401k Plan data: ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN plan

ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN 401k Plan overview

Plan Name	ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN
Plan identification number	003

ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ROSENBERG & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: ROSENBERG & ASSOCIATES, INC.

Employer identification number (EIN): 222004979

NAIC Classification: 541190

Additional information about ROSENBERG & ASSOCIATES, INC.

Jurisdiction of Incorporation: Iowa Secretary of State Business Entities

Incorporation Date: 2003-06-04

Company Identification Number: 280418

Legal Registered Office Address: 2141 LINDEN DR SE

CEDAR RAPIDS
United States of America (USA)
52403

More information about ROSENBERG & ASSOCIATES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2022-01-01 MATT MAIETTA 2023-07-05
003 2021-01-01 MATT MAIETTA 2022-07-30
003 2020-01-01 JENNIFER SPANOVICH 2021-10-14
003 2019-01-01 JENNIFER SPANOVICH 2020-06-29
003 2018-01-01 JENNIFER SPANOVICH 2019-10-04
003 2017-01-01 JENNIFER SPANOVICH 2018-11-01
003 2016-01-01 JENNIFER SPANOVICH 2017-09-22
003 2015-01-01 JENNIFER SPANOVICH 2016-11-09
003 2014-01-01 JENNIFER SPANOVICH 2015-07-06
003 2014-01-01 JENNIFER SPANOVICH 2016-10-17
003 2013-01-01 JENNIFER SPANOVICH 2014-06-20
003 2012-01-01 LINDA ROSENBERG 2013-06-04
003 2011-01-01 LINDA ROSENBERG 2012-06-18
003 2010-01-01 LINDA ROSENBERG 2011-04-19
003 2009-01-01 LINDA ROSENBERG

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
003	2022-01-01	MATT MAIETTA	2023-07-05
003	2021-01-01	MATT MAIETTA	2022-07-30
003	2020-01-01	JENNIFER SPANOVICH	2021-10-14
003	2019-01-01	JENNIFER SPANOVICH	2020-06-29
003	2018-01-01	JENNIFER SPANOVICH	2019-10-04
003	2017-01-01	JENNIFER SPANOVICH	2018-11-01
003	2016-01-01	JENNIFER SPANOVICH	2017-09-22
003	2015-01-01	JENNIFER SPANOVICH	2016-11-09
003	2014-01-01	JENNIFER SPANOVICH	2015-07-06
003	2014-01-01	JENNIFER SPANOVICH	2016-10-17
003	2013-01-01	JENNIFER SPANOVICH	2014-06-20
003	2012-01-01	LINDA ROSENBERG	2013-06-04
003	2011-01-01	LINDA ROSENBERG	2012-06-18
003	2010-01-01	LINDA ROSENBERG	2011-04-19
003	2009-01-01	LINDA ROSENBERG

Plan Statistics for ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN

401k plan membership statisitcs for ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN

Measure Date Value
2009: ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 72
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 63
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 8
Total of all active and inactive participants 2009-01-01 71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 71
Number of participants with account balances 2009-01-01 53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2009: ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	72
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	63
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	8
Total of all active and inactive participants	2009-01-01	71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	71
Number of participants with account balances	2009-01-01	53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN

Measure	Date	Value
2009 : ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN

2009: ROSENBERG & ASSOCIATES, INC. 401(K) P/S PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ROSENBERG & ASSOCIATES, INC.
Employer identification number (EIN):	222004979
NAIC Classification:	541190

Jurisdiction of Incorporation:	Iowa Secretary of State Business Entities
Incorporation Date:	2003-06-04
Company Identification Number:	280418
Legal Registered Office Address:	2141 LINDEN DR SE CEDAR RAPIDS United States of America (USA) 52403