 | Shares of Common Stock |
— | |||||||
| BOSTON SCIENTIFIC CORP |
1,000 | Shares of Common Stock |
12,020 | |||||||
| BP PLC ADR FSPONSO |
760 | Shares of Common Stock |
36,935 | |||||||
| BRANDYWINE REALTY TR NEWREIT |
230 | Shares of Common Stock |
3,235 | |||||||
| BRIGUS GOLD CORP F |
7,000 | Shares of Common Stock |
5,460 | |||||||
| BRINKS CO DUTCH |
40 | Shares of Common Stock |
1,382 | |||||||
| BRISTOL-MYERS SQUIBB CO ODDLOT |
251 | Shares of Common Stock |
13,319 | |||||||
| BROOKFIELD ASSET MGMT FWITH S |
95 | Shares of Common Stock |
3,689 | |||||||
| BROOKS AUTOMATION NEW DUTCH |
31 | Shares of Common Stock |
325 | |||||||
| BRUKER CORPORATION |
600 | Shares of Common Stock |
11,862 | |||||||
| BUFFALO WILD WINGS INC ** PEN |
70 | Shares of Common Stock |
10,304 | |||||||
| BUILDERS FIRSTSOURCE INC |
1,000 | Shares of Common Stock |
7,130 | |||||||
| C V S CAREMARK CORP |
253 | Shares of Common Stock |
18,129 | |||||||
| CADAN RESOURCES NEW F |
100 | Shares of Common Stock |
2 | |||||||
| CAESARSTONE SDOT YAM F** PEN |
500 | Shares of Common Stock |
24,835 | |||||||
| CAI INTERNATIONAL INC ** PEN |
300 | Shares of Common Stock |
7,071 | |||||||
| CALAMP CORP |
380 | Shares of Common Stock |
10,629 | |||||||
| CALLON PETROLEUM CO |
500 | Shares of Common Stock |
3,265 | |||||||
| CALUMET SPECIALTY PROD ** PRI |
215 | Shares of Common Stock |
5,594 | |||||||
| CAMPBELL SOUP COMPANY |
500 | Shares of Common Stock |
21,640 | |||||||
| CANADIAN ZINC CORP F |
545 | Shares of Common Stock |
239 | |||||||
| CAPITAL BK FINL CORP ** PEN |
27 | Shares of Common Stock |
614 | |||||||
| CAPITAL CITY BANK GROUP |
500 | Shares of Common Stock |
5,885 | |||||||
| CAPSTONE MINING CORP F |
200 | Shares of Common Stock |
560 | |||||||
| CARNIVAL CORP NEW FPAIRED |
65 | Shares of Common Stock |
2,611 | |||||||
| CATERPILLAR INC |
270 | Shares of Common Stock |
24,504 | |||||||
| CBOE HOLDINGS INC ** PEN |
55 | Shares of Common Stock |
2,858 | |||||||
| CEL SCI CORP NEW |
10,000 | Shares of Common Stock |
5,919 | |||||||
| CELGENE CORP |
25 | Shares of Common Stock |
4,224 | |||||||
| CENTRAL FD CDA LTD CLA FCLASS |
2,170 | Shares of Common Stock |
28,753 | |||||||
| CENVEO INC |
5,825 | Shares of Common Stock |
20,038 | |||||||
| CERNER CORP |
400 | Shares of Common Stock |
22,296 | |||||||
| CF INDUSTRIES HOLDINGS ** PEN |
35 | Shares of Common Stock |
8,156 | |||||||
| CHESAPEAKE UTIL CORP |
100 | Shares of Common Stock |
6,002 | |||||||
| CHEVRON CORPORATION |
412 | Shares of Common Stock |
51,502 | |||||||
| CHIMERA INVESTMENT CORP ** PEN |
222 | Shares of Common Stock |
687 | |||||||
| CHINA ENERGY SVGS TECH TRADIN |
1,000 | Shares of Common Stock |
— | |||||||
| CHINA MOBILE H K ADR FSPONSO |
50 | Shares of Common Stock |
2,615 | |||||||
| CHINA STHN ARLNS ADR FSPONSO |
100 | Shares of Common Stock |
1,974 | |||||||
| CHIPOTLE MEXICAN GRILL ** PEN |
8 | Shares of Common Stock |
4,262 | |||||||
| CHUBB CORPORATION |
42 | Shares of Common Stock |
4,079 | |||||||
| CISCO SYSTEMS INC |
1,739 | Shares of Common Stock |
39,007 | |||||||
| CITADEL BROADCASTING CP |
12 | Shares of Common Stock |
— | |||||||
| CITIGROUP INC NEW |
6,569 | Shares of Common Stock |
342,310 | |||||||
| CITRIX SYSTEMS INC |
15 | Shares of Common Stock |
949 | |||||||
| COASTAL BANKING COMPANY |
1,000 | Shares of Common Stock |
7,750 | |||||||
| COCA COLA COMPANY |
1,149 | Shares of Common Stock |
47,471 | |||||||
| CODEXIS INC ** PEN |
10,000 | Shares of Common Stock |
14,000 | |||||||
| COEUR MINING INC |
700 | Shares of Common Stock |
7,595 | |||||||
| COGNIZANT TECH SOL CL A |
50 | Shares of Common Stock |
5,049 | |||||||
| COLGATE-PALMOLIVE CO |
140 | Shares of Common Stock |
9,129 | |||||||
| COLONIAL BANCGROUP INC REGIST |
725 | Shares of Common Stock |
— | |||||||
| COMCAST CORP NEW CL A |
238 | Shares of Common Stock |
12,384 | |||||||
| COMCAST CP NEW CL A SPL WITH S |
537 | Shares of Common Stock |
26,786 | |||||||
- 18 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| COMDISCO HOLDING CO RTSRIGHTS |
150 | Shares of Common Stock |
11 | |||||||
| COMMERCIAL METALS CO TENDER |
100 | Shares of Common Stock |
2,033 | |||||||
| COMPANIA DE MINAS ADR FSPONSO |
500 | Shares of Common Stock |
5,610 | |||||||
| COMPUTRZD THERML IMAGINGTRADIN |
1,000 | Shares of Common Stock |
1 | |||||||
| CONAGRA FOODS INC |
200 | Shares of Common Stock |
6,740 | |||||||
| CONOCOPHILLIPS |
1,688 | Shares of Common Stock |
119,277 | |||||||
| CONS WATER CO INC ORD F |
725 | Shares of Common Stock |
10,221 | |||||||
| CONTL PRECIOUS MINERALSF |
1,000 | Shares of Common Stock |
86 | |||||||
| COPA HOLDINGS SA F** PEN |
40 | Shares of Common Stock |
6,404 | |||||||
| COPPER NORTH MNG CORP F |
40 | Shares of Common Stock |
1 | |||||||
| CORINTHIAN COLLEGES INC |
240 | Shares of Common Stock |
427 | |||||||
| CORNING INC |
200 | Shares of Common Stock |
3,564 | |||||||
| COSTCO WHSL CORP NEW |
30 | Shares of Common Stock |
3,600 | |||||||
| COVIDIEN PLC NEW F |
9 | Shares of Common Stock |
624 | |||||||
| CSP VOIS INC |
204 | Shares of Common Stock |
— | |||||||
| CUBESMART |
764 | Shares of Common Stock |
12,185 | |||||||
| CUMMINS INC |
27 | Shares of Common Stock |
3,848 | |||||||
| CYNOSURE INC ** PEN |
600 | Shares of Common Stock |
15,984 | |||||||
| CYS INVESTMENTS INC |
5,293 | Shares of Common Stock |
39,221 | |||||||
| DDR CORP |
221 | Shares of Common Stock |
3,403 | |||||||
| DECODE GENETICS INC XXXPLAN O |
5,900 | Shares of Common Stock |
— | |||||||
| DEERE & CO |
130 | Shares of Common Stock |
11,917 | |||||||
| DELTA AIR LINES INC NEW |
1,500 | Shares of Common Stock |
41,205 | |||||||
| DENISON MINES CORP F |
8,000 | Shares of Common Stock |
9,600 | |||||||
| DEVON ENERGY CP NEW |
200 | Shares of Common Stock |
12,374 | |||||||
| DHT HOLDINGS INC NEW F |
177 | Shares of Common Stock |
1,212 | |||||||
| DIAGEO PLC NEW ADR FSPONSO |
25 | Shares of Common Stock |
3,311 | |||||||
| DIME CMNTY BANCSHARES |
524 | Shares of Common Stock |
8,865 | |||||||
| DIREXION SHS EXCH TRD FDDAILY |
1,500 | Shares of Common Stock |
45,150 | |||||||
| DIREXION SHS NEW ETF DAILY |
1,228 | Shares of Common Stock |
20,839 | |||||||
| DISNEY WALT CO |
429 | Shares of Common Stock |
32,749 | |||||||
| DITEM EXPLORATION INC F |
1,000 | Shares of Common Stock |
4 | |||||||
| DOMINOS PIZZA INC ** PEN |
101 | Shares of Common Stock |
7,057 | |||||||
| DOVER CORPORATION |
50 | Shares of Common Stock |
4,827 | |||||||
| DOW CHEMICAL COMPANY |
200 | Shares of Common Stock |
8,880 | |||||||
| DOW CHEMICAL COMPANY |
210 | Shares of Common Stock |
9,324 | |||||||
| DRYSHIPS INC F** PEN |
100 | Shares of Common Stock |
470 | |||||||
| DU PONT E I DE NEMOUR&CO |
112 | Shares of Common Stock |
7,246 | |||||||
| DUKE ENERGY CORP NEW |
1,239 | Shares of Common Stock |
85,489 | |||||||
| DUPONT FABROS TECHNOLOGY** PEN |
250 | Shares of Common Stock |
6,178 | |||||||
| DYNEX CAPITAL INC NEW REIT |
600 | Shares of Common Stock |
4,800 | |||||||
| E M C CORP MASS |
1,260 | Shares of Common Stock |
31,702 | |||||||
| E O G RESOURCES INC |
624 | Shares of Common Stock |
104,737 | |||||||
| EAGLE PLAINS RESOURCES F |
34,500 | Shares of Common Stock |
2,274 | |||||||
| EARTHLINK INC |
100 | Shares of Common Stock |
507 | |||||||
| EAST ASIA MINERALS CORPF |
700 | Shares of Common Stock |
28 | |||||||
| EATON CORP PLC F |
50 | Shares of Common Stock |
3,806 | |||||||
| EBAY INC |
100 | Shares of Common Stock |
5,487 | |||||||
| ECHELON CORPORATION |
10,180 | Shares of Common Stock |
21,887 | |||||||
| EDDIE BAUER HOLDINGS XXXBANKRU |
5,000 | Shares of Common Stock |
— | |||||||
| EGSHARES ETF EMERGI |
387 | Shares of Common Stock |
10,403 | |||||||
| ELDORADO GOLD CORP NEW F |
1,000 | Shares of Common Stock |
5,690 | |||||||
| ELECTROGLAS CORP XXXREGIST |
400 | Shares of Common Stock |
— | |||||||
| ELMIRA SVGS BK ELMIRA NY |
611 | Shares of Common Stock |
15,386 | |||||||
| ENDEAVOUR INTL CORP NEW |
8 | Shares of Common Stock |
42 | |||||||
| ENDEAVOUR SILVER CORP F |
800 | Shares of Common Stock |
2,904 | |||||||
| ENDURANCE SPECALTY HLDGF |
100 | Shares of Common Stock |
5,867 | |||||||
| ENERGY FUELS INC NEW F |
88 | Shares of Common Stock |
502 | |||||||
| ENERGY TRANSFER PARTNERS** PEN |
500 | Shares of Common Stock |
40,870 | |||||||
| ENERPLUS CORP F |
250 | Shares of Common Stock |
4,545 | |||||||
| ENTERPRISE PRD PRTNRS LP |
45 | Shares of Common Stock |
2,984 | |||||||
| ENTMNT GAMING ASIA NEW |
250 | Shares of Common Stock |
310 | |||||||
| ERICSSON TEL ADR B NEW FCL B S |
120 | Shares of Common Stock |
1,469 | |||||||
| EWORLD COMPANIES INC NEW |
625,000 | Shares of Common Stock |
63 | |||||||
| EXACT SCIENCES CORP |
8,000 | Shares of Common Stock |
94,000 | |||||||
| EXCO RESOURCES 14RTSTRADES |
104 | Shares of Common Stock |
17 | |||||||
| EXCO RESOURCES INC ** PEN |
105 | Shares of Common Stock |
557 | |||||||
| EXELIXIS INC |
1,600 | Shares of Common Stock |
9,808 | |||||||
| EXELON CORPORATION |
120 | Shares of Common Stock |
3,287 | |||||||
| EXPO HOLDING INC |
33,500 | Shares of Common Stock |
— | |||||||
| EXPRESS SCRIPTS HLDG CO |
100 | Shares of Common Stock |
7,024 | |||||||
| EXXON MOBIL CORPORATION |
253 | Shares of Common Stock |
25,627 | |||||||
| FACEBOOK INC CLASS A ** PEN |
1,001 | Shares of Common Stock |
54,704 | |||||||
- 19 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| FAIRFAX FINANCIAL HLDGSF |
50 | Shares of Common Stock |
20,003 | |||||||
| FAIRPOINT COMMUN INC ** PEN |
1 | Shares of Common Stock |
— | |||||||
| FASTENAL CO |
50 | Shares of Common Stock |
2,376 | |||||||
| FEDEX CORPORATION |
25 | Shares of Common Stock |
3,645 | |||||||
| FELLOWS ENERGY LTD TRADIN |
3,500 | Shares of Common Stock |
— | |||||||
| FIDELITY MSCI ETF HEALTH |
114 | Shares of Common Stock |
3,038 | |||||||
| FIFTH STREET FINANCE CP ** PEN |
6,000 | Shares of Common Stock |
55,500 | |||||||
| FINISAR CORP NEW |
300 | Shares of Common Stock |
7,176 | |||||||
| FIRST MAJESTIC SILVER F |
1,000 | Shares of Common Stock |
9,800 | |||||||
| FIRST TR EXCH TRADED FD ISE WA |
196 | Shares of Common Stock |
6,633 | |||||||
| FIRSTHAND TECH VALUE FD |
9 | Shares of Common Stock |
219 | |||||||
| FLAMEL TECH SA ADR FSPONSO |
1,000 | Shares of Common Stock |
8,050 | |||||||
| FORD MOTOR COMPANY NEW TENDER |
435 | Shares of Common Stock |
6,717 | |||||||
| FORD MOTOR COMPANY NEW TENDER |
800 | Shares of Common Stock |
12,344 | |||||||
| FOUNTAIN HEALTHY AGING |
7,500 | Shares of Common Stock |
4 | |||||||
| FREEPORT MCMORAN COPPER |
607 | Shares of Common Stock |
22,897 | |||||||
| FREIGHTCAR AMERICA INC ** PEN |
413 | Shares of Common Stock |
10,990 | |||||||
| FRONTIER COMMUNICATIONS |
15 | Shares of Common Stock |
70 | |||||||
| FRONTIER RARE EARTH ORDF |
4,563 | Shares of Common Stock |
1,592 | |||||||
| FUSE SCIENCE INC |
135,000 | Shares of Common Stock |
3,105 | |||||||
| G T X INC ** PEN |
2,500 | Shares of Common Stock |
4,125 | |||||||
| GABELLI EQUITY TRUST INC |
415 | Shares of Common Stock |
3,215 | |||||||
| GALLAGHER ARTHUR J & CO |
55 | Shares of Common Stock |
2,581 | |||||||
| GAMESTOP CORP CL A NEW |
552 | Shares of Common Stock |
27,202 | |||||||
| GENERAL ELECTRIC COMPANY |
2,356 | Shares of Common Stock |
66,052 | |||||||
| GENERAL MILLS INC |
365 | Shares of Common Stock |
18,211 | |||||||
| GENERAL MOLY INC |
3,000 | Shares of Common Stock |
4,020 | |||||||
| GENUINE PARTS CO |
180 | Shares of Common Stock |
14,974 | |||||||
| GENWORTH FINANCIAL INC ** PEN |
250 | Shares of Common Stock |
3,883 | |||||||
| GERON CORP |
400 | Shares of Common Stock |
1,896 | |||||||
| GETTY REALTY CORP NEW REIT |
304 | Shares of Common Stock |
5,583 | |||||||
| GIANT INTERACTIVE ADR F** PEN |
50 | Shares of Common Stock |
562 | |||||||
| GILEAD SCIENCES INC |
300 | Shares of Common Stock |
22,530 | |||||||
| GILEAD SCIENCES INC |
1,050 | Shares of Common Stock |
78,855 | |||||||
| GLAXOSMITHKLINE PLC ADRFSPONSO |
242 | Shares of Common Stock |
12,932 | |||||||
| GLOBAL ALUMINA CORP FDUTCH |
11,000 | Shares of Common Stock |
— | |||||||
| GLOBAL GEOPHYSICAL SERV ** PEN |
10,000 | Shares of Common Stock |
16,100 | |||||||
| GLOBAL PEOPLELINE TELECOREGIST |
3 | Shares of Common Stock |
— | |||||||
| GOLD CANYON RES INC F |
27,000 | Shares of Common Stock |
5,778 | |||||||
| GOLDCORP INC NEW FEXCHAN |
32 | Shares of Common Stock |
693 | |||||||
| GOLDEN GOLIATH RES LTD F |
21,000 | Shares of Common Stock |
935 | |||||||
| GOLDEN MINERALS CO |
250 | Shares of Common Stock |
118 | |||||||
| GOLDMAN SACHS GROUP INC |
37 | Shares of Common Stock |
6,509 | |||||||
| GOOGLE INC ** PEN |
60 | Shares of Common Stock |
67,243 | |||||||
| GRACO INCORPORATED |
40 | Shares of Common Stock |
3,125 | |||||||
| GRAFTECH INTERNATIONAL |
100 | Shares of Common Stock |
1,123 | |||||||
| GRAMERCY PPTY TR INC REIT |
13,500 | Shares of Common Stock |
77,625 | |||||||
| GREAT PANTHER SILVER F |
3,000 | Shares of Common Stock |
2,190 | |||||||
| GREAT WESTN MNRLS GROUPF |
10,000 | Shares of Common Stock |
700 | |||||||
| GREEN EARTH TECHS INC |
5,000 | Shares of Common Stock |
254 | |||||||
| GREEN MTN COFFEE ROASTER |
200 | Shares of Common Stock |
15,108 | |||||||
| GREENLAND MIN & EGY ORDF |
10,000 | Shares of Common Stock |
1,834 | |||||||
| GSV CAPITAL CORP |
50 | Shares of Common Stock |
605 | |||||||
| GUGGENHEIM EXCH TRD FD BRIC E |
173 | Shares of Common Stock |
5,980 | |||||||
| GULF RESOURCES INC NEW |
113 | Shares of Common Stock |
266 | |||||||
| GULFPORT ENERGY CP NEW |
350 | Shares of Common Stock |
22,096 | |||||||
| GUYANA FRONTIER MINING F |
9,000 | Shares of Common Stock |
18 | |||||||
| H C P INC REIT |
304 | Shares of Common Stock |
11,041 | |||||||
| HALCON RESOURCES NEW |
5,543 | Shares of Common Stock |
21,396 | |||||||
| HALLIBURTON CO HLDG CO EXCHAN |
10 | Shares of Common Stock |
508 | |||||||
| HARD TO TREAT DISEASES |
42,000 | Shares of Common Stock |
4 | |||||||
| HARRIS CORPORATION |
150 | Shares of Common Stock |
10,472 | |||||||
| HARTE-HANKS INCORPORATED |
1,011 | Shares of Common Stock |
7,908 | |||||||
| HARTFORD FINL SVCS GRP |
200 | Shares of Common Stock |
7,246 | |||||||
| HAWAIIAN ELEC INDUSTRIES |
1,000 | Shares of Common Stock |
26,060 | |||||||
| HEALTH CARE REIT INC REIT |
257 | Shares of Common Stock |
13,778 | |||||||
| HEALTHSOUTH CORP NEW |
680 | Shares of Common Stock |
22,658 | |||||||
| HELICOS BIOSCIENCES CORP** PEN |
520 | Shares of Common Stock |
2 | |||||||
| HERBALIFE LTD F** PEN |
200 | Shares of Common Stock |
15,740 | |||||||
| HERSHEY COMPANY |
26 | Shares of Common Stock |
2,544 | |||||||
| HEWLETT-PACKARD COMPANY |
755 | Shares of Common Stock |
21,133 | |||||||
| HILTON WORLDWIDE HLDGS ** PEN |
125 | Shares of Common Stock |
2,781 | |||||||
| HOLLYFRONTIER CORP |
48 | Shares of Common Stock |
2,385 | |||||||
- 20 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| HOME DEPOT INC TENDER |
351 | Shares of Common Stock |
28,904 | |||||||
| HONEYWELL INTERNATIONAL |
32 | Shares of Common Stock |
2,931 | |||||||
| HOOPER HOLMES INC |
500 | Shares of Common Stock |
265 | |||||||
| HORMEL FOODS CORP |
700 | Shares of Common Stock |
31,619 | |||||||
| HUDSON CITY BANCORP INC |
700 | Shares of Common Stock |
6,601 | |||||||
| IAMGOLD CORPORATION FEXCHAN |
500 | Shares of Common Stock |
1,665 | |||||||
| IMPACT SILVER CORP F |
1,000 | Shares of Common Stock |
418 | |||||||
| INGERSOLL RAND CL A NEWFIRELAN |
28 | Shares of Common Stock |
1,716 | |||||||
| INOVIO PHARMACEUTICALS |
26,000 | Shares of Common Stock |
75,400 | |||||||
| INSPIREMD INC NEW |
5,000 | Shares of Common Stock |
12,300 | |||||||
| INTEL CORP |
5,678 | Shares of Common Stock |
147,365 | |||||||
| INTERNATIONAL PAPER CO DUTCH |
1,515 | Shares of Common Stock |
74,285 | |||||||
| INTERPHARM HOLDINGS INC TRADIN |
1,000 | Shares of Common Stock |
— | |||||||
| INTL BUSINESS MACHINES |
340 | Shares of Common Stock |
63,847 | |||||||
| INVENSENSE INC ** PEN |
500 | Shares of Common Stock |
10,390 | |||||||
| INVESCO MORTGAGE CAPITAL** PEN |
761 | Shares of Common Stock |
11,165 | |||||||
| INVESCO MUNI OPPORTUNITYTRUST |
3,000 | Shares of Common Stock |
35,130 | |||||||
| ION GEOPHYSICAL CORP |
2,000 | Shares of Common Stock |
6,600 | |||||||
| IPG PHOTONICS CORP ** PEN |
200 | Shares of Common Stock |
15,522 | |||||||
| IQ HEDGE MAC TRACKER ETFMACRO |
565 | Shares of Common Stock |
14,826 | |||||||
| IROBOT CORP ** PEN |
50 | Shares of Common Stock |
1,739 | |||||||
| ISCO INTERNATIONAL INXXXBANKRU |
53,770 | Shares of Common Stock |
— | |||||||
| ISHARES CORE S&P ETF S&P 50 |
52 | Shares of Common Stock |
9,730 | |||||||
| ISHARES ETF AAA- A |
252 | Shares of Common Stock |
12,547 | |||||||
| ISHARES MSCI EMRG MKT FDWITH S |
624 | Shares of Common Stock |
26,080 | |||||||
| ISHARES MSCI ETF EAFE M |
243 | Shares of Common Stock |
14,970 | |||||||
| ISHARES MSCI GRMNY GERMAN |
1,547 | Shares of Common Stock |
49,133 | |||||||
| ISHARES MSCI KOREA ETF CAPPED |
40 | Shares of Common Stock |
2,587 | |||||||
| ISHARES MSCI UTD KINGDM UNITED |
1,091 | Shares of Common Stock |
22,780 | |||||||
| ISHARES NASDAQ BIO ETF NASDAQ |
58 | Shares of Common Stock |
13,173 | |||||||
| ISHARES SILVER TRUST INDEX |
1,943 | Shares of Common Stock |
36,354 | |||||||
| ISHARES TR COMEX GOLD ** PEN |
4,245 | Shares of Common Stock |
49,582 | |||||||
| ISHARES TR LEHMAN BD FD LEHMAN |
203 | Shares of Common Stock |
20,146 | |||||||
| ISHARES TR MSCI EAFE FD WITH S |
343 | Shares of Common Stock |
22,995 | |||||||
| ISHARES TR RUSSELL 1000 RUSSEL |
588 | Shares of Common Stock |
50,539 | |||||||
| ISHARES TR RUSSELL 2000 WITH S |
449 | Shares of Common Stock |
51,812 | |||||||
| ISHARES TR S&P 500 BARRAS&P 50 |
173 | Shares of Common Stock |
17,084 | |||||||
| ISHARES TR S&P LATN AMERS&P LA |
112 | Shares of Common Stock |
4,158 | |||||||
| ISHARES TR TIPS BOND E |
215 | Shares of Common Stock |
23,602 | |||||||
| ISHARES TR US INDL US IND |
1,067 | Shares of Common Stock |
108,126 | |||||||
| ISHARES U S PFD ETF U S PF |
130 | Shares of Common Stock |
4,788 | |||||||
| ISHARES US BROKER DEALER |
134 | Shares of Common Stock |
5,170 | |||||||
| ISIS PHARMACEUTICALS INC |
600 | Shares of Common Stock |
23,904 | |||||||
| ITC HOLDINGS CORP ** PEN |
55 | Shares of Common Stock |
5,270 | |||||||
| JABIL CIRCUIT INC |
51 | Shares of Common Stock |
886 | |||||||
| JADE ART GROUP INC NEW |
45,000 | Shares of Common Stock |
450 | |||||||
| JDS UNIPHASE CORP NEW |
178 | Shares of Common Stock |
2,311 | |||||||
| JET METAL CORP F |
36 | Shares of Common Stock |
6 | |||||||
| JOES JEANS INC |
10,000 | Shares of Common Stock |
11,000 | |||||||
| JOHNSON & JOHNSON |
979 | Shares of Common Stock |
89,646 | |||||||
| JPMORGAN CHASE & CO |
285 | Shares of Common Stock |
16,672 | |||||||
| K L A TENCOR CORP |
1 | Shares of Common Stock |
36 | |||||||
| KANSAS CITY SOUTHERN |
305 | Shares of Common Stock |
37,756 | |||||||
| KAR AUCTION SERVICES ** PEN |
135 | Shares of Common Stock |
3,989 | |||||||
| KIMBERLY-CLARK CORP |
371 | Shares of Common Stock |
38,789 | |||||||
| KINDER MORGAN ENERGY LP UNIT L |
162 | Shares of Common Stock |
13,100 | |||||||
| KINDER MORGAN ENERGY LP UNIT L |
388 | Shares of Common Stock |
31,287 | |||||||
| KINDER MORGAN HOLDCO LLC** PEN |
102 | Shares of Common Stock |
3,681 | |||||||
| KINDER MORGAN MGMT LLC |
298 | Shares of Common Stock |
22,535 | |||||||
| KINROSS GOLD CORP NEW F |
2,500 | Shares of Common Stock |
10,950 | |||||||
| KNIGHTSBRDG TANKERS ORDF |
300 | Shares of Common Stock |
2,757 | |||||||
| KRAFT FOODS GROUP |
286 | Shares of Common Stock |
15,393 | |||||||
| KRISPY KREME DOUGHNUT CP |
500 | Shares of Common Stock |
9,645 | |||||||
| KULICKE & SOFFA INDS INC |
1,000 | Shares of Common Stock |
13,300 | |||||||
| L BRANDS INC |
151 | Shares of Common Stock |
9,342 | |||||||
| L INTERNATIONAL COMPUTERTRADIN |
200 | Shares of Common Stock |
— | |||||||
| LAB CP OF AMER HLDG NEW |
400 | Shares of Common Stock |
36,548 | |||||||
| LEUCADIA NATIONAL CORP |
200 | Shares of Common Stock |
5,668 | |||||||
| LEVEL 3 COMMUN NEW |
116 | Shares of Common Stock |
3,848 | |||||||
| LEXICON PHARMACEUTICALS |
40 | Shares of Common Stock |
72 | |||||||
| LIGHTBRIDGE CORP |
17 | Shares of Common Stock |
25 | |||||||
| LILLY ELI & COMPANY ODDLOT |
743 | Shares of Common Stock |
37,889 | |||||||
| LINDSAY CORPORATION |
75 | Shares of Common Stock |
6,206 | |||||||
- 21 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value |
||||||||
| LINKEDIN ** PEN |
15 | Shares of Common Stock |
3,252 | |||||||
| LINNCO LLC ** PEN |
5,500 | Shares of Common Stock |
169,455 | |||||||
| LOCALSHARES INVT TR ETF NASHVI |
206 | Shares of Common Stock |
5,611 | |||||||
| LOCKHEED MARTIN CORP |
30 | Shares of Common Stock |
4,460 | |||||||
| LOEWS CORPORATION |
252 | Shares of Common Stock |
12,156 | |||||||
| LONGTOP FINL TECH ADS F** PEN |
250 | Shares of Common Stock |
— | |||||||
| LORILLARD INC |
85 | Shares of Common Stock |
4,308 | |||||||
| LOWES COMPANIES INC |
222 | Shares of Common Stock |
11,000 | |||||||
| LSI CORPORATION |
107 | Shares of Common Stock |
1,177 | |||||||
| LULULEMON CORP ** PEN |
104 | Shares of Common Stock |
6,139 | |||||||
| LUMBER LIQUIDATORS HLDGS |
70 | Shares of Common Stock |
7,202 | |||||||
| LUXEYARD INC |
1,500 | Shares of Common Stock |
18 | |||||||
| LUXFER HLDGS PLC ADR F** PEN |
725 | Shares of Common Stock |
15,124 | |||||||
| LYONDELLBASELL INDS FCLASS |
75 | Shares of Common Stock |
6,021 | |||||||
| M D U RESOURCES GROUP |
529 | Shares of Common Stock |
16,161 | |||||||
| MACQUARIE INFRASTRUC LLC |
110 | Shares of Common Stock |
5,987 | |||||||
| MACYS INC |
50 | Shares of Common Stock |
2,691 | |||||||
| MAGELLAN MIDSTREAM PTNRS |
65 | Shares of Common Stock |
4,113 | |||||||
| MAGNUM HUNTER RESOURCES |
1,220 | Shares of Common Stock |
8,918 | |||||||
| MAGNUM HUNTER S CORP WTSWARRAN |
622 | Shares of Common Stock |
— | |||||||
| MALLINCKRODT PUB F |
1 | Shares of Common Stock |
52 | |||||||
| MANITOWOC COMPANY INC |
3 | Shares of Common Stock |
73 | |||||||
| MANNKIND CORP |
51,350 | Shares of Common Stock |
267,020 | |||||||
| MARKET VECTORS ETF ** PEN |
30 | Shares of Common Stock |
889 | |||||||
| MARSH & MC LENNAN CO INC |
46 | Shares of Common Stock |
2,225 | |||||||
| MASCO CORP |
200 | Shares of Common Stock |
4,554 | |||||||
| MATTEL INCORPORATED |
287 | Shares of Common Stock |
13,674 | |||||||
| MC CORMICK & CO INC N-VTNON VO |
172 | Shares of Common Stock |
11,854 | |||||||
| MC DONALDS CORP EXCHAN |
1,870 | Shares of Common Stock |
181,487 | |||||||
| MEADOWBROOK INSURANCE GP |
113 | Shares of Common Stock |
786 | |||||||
| MEDIVATION INC |
326 | Shares of Common Stock |
20,805 | |||||||
| MEGA URANIUM LTD F |
14,000 | Shares of Common Stock |
1,085 | |||||||
| MELCO PBL ENTMT LTD ADRF**PEND |
5,475 | Shares of Common Stock |
214,730 | |||||||
| MERCK & CO INC NEW |
504 | Shares of Common Stock |
25,234 | |||||||
| MERGE HEALTHCARE INC |
10,000 | Shares of Common Stock |
23,200 | |||||||
| MERITAGE HOMES CORP |
500 | Shares of Common Stock |
23,995 | |||||||
| METANOR RESOURCES F |
8,500 | Shares of Common Stock |
938 | |||||||
| METLIFE INC |
200 | Shares of Common Stock |
10,784 | |||||||
| MFA FINANCIAL INC REIT |
5,000 | Shares of Common Stock |
35,300 | |||||||
| MGM MIRAGE TENDER |
42 | Shares of Common Stock |
988 | |||||||
| MICROCHIP TECHNOLOGY INC |
90 | Shares of Common Stock |
4,028 | |||||||
| MICROSOFT CORP DUTCH |
3,905 | Shares of Common Stock |
146,088 | |||||||
| MILLENNIUM CELL INC |
5,000 | Shares of Common Stock |
5 | |||||||
| MIND TECHNOLOGIES INC TRADIN |
10,000 | Shares of Common Stock |
— | |||||||
| MINDRAY MED INTL ADR F** PEN |
200 | Shares of Common Stock |
7,272 | |||||||
| MIRANDA GOLD CORP F |
23,000 | Shares of Common Stock |
3,266 | |||||||
| MISTRAS GROUP INC ** PEN |
123 | Shares of Common Stock |
2,568 | |||||||
| MIZUHO FINL GROUP ADR FSPONSO |
2,000 | Shares of Common Stock |
8,720 | |||||||
| MOLSON COORS BREWING CLB |
26 | Shares of Common Stock |
1,465 | |||||||
| MOLYCORP INC ** PEN |
1,100 | Shares of Common Stock |
6,182 | |||||||
| MONDELEZ INTL INC CL A |
561 | Shares of Common Stock |
19,798 | |||||||
| MONSTER WORLDWIDE INC |
2,500 | Shares of Common Stock |
17,825 | |||||||
| MONTPELIER RE HLDGS LTDF |
115 | Shares of Common Stock |
3,355 | |||||||
| MORGAN STANLEY |
1,000 | Shares of Common Stock |
31,360 | |||||||
| MORGAN STANLEY |
5,561 | Shares of Common Stock |
174,401 | |||||||
| MOSAIC CO NEW |
252 | Shares of Common Stock |
11,891 | |||||||
| MOTOROLA SOLUTIONS INC |
31 | Shares of Common Stock |
2,112 | |||||||
| MULTICELL TECHS INC NEW |
7,500 | Shares of Common Stock |
4 | |||||||
| NAM TAI ELECTRONICS NEWF |
1,516 | Shares of Common Stock |
10,823 | |||||||
| NATIONAL GRID PLC ADR FSPONSO |
571 | Shares of Common Stock |
37,268 | |||||||
| NATIONAL OILWELL VARCO |
256 | Shares of Common Stock |
20,326 | |||||||
| NATL SCIENTIFIC CORP |
250 | Shares of Common Stock |
6 | |||||||
| NESTLE S A REG B ADR F1 ADR |
25 | Shares of Common Stock |
1,840 | |||||||
| NET 1 UEPS TECHS NEW |
300 | Shares of Common Stock |
2,619 | |||||||
| NETFLIX INC |
32 | Shares of Common Stock |
11,781 | |||||||
| NETSOL TECHNOLOGIES NEW |
75 | Shares of Common Stock |
437 | |||||||
| NEVSUN RESOURCES LTD F |
2,000 | Shares of Common Stock |
6,640 | |||||||
| NEW GOLD INC F |
1,000 | Shares of Common Stock |
5,240 | |||||||
| NEW RESIDENTIAL INV CORP |
6,000 | Shares of Common Stock |
40,080 | |||||||
| NEW YORK CMNTY BANCORP |
1,236 | Shares of Common Stock |
20,831 | |||||||
| NEW YORK MTG TRUST NEW REIT |
350 | Shares of Common Stock |
2,447 | |||||||
| NEWBRIDGE BANCORP CLASS |
1,000 | Shares of Common Stock |
7,425 | |||||||
| NEWCASTLE INVESTMENT CP REIT |
6,000 | Shares of Common Stock |
34,440 | |||||||
- 22 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value | ||||||||
| NIKE INC CLASS B |
100 | Shares of Common Stock |
7,873 | |||||||
| NOBLE ENERGY INC |
300 | Shares of Common Stock |
20,433 | |||||||
| NORDIC AMERN TANKR LTD F |
8 | Shares of Common Stock |
81 | |||||||
| NORFOLK SOUTHERN CORP |
125 | Shares of Common Stock |
11,604 | |||||||
| NORTH AMERN DATACOM INC |
1,000 | Shares of Common Stock |
— | |||||||
| NORTHEAST BANCORP NEW |
700 | Shares of Common Stock |
6,706 | |||||||
| NORTHISLE COPPER & GOLDF |
40 | Shares of Common Stock |
1 | |||||||
| NORTHSTAR REALTY FIN CP ** PEN |
3,000 | Shares of Common Stock |
40,350 | |||||||
| NOVARTIS A G SPON ADR FSPONSO |
277 | Shares of Common Stock |
22,265 | |||||||
| NUANCE COMMUN INC |
200 | Shares of Common Stock |
3,040 | |||||||
| NUTRACEUTICAL INTL CORP |
100 | Shares of Common Stock |
2,678 | |||||||
| NUVERRA ENVIRONMENTL NEW |
620 | Shares of Common Stock |
10,410 | |||||||
| NXP SEMICONDUCTORS NV F** PEN |
150 | Shares of Common Stock |
6,890 | |||||||
| OBN HOLDINGS INC NEW TRADIN |
200 | Shares of Common Stock |
— | |||||||
| OCCIDENTAL PETE CORP |
133 | Shares of Common Stock |
12,653 | |||||||
| ONCOSEC MED INC |
1,000 | Shares of Common Stock |
480 | |||||||
| OPKO HEALTH INC |
1,400 | Shares of Common Stock |
11,816 | |||||||
| ORACLE CORPORATION |
1,097 | Shares of Common Stock |
41,962 | |||||||
| ORGANOVO HLDGS INC |
5,000 | Shares of Common Stock |
55,350 | |||||||
| OXUS GOLD PLC WEF ORD F |
202,700 | Shares of Common Stock |
7,703 | |||||||
| P I C O HOLDINGS INC NEW |
245 | Shares of Common Stock |
5,662 | |||||||
| PALADIN ENERGY LTD ORD FCANADI |
1,000 | Shares of Common Stock |
423 | |||||||
| PAN AMERICAN SILVER CP F |
200 | Shares of Common Stock |
2,340 | |||||||
| PANERA BREAD CO CL A |
25 | Shares of Common Stock |
4,417 | |||||||
| PARAMOUNT GOLD AND SILVRTRADIN |
22,000 | Shares of Common Stock |
20,500 | |||||||
| PARKER-HANNIFIN CORP |
65 | Shares of Common Stock |
8,362 | |||||||
| PARTNERRE LTD F |
225 | Shares of Common Stock |
23,722 | |||||||
| PATRIOT COAL CORP XXXBANKRU |
1,500 | Shares of Common Stock |
6 | |||||||
| PATRIOT NATL BANCORP INC |
3,300 | Shares of Common Stock |
3,432 | |||||||
| PEABODY ENERGY CORP |
650 | Shares of Common Stock |
12,695 | |||||||
| PENNEY J C CO INC |
1,700 | Shares of Common Stock |
15,555 | |||||||
| PENTAIR LTD F |
8 | Shares of Common Stock |
621 | |||||||
| PEPSICO INCORPORATED |
723 | Shares of Common Stock |
59,959 | |||||||
| PERRIGO CO PLC FUS SHA |
251 | Shares of Common Stock |
38,518 | |||||||
| PETROLEO BRASILEIRO ADRFSA PET |
935 | Shares of Common Stock |
12,884 | |||||||
| PFIZER INCORPORATED ODDLOT |
817 | Shares of Common Stock |
25,012 | |||||||
| PHARMATHENE INC |
5,000 | Shares of Common Stock |
9,300 | |||||||
| PHILIP MORRIS INTL INC |
345 | Shares of Common Stock |
30,086 | |||||||
| PHILLIPS 66 |
702 | Shares of Common Stock |
54,145 | |||||||
| PIMCO CORP & INC OPPTY FUND |
342 | Shares of Common Stock |
5,902 | |||||||
| PIMCO CORP INCOME STRATE |
800 | Shares of Common Stock |
12,640 | |||||||
| PIMCO DYNAMIC CDT INC FD** PEN |
2,000 | Shares of Common Stock |
44,960 | |||||||
| PIMCO ETF 0-5 YR |
555 | Shares of Common Stock |
59,030 | |||||||
| PIMCO EXCH TRADED FUND TOTAL |
154 | Shares of Common Stock |
16,096 | |||||||
| PIMCO INCOME STRA FD II |
500 | Shares of Common Stock |
4,975 | |||||||
| PINETREE CAPITAL NEW F |
1,500 | Shares of Common Stock |
467 | |||||||
| PIONEER NATURAL RES CO |
300 | Shares of Common Stock |
55,221 | |||||||
| PLAINS ALL AMERN PPLN LPWITH S |
35 | Shares of Common Stock |
1,812 | |||||||
| PLUG POWER INC NEW |
1,000 | Shares of Common Stock |
1,550 | |||||||
| PLUM CREEK TIMBER CO REIT |
200 | Shares of Common Stock |
9,302 | |||||||
| POLARIS INDUSTRIES INC |
15 | Shares of Common Stock |
2,185 | |||||||
| PORTLAND GENERAL ELEC |
850 | Shares of Common Stock |
25,670 | |||||||
| POSITIVEID CORP NEW |
20,000 | Shares of Common Stock |
552 | |||||||
| POTASH CORP SASK INC FTENDER |
500 | Shares of Common Stock |
16,480 | |||||||
| POWERSHARES ETF FD TR IIS&P SM |
30 | Shares of Common Stock |
1,375 | |||||||
| POWERSHARES ETF SENIOR |
2,200 | Shares of Common Stock |
54,736 | |||||||
| POWERSHARES S&P ETF 500 LO |
668 | Shares of Common Stock |
22,151 | |||||||
| POWERSHS DB COMMDTY INDX |
991 | Shares of Common Stock |
25,429 | |||||||
| POWERSHS EXCH TRAD FD TRDYNAMI |
66 | Shares of Common Stock |
1,913 | |||||||
| POWERSHS EXCH TRAD FD TRFUNDAM |
156 | Shares of Common Stock |
3,691 | |||||||
| POWERSHS EXCH TRAD FD TRGLOBAL |
288 | Shares of Common Stock |
6,644 | |||||||
| POWERSHS EXCH TRAD FD TRPOWERS |
100 | Shares of Common Stock |
8,294 | |||||||
| POWERSHS EXCH TRAD FD TRPOWERS |
514 | Shares of Common Stock |
10,496 | |||||||
| POWERSHS EXCH TRAD FD TRPREFER |
5,000 | Shares of Common Stock |
67,200 | |||||||
| POWERSHS QQQ TRUST SER 1 |
854 | Shares of Common Stock |
75,149 | |||||||
| PPM INVESTMENTS ORD F |
919 | Shares of Common Stock |
3,937 | |||||||
| PRAXAIR INC |
15 | Shares of Common Stock |
1,950 | |||||||
| PRECISION DRILLING CORPF |
965 | Shares of Common Stock |
9,042 | |||||||
| PRICELINE.COM INC NEW |
25 | Shares of Common Stock |
29,060 | |||||||
| PROCTER & GAMBLE EXCHAN |
679 | Shares of Common Stock |
55,304 | |||||||
| PROSHARES SHORT S&P 500 |
130 | Shares of Common Stock |
3,280 | |||||||
| PROSHARES TRUST ETF ULTRAS |
1,300 | Shares of Common Stock |
39,390 | |||||||
| PROSHS ULTRASHRT ETF NEWULTRAS |
75 | Shares of Common Stock |
2,225 | |||||||
- 23 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value | ||||||||
| PROSHS ULTRASHRT ETF NEWULTRAS |
1,685 | Shares of Common Stock |
133,452 | |||||||
| PROSHS ULTRASHT ETF NEW MSCI U |
12 | Shares of Common Stock |
501 | |||||||
| PROSPECT CAPITAL CORP |
5,000 | Shares of Common Stock |
56,100 | |||||||
| PROTHENA CORP PLC F |
80 | Shares of Common Stock |
2,122 | |||||||
| PUB SVC ENT GROUP INC |
750 | Shares of Common Stock |
24,030 | |||||||
| PUMA EXPLORATION INC F |
6,650 | Shares of Common Stock |
1,224 | |||||||
| PVH CORP |
10 | Shares of Common Stock |
1,367 | |||||||
| QUALCOMM INC |
200 | Shares of Common Stock |
14,850 | |||||||
| QUALCOMM INC |
340 | Shares of Common Stock |
25,245 | |||||||
| QUALMARK CORP |
400 | Shares of Common Stock |
240 | |||||||
| QUALYS INC ** PEN |
700 | Shares of Common Stock |
16,177 | |||||||
| QUICKSILVER RESOURCES |
2,000 | Shares of Common Stock |
6,140 | |||||||
| R A I T FINANCIAL TR NEW |
9,100 | Shares of Common Stock |
81,627 | |||||||
| R F MICRO DEVICES INC |
1,000 | Shares of Common Stock |
5,160 | |||||||
| RADIUS GOLD INC F |
25,000 | Shares of Common Stock |
2,460 | |||||||
| RAMBUS INC DEL |
484 | Shares of Common Stock |
4,583 | |||||||
| RANDGOLD RES LTD ADR FSPONSO |
241 | Shares of Common Stock |
15,137 | |||||||
| RANGE RESOURCES CORP |
100 | Shares of Common Stock |
8,431 | |||||||
| RAYONIER INC REIT |
127 | Shares of Common Stock |
5,351 | |||||||
| RAYTHEON COMPANY NEW ODD LO |
509 | Shares of Common Stock |
46,202 | |||||||
| REGENERON PHARMS INC |
210 | Shares of Common Stock |
57,800 | |||||||
| RELIANCE STL & ALUMINUM |
153 | Shares of Common Stock |
11,574 | |||||||
| RESMED INC |
100 | Shares of Common Stock |
4,708 | |||||||
| RITE AID CORPORATION |
100 | Shares of Common Stock |
506 | |||||||
| ROCKWELL AUTOMATION INC |
24 | Shares of Common Stock |
2,836 | |||||||
| ROCKWELL COLLINS INC |
9 | Shares of Common Stock |
665 | |||||||
| ROCKWOOD HOLDINGS INC ** PEN |
100 | Shares of Common Stock |
7,192 | |||||||
| ROVI CORPORATION |
76 | Shares of Common Stock |
1,496 | |||||||
| ROWE T PRICE GROUP INC |
80 | Shares of Common Stock |
6,702 | |||||||
| ROYAL GOLD INC |
200 | Shares of Common Stock |
9,214 | |||||||
| ROYCE GLOBAL VALUE TR |
68 | Shares of Common Stock |
605 | |||||||
| ROYCE VALUE TRUST INC |
486 | Shares of Common Stock |
7,784 | |||||||
| S P D R S&P 500 ETF TR EXPIRI |
848 | Shares of Common Stock |
156,538 | |||||||
| SALESFORCE COM ** PEN |
220 | Shares of Common Stock |
12,142 | |||||||
| SANDSTORM GOLD 14 WTSFWARRAN |
4,000 | Shares of Common Stock |
1,064 | |||||||
| SANGUINE CORP NEW |
200 | Shares of Common Stock |
14 | |||||||
| SANTANA MINERALS ORD F**PRIV |
4,000 | Shares of Common Stock |
376 | |||||||
| SCH FND EM LG ETF |
190 | Shares of Common Stock |
5,103 | |||||||
| SCH FND INTL LG ETF |
196 | Shares of Common Stock |
5,477 | |||||||
| SCH FND US LG ETF |
202 | Shares of Common Stock |
5,501 | |||||||
| SCH FND US SM ETF |
201 | Shares of Common Stock |
5,617 | |||||||
| SCH US MID-CAP ETF |
353 | Shares of Common Stock |
13,202 | |||||||
| SCHEIN HENRY INC |
120 | Shares of Common Stock |
13,711 | |||||||
| SCHLUMBERGER LTD F |
200 | Shares of Common Stock |
18,022 | |||||||
| SCHW US LCAP ETF |
411 | Shares of Common Stock |
18,113 | |||||||
| SCHW US LCAP VAL ETF |
2,329 | Shares of Common Stock |
94,861 | |||||||
| SCHW US SCAP ETF |
459 | Shares of Common Stock |
24,109 | |||||||
| SCOR ADR FSPONSO |
1,000 | Shares of Common Stock |
3,620 | |||||||
| SEADRILL LTD F |
1,295 | Shares of Common Stock |
53,218 | |||||||
| SEALED AIR CORP NEW |
117 | Shares of Common Stock |
3,982 | |||||||
| SEATTLE GENETICS INC |
1,419 | Shares of Common Stock |
56,604 | |||||||
| SECTOR SPDR ENGY SELECT SHARES |
100 | Shares of Common Stock |
8,851 | |||||||
| SECTOR SPDR FINCL SELECTSHARES |
903 | Shares of Common Stock |
19,738 | |||||||
| SECTOR SPDR INDL SELECT SHARES |
15 | Shares of Common Stock |
790 | |||||||
| SECTOR SPDR MATERIALS FDSHARES |
4 | Shares of Common Stock |
186 | |||||||
| SECTOR SPDR UTIL SELECT SHARES |
149 | Shares of Common Stock |
5,653 | |||||||
| SENOMYX INC ** PEN |
1,000 | Shares of Common Stock |
5,060 | |||||||
| SHERWIN WILLIAMS CO |
20 | Shares of Common Stock |
3,690 | |||||||
| SIEMENS A G ADR F1 ADR |
230 | Shares of Common Stock |
31,857 | |||||||
| SILGAN HOLDINGS INC TENDER |
103 | Shares of Common Stock |
4,962 | |||||||
| SILICON GRAPHICS INC XXXBANKRU |
1,000 | Shares of Common Stock |
— | |||||||
| SILVER WHEATON CORP F |
1,288 | Shares of Common Stock |
26,005 | |||||||
| SIRIUS XM HLDGS INC |
12,619 | Shares of Common Stock |
44,040 | |||||||
| SIX FLAGS ENTERTAINMENT |
35 | Shares of Common Stock |
1,289 | |||||||
| SJM HOLDINGS LTD ORD F |
16,000 | Shares of Common Stock |
53,651 | |||||||
| SMAVE SOLUTIONS INC |
15 | Shares of Common Stock |
— | |||||||
| SOLAR CAPITAL LTD ** PEN |
300 | Shares of Common Stock |
6,765 | |||||||
| SONDE RESOURCES CORP F |
10,000 | Shares of Common Stock |
6,900 | |||||||
| SONICBLUE INC XXXBANKRU |
700 | Shares of Common Stock |
— | |||||||
| SONY CORP ADR NEW F1 ADR |
100 | Shares of Common Stock |
1,729 | |||||||
| SOUTHERN ARC MINERALS F |
16,000 | Shares of Common Stock |
909 | |||||||
| SOUTHERN COPPER CORP |
172 | Shares of Common Stock |
4,935 | |||||||
| SOUTHWEST AIRLINES CO |
100 | Shares of Common Stock |
1,884 | |||||||
- 24 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value | ||||||||
| SPDR BARCLAYS ETF 1-3 YE |
1,123 | Shares of Common Stock |
34,465 | |||||||
| SPDR GOLD TRUST SPDR G |
387 | Shares of Common Stock |
44,938 | |||||||
| SPDR S&P DIVIDEND ETF |
470 | Shares of Common Stock |
34,153 | |||||||
| SPDR S&P GLOBAL ETF NATURA |
314 | Shares of Common Stock |
15,775 | |||||||
| SPDR SERIES TRUST ETF DB INT |
308 | Shares of Common Stock |
18,031 | |||||||
| SPDR SSGA EXCH TRADED FDBLACKS |
405 | Shares of Common Stock |
20,258 | |||||||
| SPECTRA ENERGY CORP |
1,330 | Shares of Common Stock |
47,375 | |||||||
| SPECTRASCIENCE INC NEW |
4,576 | Shares of Common Stock |
81 | |||||||
| SPIRIT AIRLINES ** PEN |
1,000 | Shares of Common Stock |
45,410 | |||||||
| SPLUNK INC ** PEN |
616 | Shares of Common Stock |
42,301 | |||||||
| SPONGETECH DELIVERY SYS TRADIN |
735,525 | Shares of Common Stock |
74 | |||||||
| STAR SCIENTIFIC INC |
550 | Shares of Common Stock |
638 | |||||||
| STARBUCKS CORP |
573 | Shares of Common Stock |
44,940 | |||||||
| STERIS CORP |
250 | Shares of Common Stock |
12,013 | |||||||
| STRATEGIC MINING CORP TRADIN |
83 | Shares of Common Stock |
— | |||||||
| STRATEGIC RESOURCES LTD TRADIN |
2,500 | Shares of Common Stock |
— | |||||||
| SUN LIFE FINANCIAL INC F |
100 | Shares of Common Stock |
3,533 | |||||||
| SUNTECH POWER HLDGS CO ** PEN |
47 | Shares of Common Stock |
24 | |||||||
| SUPERVALU INC |
75 | Shares of Common Stock |
547 | |||||||
| SYSCO CORPORATION |
100 | Shares of Common Stock |
3,610 | |||||||
| T J X COS INC |
683 | Shares of Common Stock |
43,502 | |||||||
| T R C COMPANIES INC |
105 | Shares of Common Stock |
750 | |||||||
| TAIWAN SEMICONDUCTR ADRFSPONSO |
20 | Shares of Common Stock |
349 | |||||||
| TAL INTERNATIONAL GROUP ** PEN |
2,000 | Shares of Common Stock |
114,700 | |||||||
| TANZANIAN ROYALTY EXPL F |
6,000 | Shares of Common Stock |
10,500 | |||||||
| TARGET CORPORATION |
1,299 | Shares of Common Stock |
82,202 | |||||||
| TCP CAPITAL CORP ** PEN |
4,000 | Shares of Common Stock |
67,120 | |||||||
| TE CONNECTIVITY LTD F |
9 | Shares of Common Stock |
518 | |||||||
| TELEFONICA SPON ADR FSPONSO |
50 | Shares of Common Stock |
817 | |||||||
| TELENAV INC ** PEN |
1,500 | Shares of Common Stock |
9,885 | |||||||
| TEMPLETON GLOBAL INCM FD |
800 | Shares of Common Stock |
6,360 | |||||||
| THE SOUTHERN COMPANY |
958 | Shares of Common Stock |
39,368 | |||||||
| THE WENDYS COMPANY |
400 | Shares of Common Stock |
3,488 | |||||||
| THE WHITEWAVE FOODS CO ** PEN |
150 | Shares of Common Stock |
3,441 | |||||||
| THL CREDIT INC ** PEN |
3,768 | Shares of Common Stock |
62,134 | |||||||
| TIANRONG BLDG MAT HLDGS REGIST |
1,000 | Shares of Common Stock |
— | |||||||
| TIM HORTONS INC ** PEN |
158 | Shares of Common Stock |
9,224 | |||||||
| TIME WARNER CABLE |
16 | Shares of Common Stock |
2,187 | |||||||
| TIME WARNER INC NEW |
142 | Shares of Common Stock |
9,930 | |||||||
| TRANSOCEAN INC NEW F |
179 | Shares of Common Stock |
8,846 | |||||||
| TRANSWITCH CORP NEW |
125 | Shares of Common Stock |
1 | |||||||
| TRINA SOLAR LTD ADR F** PEN |
100 | Shares of Common Stock |
1,367 | |||||||
| TRUEBLUE INC |
150 | Shares of Common Stock |
3,867 | |||||||
| TUPPERWARE BRANDS CORP |
30 | Shares of Common Stock |
2,836 | |||||||
| TWITTER INC ** PEN |
400 | Shares of Common Stock |
25,460 | |||||||
| TWO HARBORS INVESTMENT |
5,000 | Shares of Common Stock |
46,400 | |||||||
| TYCO INTL LTD NEW F |
38 | Shares of Common Stock |
1,557 | |||||||
| U S A TRUCK INC |
1,000 | Shares of Common Stock |
13,380 | |||||||
| U S AUTO PARTS NETWORK ** PEN |
2,000 | Shares of Common Stock |
4,960 | |||||||
| U S BANCORP DEL NEW |
45 | Shares of Common Stock |
1,818 | |||||||
| U S G CORPORATION NEW |
200 | Shares of Common Stock |
5,676 | |||||||
| U308 CORP F |
1,738 | Shares of Common Stock |
151 | |||||||
| UCORE RARE METALS INC F |
5,000 | Shares of Common Stock |
1,090 | |||||||
| ULTRA PETROLEUM CORP F |
250 | Shares of Common Stock |
5,413 | |||||||
| UNDER ARMOUR INC ** PEN |
55 | Shares of Common Stock |
4,802 | |||||||
| UNILEVER PLC ADR NEW FWITH S |
225 | Shares of Common Stock |
9,270 | |||||||
| UNION PACIFIC CORP |
45 | Shares of Common Stock |
7,560 | |||||||
| UNITED CMNTY FINL CORP OHIO |
1,245 | Shares of Common Stock |
4,445 | |||||||
| UNITED CONTL HLDGS INC |
105 | Shares of Common Stock |
3,972 | |||||||
| UNITED PARCEL SERVICE B CLASS |
170 | Shares of Common Stock |
17,864 | |||||||
| UNITED TECHNOLOGIES CORP |
257 | Shares of Common Stock |
29,224 | |||||||
| UNITEDHEALTH GROUP INC |
51 | Shares of Common Stock |
3,811 | |||||||
| UNIVERSAL DISPLAY CORP |
500 | Shares of Common Stock |
17,180 | |||||||
| URANERZ ENERGY CORP |
600 | Shares of Common Stock |
768 | |||||||
| US BIOTEC INC NEW |
196 | Shares of Common Stock |
— | |||||||
| VALE SA ADR FSPONSO |
1,450 | Shares of Common Stock |
22,113 | |||||||
| VALLEY NATIONAL BANCORP |
1,171 | Shares of Common Stock |
11,847 | |||||||
| VANGUARD BOND INDEX FUNDTOTAL |
776 | Shares of Common Stock |
62,119 | |||||||
| VANGUARD DIV APPRCIATION |
1,451 | Shares of Common Stock |
109,144 | |||||||
| VANGUARD ENERGY ETF |
25 | Shares of Common Stock |
3,161 | |||||||
| VANGUARD FTSE EMERGING MARKET |
830 | Shares of Common Stock |
34,146 | |||||||
| VANGUARD FTSE ETF DEVELO |
700 | Shares of Common Stock |
29,176 | |||||||
| VANGUARD FTSE EUROPE ETF |
50 | Shares of Common Stock |
2,963 | |||||||
- 25 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value | ||||||||
| VANGUARD GROWTH |
1,007 | Shares of Common Stock |
93,736 | |||||||
| VANGUARD INTL EQTY ETF GLOBAL |
246 | Shares of Common Stock |
13,402 | |||||||
| VANGUARD REIT |
207 | Shares of Common Stock |
13,364 | |||||||
| VANGUARD SMALL CAP GRWTH |
334 | Shares of Common Stock |
40,838 | |||||||
| VANGUARD TOTAL STOCK MKTSTK MK |
400 | Shares of Common Stock |
38,368 | |||||||
| VELATEL GLOBAL COMM NEW |
200 | Shares of Common Stock |
— | |||||||
| VERIZON COMMUNICATIONS |
674 | Shares of Common Stock |
33,130 | |||||||
| VESTA INSURANCE GROUPXXXBANKRU |
216 | Shares of Common Stock |
— | |||||||
| VICAL INC |
10,000 | Shares of Common Stock |
11,800 | |||||||
| VISHAY INTERTECHNOLOGY |
400 | Shares of Common Stock |
5,304 | |||||||
| VISHAY PRECISION GROUP |
28 | Shares of Common Stock |
417 | |||||||
| VIVUS INC |
600 | Shares of Common Stock |
5,448 | |||||||
| VODAFONE GROUP NEW ADR FSPONSO |
330 | Shares of Common Stock |
12,972 | |||||||
| VOIS INCORPORATED RESTRI |
833 | Shares of Common Stock |
— | |||||||
| VOXX INTERNATIONAL CL A |
100 | Shares of Common Stock |
1,670 | |||||||
| VULCAN MATERIALS COMPANYEXCHAN |
200 | Shares of Common Stock |
11,884 | |||||||
| WABCO HOLDINGS INC |
39 | Shares of Common Stock |
3,643 | |||||||
| WALGREEN COMPANY |
145 | Shares of Common Stock |
8,329 | |||||||
| WAL-MART STORES INC |
262 | Shares of Common Stock |
20,639 | |||||||
| WELLPOINT INC |
40 | Shares of Common Stock |
3,696 | |||||||
| WELLS FARGO & CO NEW |
895 | Shares of Common Stock |
40,641 | |||||||
| WESTERN COPPER & GOLD F |
80 | Shares of Common Stock |
56 | |||||||
| WESTERN REFINING INC ** PEN |
9 | Shares of Common Stock |
378 | |||||||
| WEYERHAEUSER CO TENDER |
106 | Shares of Common Stock |
3,359 | |||||||
| WHIRLPOOL CORP |
30 | Shares of Common Stock |
4,746 | |||||||
| WHOLE FOODS MARKET INC |
70 | Shares of Common Stock |
4,074 | |||||||
| WILLIAMS COMPANIES |
1,231 | Shares of Common Stock |
47,461 | |||||||
| WILLIAMS SONOMA |
100 | Shares of Common Stock |
5,828 | |||||||
| WILLIS GRP HLDGS PUBLICF |
160 | Shares of Common Stock |
7,170 | |||||||
| WISDOMTREE ASIA ETF LOCAL |
349 | Shares of Common Stock |
16,686 | |||||||
| WISDOMTREE DEFA EQUITY INCOME |
209 | Shares of Common Stock |
9,924 | |||||||
| WISDOMTREE EMERGING ETF MKTS L |
753 | Shares of Common Stock |
34,653 | |||||||
| WISDOMTREE EQUITY INC FDHI YIE |
89 | Shares of Common Stock |
4,929 | |||||||
| WISDOMTREE INDIA EARNING |
252 | Shares of Common Stock |
4,402 | |||||||
| WISDOMTREE JPN HDGD EQTYJAPAN |
1,340 | Shares of Common Stock |
68,147 | |||||||
| WISDOMTREE MIDCAP DIVDNDMIDCAP |
20 | Shares of Common Stock |
1,470 | |||||||
| WISDOMTREE SMALLCAP DIV SMALLC |
73 | Shares of Common Stock |
4,935 | |||||||
| WISDOMTREE TRUST ** PEN |
62 | Shares of Common Stock |
3,141 | |||||||
| WISDOMTREE TRUST BRAZIL |
1,123 | Shares of Common Stock |
19,428 | |||||||
| WPX ENERGY INC |
700 | Shares of Common Stock |
14,266 | |||||||
| WYNN RESORTS |
71 | Shares of Common Stock |
13,766 | |||||||
| XEROX CORP |
492 | Shares of Common Stock |
5,990 | |||||||
| XL GROUP PLC F |
1,200 | Shares of Common Stock |
38,208 | |||||||
| XOMA CORP |
500 | Shares of Common Stock |
3,365 | |||||||
| YAHOO INC |
380 | Shares of Common Stock |
15,367 | |||||||
| YAMANA GOLD INC F |
2,000 | Shares of Common Stock |
17,240 | |||||||
| YORA INTL INC NEW |
275 | Shares of Common Stock |
— | |||||||
| YORK WATER COMPANY |
300 | Shares of Common Stock |
6,279 | |||||||
| ZALICUS INC NEW |
4,225 | Shares of Common Stock |
4,690 | |||||||
| ZILLOW INC CL A ** PEN |
25 | Shares of Common Stock |
2,043 | |||||||
| ZION OIL & GAS INC ** PEN |
1,100 | Shares of Common Stock |
1,551 | |||||||
| ZIX CORPORATION |
20 | Shares of Common Stock |
91 | |||||||
| ZURICH INSURANCE GP ADRFSPONSO |
1,000 | Shares of Common Stock |
29,170 | |||||||
| ZYNGA INC ** PEN |
1,000 | Shares of Common Stock |
3,800 | |||||||
|
|
|
|||||||||
| Total |
12,609,854 | |||||||||
|
|
|
|||||||||
| Guaranteed Investment Contracts |
||||||||||
| WILLIS STABLE VALUE FUND |
Group Annuity Insurance Contracts |
123,300,992 | ||||||||
| TFLIC STABLE 5 FUND |
Group Annuity Insurance Contracts |
40,668,787 | ||||||||
|
|
|
|||||||||
| Total |
163,969,779 | |||||||||
|
|
|
|||||||||
| Money Market Funds |
||||||||||
| Cash |
301,433 | Money Market |
301,433 | |||||||
| SCHWAB US TREAS MONEY FD |
393,167 | Money Market |
393,167 | |||||||
| SCHWAB MONEY MARKET FUND |
4,475,508 | Money Market |
4,475,508 | |||||||
| SCHWAB CASH RESERVES SWEEP |
6,751 | Money Market |
6,751 | |||||||
| SCHWAB MONEY MARKET FUND |
155,316 | Money Market |
155,316 | |||||||
|
|
|
|||||||||
| Total |
5,332,175 | |||||||||
|
|
|
|||||||||
| Other Financial Assets |
||||||||||
| TFLIC General Account |
General Insurance Assets |
275,087 | ||||||||
| State Street Bank & Trust Co. Cash Reserve Account |
Cash Reserve Account |
21,326 | ||||||||
| AMERICAN EXPRESS 7.25% 05/20/2 |
20,000 | Corporate Bonds |
20,505 | |||||||
| FORD MOTOR CREDIT 8% 06/01/201 |
25,000 | Corporate Bonds |
25,754 | |||||||
| GOLDMAN SACHS GROUP 5% 09/15/2 |
20,000 | Corporate Bonds |
19,057 | |||||||
| GREIF INC. 6.75% 02/01/2017 |
10,000 | Corporate Bonds |
11,050 | |||||||
- 26 -
Table of Contents
WILLIS NORTH AMERICA INC.
401(K) RETIREMENT SAVINGS PLAN
Employer Identification Number - 13-5654526
FORM 5500, SCHEDULE H, PART IV, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2013
| Identity of issue, borrower, lessor, or similar party | Description of investment including maturity date, rate of interest, collateral, par, or maturity value |
Current Value | ||||||||
| JPMORGAN CHASE BANK 5.875% 06/ |
10,000 | Corporate Bonds |
11,052 | |||||||
| L-3 COMMS CORP 4.75% 07/15/202 |
11,000 | Corporate Bonds |
11,399 | |||||||
| MCKESSON CORPORATION 6.5% 02/1 |
15,000 | Corporate Bonds |
15,096 | |||||||
| SOUTHWEST AIRLINES 5.75% 12/15 |
10,000 | Corporate Bonds |
11,168 | |||||||
| TIME WARNER CABLE 4.125% 02/15 |
20,000 | Corporate Bonds |
18,701 | |||||||
| WEINGARTEN RLTY INV 4.857% 01/ |
10,000 | Corporate Bonds |
10,010 | |||||||
| WELLS FARGO BANK 4.125% 08/15/ |
15,000 | Corporate Bonds |
14,935 | |||||||
| BARCLAYS BANK DE 3.2% CD 10/14 |
50,000 | CD |
51,087 | |||||||
| DISCOVER BANK 1% CD 03/30/2015 |
50,000 | CD |
50,324 | |||||||
| DISCOVER BANK 1.9% CD 09/21/20 |
9,000 | CD |
9,248 | |||||||
| DISCOVER BANK 2.2% CD 05/25/20 |
15,000 | CD |
15,508 | |||||||
| GE CAP RETAIL BANK 2.3% CD 05/ |
10,000 | CD |
10,072 | |||||||
| GOLDMAN SACHS BANK 3.25% CD 10 |
245,000 | CD |
243,608 | |||||||
| GOLDMAN SACHS BK USA 2% CD 10/ |
42,000 | CD |
41,106 | |||||||
|
|
|
|||||||||
| Total |
886,093 | |||||||||
|
|
|
|||||||||
| PARTICIPANT NOTES RECEIVABLE |
Participant notes receivable bearing interest ranging from 4.25% to 10.12% and maturity dates from January 1, 2014 to December 15, 2028 |
8,824,628 | ||||||||
| Adjustment from Fair Value to Contract Value for Stable Value Funds |
(13,823,365 | ) | ||||||||
|
|
|
|||||||||
| $ | 778,085,120 | |||||||||
|
|
|
|||||||||
- 27 -
Table of Contents
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the Willis 401(k) Retirement Savings Plan) have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
| WILLIS 401(K) RETIREMENT SAVINGS PLAN | ||||||
| By: | /s/ Lynn Bissinger | |||||
| Lynn Bissinger | ||||||
| Director, US Benefits Willis North America Inc. | ||||||
| Dated: June 27, 2014 | ||||||
