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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Trinity Industries Inc | NYSE:TRN | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
3.53 | 13.57% | 29.55 | 29.83 | 26.84 | 27.19 | 1,401,003 | 23:07:36 |
þ
|
ANNUAL REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT
OF 1934
|
¨
|
TRANSITION REPORT PURSUANT TO
SECTION 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
|
|
|
Audited Financial Statements
|
|
|
|
Supplemental Schedule
|
|
|
December 31,
|
||||||
|
2018
|
|
2017
|
||||
|
(in millions)
|
||||||
Assets
|
|
|
|
||||
Investments, at fair value
|
$
|
280.7
|
|
|
$
|
413.2
|
|
|
|
|
|
||||
Receivables:
|
|
|
|
||||
Participant contributions
|
0.4
|
|
|
0.6
|
|
||
Company contributions
|
10.2
|
|
|
14.8
|
|
||
Notes receivable from participants
|
9.3
|
|
|
14.8
|
|
||
|
19.9
|
|
|
30.2
|
|
||
Total assets
|
300.6
|
|
|
443.4
|
|
||
|
|
|
|
||||
Liabilities and Net Assets Available for Benefits
|
|
|
|
||||
Excess contributions payable
|
—
|
|
|
0.4
|
|
||
Net assets available for benefits
|
$
|
300.6
|
|
|
$
|
443.0
|
|
|
Year Ended
|
||
|
December 31, 2018
|
||
|
(in millions)
|
||
Additions
|
|
||
Contributions:
|
|
||
Participants
|
$
|
25.9
|
|
Company
|
10.2
|
|
|
|
36.1
|
|
|
|
|
||
Interest and dividend income
|
2.0
|
|
|
Interest income on notes receivable from participants
|
0.6
|
|
|
Total additions
|
38.7
|
|
|
|
|
||
Deductions
|
|
||
Net depreciation in the fair value of investments
|
22.3
|
|
|
Benefits paid to participants
|
43.3
|
|
|
Administrative expenses
|
0.9
|
|
|
Total deductions
|
66.5
|
|
|
|
|
||
Net decrease prior to transfers out of plan
|
(27.8
|
)
|
|
|
|
||
Transfers out of plan
|
(114.6
|
)
|
|
|
|
||
Net decrease after transfers out of plan
|
(142.4
|
)
|
|
|
|
||
Net assets available for benefits at beginning of year
|
443.0
|
|
|
Net assets available for benefits at end of year
|
$
|
300.6
|
|
Years of Service as of
the End of the Plan Year
|
|
Percentage of Company Matching Contribution
|
|
|
|
|
|
Less than 1 year
|
|
0
|
%
|
1 but less than 2 years
|
|
25
|
|
2 but less than 3 years
|
|
30
|
|
3 but less than 4 years
|
|
35
|
|
4 but less than 5 years
|
|
40
|
|
5 or more years
|
|
50
|
|
Years of Service as of
the End of the Plan Year
|
|
Percentage of Participant's Compensation
|
|
|
|
|
|
0
|
|
1.0
|
%
|
1
|
|
1.2
|
|
2
|
|
1.4
|
|
3
|
|
1.6
|
|
4
|
|
1.8
|
|
5
|
|
2.0
|
|
6
|
|
2.2
|
|
7
|
|
2.4
|
|
8
|
|
2.6
|
|
9
|
|
2.8
|
|
10 or more
|
|
3.0
|
|
Years of Service
|
|
Percentage Vested
|
|
|
|
|
|
Less than 1 year
|
|
0
|
%
|
1 but less than 2 years
|
|
20
|
|
2 but less than 3 years
|
|
40
|
|
3 but less than 4 years
|
|
60
|
|
4 but less than 5 years
|
|
80
|
|
5 or more years
|
|
100
|
|
•
|
Level 1 - This level is defined as quoted prices in active markets for identical assets or liabilities. As of
December 31, 2018
, Level 1 assets held by the Plan include the Trinity Stock Fund, the Arcosa Stock Fund, and registered investment companies. As of December 31, 2017, Level 1 assets held by the Plan include the Trinity Stock Fund and registered investment companies.
|
•
|
Level 2 - This level is defined as observable inputs other than Level 1 prices such as quoted prices for similar assets or liabilities; quoted prices in markets that are not active; or other inputs that are observable or can be corroborated by observable market data for substantially the full term of the assets or liabilities. There are no Level 2 assets held by the Plan.
|
•
|
Level 3 - This level is defined as unobservable inputs that are supported by little or no market activity and that are significant to the fair value of the assets or liabilities. There are no Level 3 assets held by the Plan.
|
|
December 31, 2018
|
||||||||||
|
Level 1
|
|
Common/collective trust funds value at NAV using the practical expedient
|
|
Total
|
||||||
|
(in millions)
|
||||||||||
|
|
|
|
|
|
||||||
Stock Funds
(a)
|
$
|
18.1
|
|
|
$
|
—
|
|
|
$
|
18.1
|
|
Registered investment companies
(b)
|
52.7
|
|
|
—
|
|
|
52.7
|
|
|||
Common/collective trust funds
(c)
|
—
|
|
|
209.9
|
|
|
209.9
|
|
|||
Total investments at fair value
|
$
|
70.8
|
|
|
$
|
209.9
|
|
|
$
|
280.7
|
|
|
December 31, 2017
|
||||||||||
|
Level 1
|
|
Common/collective trust fund value at NAV using the practical expedient
|
|
Total
|
||||||
|
(in millions)
|
||||||||||
|
|
|
|
|
|
||||||
Trinity Stock Fund
(a)
|
$
|
33.9
|
|
|
$
|
—
|
|
|
$
|
33.9
|
|
Registered investment companies
(b)
|
136.5
|
|
|
—
|
|
|
136.5
|
|
|||
Common/collective trust fund
(c)
|
—
|
|
|
242.8
|
|
|
242.8
|
|
|||
Total investments at fair value
|
$
|
170.4
|
|
|
$
|
242.8
|
|
|
$
|
413.2
|
|
(a)
|
At December 31, 2018 this category consists of shares of the Company's and Arcosa's stock as well as a nominal cash balance that are valued based on the quoted market price of the Company's and Arcosa's common stock and the cost of short-term money market investments. At December 31, 2017 this category consists of shares of the Company as well as a nominal cash balance that are valued based on the quoted market price of the Company's common stock and the cost of short-term money market investments. There are currently no redemption restrictions on these investments.
|
(b)
|
There are currently no redemption restrictions on these investments. The fair values of the investments in this category have been estimated using the published market price per share.
|
(c)
|
This category consists of common/collective trust funds comprised of shares in commingled funds that are not publicly traded. The underlying assets in these funds represent a widely diversified portfolio of large company stocks that are publicly traded on exchanges, and price quotes for the assets held by these funds are readily available. Participant-directed withdrawals may be made at any time without penalty, regardless of their frequency or amount. Participant-directed exchanges from the Wells Fargo Stable Return Fund N require participants to invest in a noncompeting fund for at least 90 days before transferring to a competing fund option (money market fund, a high quality bond fund with a duration of three years or less, other principal preservation funds, or a brokerage window). Any plan sponsor initiated withdrawals from the Wells Fargo Stable Return Fund N require a 12-month written notice of the intent to withdraw assets from the fund. The fair value of the investments in this category has been estimated using the net asset value per share.
|
(a)
|
|
(b)
|
|
(c)
|
|
(d)
|
|
(e)
|
||
|
|
Identity of Issue, Borrower, Lessor, or Similar Party
|
|
Description of Investment, Including Maturity Date, Rate of Interest, Collateral, Par, or Maturity Value
|
|
Cost
|
|
Current Value
|
||
|
|
|
|
|
|
|
|
(in millions)
|
||
|
|
|
|
|
|
|
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|
||
*
|
|
Notes Receivable from Participants
|
|
Participant loans - various maturities, interest rates from 3.25% to 8.75%
|
|
|
|
$
|
9.3
|
|
|
|
|
|
|
|
|
|
|
||
|
|
Common/Collective Trust Funds:
|
|
|
|
|
|
|
||
*
|
|
Wells Fargo Stable Return Fund N
|
|
Common/Collective Trust Fund - 577,539 shares
|
|
**
|
|
$
|
32.0
|
|
|
|
JPMCB SmartRetirement Passive Blend 2020 CF
|
|
Common/Collective Trust Fund - 663,841 shares
|
|
**
|
|
15.9
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2025 CF
|
|
Common/Collective Trust Fund - 71,075 shares
|
|
**
|
|
1.8
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2030 CF
|
|
Common/Collective Trust Fund - 1,104,447 shares
|
|
**
|
|
28.2
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2035 CF
|
|
Common/Collective Trust Fund - 47,748 shares
|
|
**
|
|
1.2
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2040 CF
|
|
Common/Collective Trust Fund - 700,712 shares
|
|
**
|
|
18.5
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2045 CF
|
|
Common/Collective Trust Fund - 11,901 shares
|
|
**
|
|
0.3
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2050 CF
|
|
Common/Collective Trust Fund - 535,805 shares
|
|
**
|
|
14.1
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2055 CF
|
|
Common/Collective Trust Fund - 17,820 shares
|
|
**
|
|
0.4
|
|
|
|
|
JPMCB SmartRetirement Passive Blend 2060 CF
|
|
Common/Collective Trust Fund - 25,889 shares
|
|
**
|
|
0.4
|
|
|
|
|
JPMCB SmartRetirement Passive Blend Income CF
|
|
Common/Collective Trust Fund - 221,031 shares
|
|
**
|
|
4.8
|
|
|
|
|
Northern Trust S&P 500 Index
|
|
Common/Collective Trust Fund - 168,854 shares
|
|
**
|
|
38.3
|
|
|
|
|
Northern Trust Aggregate Bond Index
|
|
Common/Collective Trust Fund - 29,200 shares
|
|
**
|
|
3.4
|
|
|
|
|
Northern Trust Extended Market Index
|
|
Common/Collective Trust Fund - 18,149 shares
|
|
**
|
|
3.3
|
|
|
|
|
Northern Trust ACWI ex IMI
|
|
Common/Collective Trust Fund - 62,259 shares
|
|
**
|
|
7.8
|
|
|
|
|
Fidelity Growth Company Commingled
|
|
Common/Collective Trust Fund - 2,164,339 shares
|
|
**
|
|
39.5
|
|
|
|
|
Total Common/Collective Trust Funds
|
|
|
|
|
|
$
|
209.9
|
|
|
|
|
|
|
|
|
|
|
||
|
|
Registered Investment Companies:
|
|
|
|
|
|
|
||
|
|
JPMorgan Mid Cap Value R6
|
|
Registered Investment Fund - 155,606 shares
|
|
**
|
|
$
|
5.1
|
|
|
|
JPMorgan Small Cap Growth R6
|
|
Registered Investment Fund - 314,596 shares
|
|
**
|
|
4.9
|
|
|
|
|
American Funds EuroPacific Growth R6
|
|
Registered Investment Fund - 220,951 shares
|
|
**
|
|
10.0
|
|
|
|
|
JHancock Disciplined Value R6
|
|
Registered Investment Fund - 343,776 shares
|
|
**
|
|
6.2
|
|
|
|
|
Victory Integrity Small Cap Value R6
|
|
Registered Investment Fund - 127,655 shares
|
|
**
|
|
3.7
|
|
|
|
|
PGIM Total Return Bond R6
|
|
Registered Investment Fund - 1,638,750 shares
|
|
**
|
|
22.8
|
|
|
|
|
Total Registered Investment Companies
|
|
|
|
|
|
$
|
52.7
|
|
|
|
|
|
|
|
|
|
|
||
|
|
Common Stock:
|
|
|
|
|
|
|
||
*
|
|
Trinity Industries, Inc.
|
|
Common Stock - 612,259 shares
|
|
**
|
|
$
|
12.6
|
|
|
|
Arcosa, Inc.
|
|
Common Stock - 197,191 shares
|
|
**
|
|
5.5
|
|
|
|
|
Total Common Stock
|
|
|
|
|
|
$
|
18.1
|
|
|
|
|
|
|
|
|
|
|
||
|
|
Total Investments at Fair Value
|
|
|
|
|
|
$
|
280.7
|
|
Exhibit No.
|
|
Description
|
23
|
|
1 Year Trinity Industries Chart |
1 Month Trinity Industries Chart |
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