401k Plan data: PLAZA BANK 401(K) PLAN plan

PLAZA BANK 401(K) PLAN 401k Plan overview

Plan Name	PLAZA BANK 401(K) PLAN
Plan identification number	001

PLAZA BANK 401(K) 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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

PLAZA BANK has sponsored the creation of one or more 401k plans.

Company Name: PLAZA BANK

Employer identification number (EIN): 203001341

NAIC Classification: 522110
NAIC Description: Commercial Banking

Additional information about PLAZA BANK

Jurisdiction of Incorporation: Washington Secretary of State Corporations Division

Incorporation Date: 2006-04-05

Company Identification Number: 602601203

More information about PLAZA BANK

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PLAZA BANK 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01
001 2017-01-01
001 2016-01-01 JOHN SHINDLER
001 2015-01-01 JOHN SHINDLER 2016-10-11
001 2014-01-01 JOHN SHINDLER 2015-10-08
001 2013-01-01 JOHN SHINDLER 2014-10-04
001 2012-01-01 JOHN SHINDLER 2013-09-30
001 2011-01-01 JOHN SHINDLER 2012-07-16
001 2010-01-01 JOHN SHINDLER 2011-05-03

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2018-01-01
001	2017-01-01
001	2016-01-01	JOHN SHINDLER
001	2015-01-01	JOHN SHINDLER	2016-10-11
001	2014-01-01	JOHN SHINDLER	2015-10-08
001	2013-01-01	JOHN SHINDLER	2014-10-04
001	2012-01-01	JOHN SHINDLER	2013-09-30
001	2011-01-01	JOHN SHINDLER	2012-07-16
001	2010-01-01	JOHN SHINDLER	2011-05-03

Plan Statistics for PLAZA BANK 401(K) PLAN

401k plan membership statisitcs for PLAZA BANK 401(K) PLAN

Measure Date Value
2018: PLAZA BANK 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 273
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: PLAZA BANK 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 266
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 137
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 163
Total of all active and inactive participants 2017-01-01 300
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 300
Number of participants with account balances 2017-01-01 273
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: PLAZA BANK 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 225
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 153
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 114
Total of all active and inactive participants 2016-01-01 267
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 267
Number of participants with account balances 2016-01-01 236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0

Measure	Date	Value
2018: PLAZA BANK 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	273
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: PLAZA BANK 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	266
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	137
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	163
Total of all active and inactive participants	2017-01-01	300
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	300
Number of participants with account balances	2017-01-01	273
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: PLAZA BANK 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	225
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	153
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	114
Total of all active and inactive participants	2016-01-01	267
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	267
Number of participants with account balances	2016-01-01	236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0

Financial Data on PLAZA BANK 401(K) PLAN

Measure	Date	Value
2018 : PLAZA BANK 401(K) PLAN 2018 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$-30,158
Total of all expenses incurred	2018-12-31	$7,114,586
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$6,885,283
Expenses. Certain deemed distributions of participant loans	2018-12-31	$152,167
Value of total assets at end of year	2018-12-31	$0
Value of total assets at beginning of year	2018-12-31	$7,144,744
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$77,136
Total interest from all sources	2018-12-31	$2,240
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$161,036
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-7,144,744
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$7,144,744
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in pooled separate accounts at end of year	2018-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$6,789,733
Interest on participant loans	2018-12-31	$2,240
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$193,975
Net investment gain/loss from pooled separate accounts	2018-12-31	$-32,398
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$6,885,283
Contract administrator fees	2018-12-31	$77,136
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2018-12-31	953288054
2017 : PLAZA BANK 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$4,111,416
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$8,871,614
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$8,824,939
Expenses. Certain deemed distributions of participant loans	2017-12-31	$13,490
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,292,347
Value of total assets at end of year	2017-12-31	$7,144,744
Value of total assets at beginning of year	2017-12-31	$11,904,942
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$33,185
Total interest from all sources	2017-12-31	$7,887
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,107,081
Participant contributions at end of year	2017-12-31	$161,036
Participant contributions at beginning of year	2017-12-31	$212,253
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$621,994
Administrative expenses (other) incurred	2017-12-31	$1,871
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$-4,760,198
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$7,144,744
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$11,904,942
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$0
Value of interest in pooled separate accounts at end of year	2017-12-31	$6,789,733
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$11,069,912
Interest on participant loans	2017-12-31	$7,887
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$193,975
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$622,777
Net investment gain/loss from pooled separate accounts	2017-12-31	$1,811,182
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$563,272
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$8,824,939
Contract administrator fees	2017-12-31	$31,314
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2017-12-31	953288054
2016 : PLAZA BANK 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$284,801
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$3,468,390
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$3,109,052
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$3,055,424
Expenses. Certain deemed distributions of participant loans	2016-12-31	$37,238
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,509,190
Value of total assets at end of year	2016-12-31	$11,904,942
Value of total assets at beginning of year	2016-12-31	$11,260,803
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$16,390
Total interest from all sources	2016-12-31	$6,998
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,138,390
Participant contributions at end of year	2016-12-31	$212,253
Participant contributions at beginning of year	2016-12-31	$104,291
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$751,134
Administrative expenses (other) incurred	2016-12-31	$1,700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$359,338
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$11,904,942
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$11,260,803
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$0
Value of interest in pooled separate accounts at end of year	2016-12-31	$11,069,912
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$11,029,615
Interest on participant loans	2016-12-31	$6,998
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$622,777
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$126,897
Net investment gain/loss from pooled separate accounts	2016-12-31	$952,202
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$619,666
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$3,055,424
Contract administrator fees	2016-12-31	$14,690
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2016-12-31	953288054

Form 5500 Responses for PLAZA BANK 401(K) PLAN

2018: PLAZA BANK 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: PLAZA BANK 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: PLAZA BANK 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

810926

Policy instance

Insurance contract or identification number	810926
Number of Individuals Covered	0
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $11,712
Total amount of fees paid to insurance company	USD $2,814
Contracts With Unallocated Funds Deposit Administration	1
Commission paid to Insurance Broker	USD $11,712
Insurance broker organization code?	3
Amount paid for insurance broker fees	2814
Additional information about fees paid to insurance broker	TPA SERVICES

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

810926

Policy instance

Insurance contract or identification number	810926
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $43,465
Total amount of fees paid to insurance company	USD $6,125
Contracts With Unallocated Funds Deposit Administration	1
Commission paid to Insurance Broker	USD $41,424
Insurance broker organization code?	3
Amount paid for insurance broker fees	6125
Additional information about fees paid to insurance broker	TPA SERVICES
Insurance broker name	CETERA ADVISOR NETWORKS LLC

Potentially related plans

PLAZA BANK 401(K) PLAN [EIN = 204663351]

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Company Name:	PLAZA BANK
Employer identification number (EIN):	203001341
NAIC Classification:	522110
NAIC Description:	Commercial Banking

Jurisdiction of Incorporation:	Washington Secretary of State Corporations Division
Incorporation Date:	2006-04-05
Company Identification Number:	602601203