401k Plan data: KNOTT & KNOTT PROFIT SHARING PLAN plan

KNOTT & KNOTT PROFIT SHARING PLAN 401k Plan overview

Plan Name	KNOTT & KNOTT PROFIT SHARING PLAN
Plan identification number	002

KNOTT & KNOTT PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

KNOTT, KNOTT & DUNN has sponsored the creation of one or more 401k plans.

Company Name: KNOTT, KNOTT & DUNN

Employer identification number (EIN): 060950168

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KNOTT & KNOTT PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01 BARRY KNOTT 2024-05-14 BARRY KNOTT 2024-05-14
002 2022-01-01 BARRY KNOTT 2023-08-31 BARRY KNOTT 2023-08-31
002 2021-01-01
002 2020-01-01
002 2019-01-01 BARRY KNOTT 2020-10-14 BARRY KNOTT 2020-10-14
002 2018-01-01 KATE KNOTT 2019-10-15 KATE KNOTT 2019-10-15
002 2017-01-01 BARRY KNOTT 2018-10-11 BARRY KNOTT 2018-10-11
002 2016-01-01 BARRY KNOTT 2017-10-16 BARRY KNOTT 2017-10-16
002 2015-01-01 BARRY KNOTT 2016-10-17 BARRY KNOTT 2016-10-17
002 2014-01-01 BARRY KNOTT 2015-10-15 BARRY KNOTT 2015-10-15
002 2013-01-01 BARRY KNOTT 2014-10-15 BARRY KNOTT 2014-10-15
002 2012-01-01 BARRY C. KNOTT 2013-10-15 BARRY C. KNOTT 2013-10-15
002 2011-01-01 BARRY C. KNOTT 2012-10-12 BARRY C. KNOTT 2012-10-12
002 2010-01-01 BARRY C. KNOTT 2011-10-17 BARRY C. KNOTT 2011-10-17
002 2008-01-01

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2023-01-01	BARRY KNOTT	2024-05-14	BARRY KNOTT	2024-05-14
002	2022-01-01	BARRY KNOTT	2023-08-31	BARRY KNOTT	2023-08-31
002	2021-01-01
002	2020-01-01
002	2019-01-01	BARRY KNOTT	2020-10-14	BARRY KNOTT	2020-10-14
002	2018-01-01	KATE KNOTT	2019-10-15	KATE KNOTT	2019-10-15
002	2017-01-01	BARRY KNOTT	2018-10-11	BARRY KNOTT	2018-10-11
002	2016-01-01	BARRY KNOTT	2017-10-16	BARRY KNOTT	2017-10-16
002	2015-01-01	BARRY KNOTT	2016-10-17	BARRY KNOTT	2016-10-17
002	2014-01-01	BARRY KNOTT	2015-10-15	BARRY KNOTT	2015-10-15
002	2013-01-01	BARRY KNOTT	2014-10-15	BARRY KNOTT	2014-10-15
002	2012-01-01	BARRY C. KNOTT	2013-10-15	BARRY C. KNOTT	2013-10-15
002	2011-01-01	BARRY C. KNOTT	2012-10-12	BARRY C. KNOTT	2012-10-12
002	2010-01-01	BARRY C. KNOTT	2011-10-17	BARRY C. KNOTT	2011-10-17
002	2008-01-01

Plan Statistics for KNOTT & KNOTT PROFIT SHARING PLAN

401k plan membership statisitcs for KNOTT & KNOTT PROFIT SHARING PLAN

Measure Date Value
2021: KNOTT & KNOTT PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 7
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 0
Total of all active and inactive participants 2021-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 7
Number of participants with account balances 2021-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: KNOTT & KNOTT PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 6
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 6
Number of participants with account balances 2020-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0

Measure	Date	Value
2021: KNOTT & KNOTT PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	7
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	0
Total of all active and inactive participants	2021-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	7
Number of participants with account balances	2021-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: KNOTT & KNOTT PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	6
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	6
Number of participants with account balances	2020-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0

Financial Data on KNOTT & KNOTT PROFIT SHARING PLAN

Measure	Date	Value
2021 : KNOTT & KNOTT PROFIT SHARING PLAN 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$37,215
Expenses. Total of all expenses incurred	2021-12-31	$15,958
Benefits paid (including direct rollovers)	2021-12-31	$15,958
Total plan assets at end of year	2021-12-31	$1,088,515
Total plan assets at beginning of year	2021-12-31	$1,067,258
Value of fidelity bond covering the plan	2021-12-31	$150,000
Total contributions received or receivable from participants	2021-12-31	$21,362
Assets. Value of loans (other than to participants)	2021-12-31	$0
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$0
Other income received	2021-12-31	$14,955
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$21,257
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$1,088,515
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$1,067,258
Total contributions received or receivable from employer(s)	2021-12-31	$898
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
2020 : KNOTT & KNOTT PROFIT SHARING PLAN 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$186,858
Expenses. Total of all expenses incurred	2020-12-31	$540
Benefits paid (including direct rollovers)	2020-12-31	$0
Total plan assets at end of year	2020-12-31	$1,067,258
Total plan assets at beginning of year	2020-12-31	$880,940
Value of fidelity bond covering the plan	2020-12-31	$150,000
Total contributions received or receivable from participants	2020-12-31	$16,719
Assets. Value of loans (other than to participants)	2020-12-31	$100,000
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$0
Other income received	2020-12-31	$170,139
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$186,318
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$1,067,258
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$880,940
Total contributions received or receivable from employer(s)	2020-12-31	$0
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$540
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0

Form 5500 Responses for KNOTT & KNOTT PROFIT SHARING PLAN

2021: KNOTT & KNOTT PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: KNOTT & KNOTT PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2008: KNOTT & KNOTT PROFIT SHARING PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

712612191/2862

Policy instance

Insurance contract or identification number	712612191/2862
Number of Individuals Covered	2
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $1,795
Total amount of fees paid to insurance company	USD $0
Commission paid to Insurance Broker	USD $1,795
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

712612191/2862

Policy instance

Insurance contract or identification number	712612191/2862
Number of Individuals Covered	2
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $2,053
Total amount of fees paid to insurance company	USD $0
Commission paid to Insurance Broker	USD $2,053
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	COMMISSIONS
Insurance broker organization code?	3

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Company Name:	KNOTT, KNOTT & DUNN
Employer identification number (EIN):	060950168
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers