401k Plan data: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP. The employer maintaining this ESOP is an S Corporation

401k Sponsoring company profile

SMITH & SCHAEFER, INC. has sponsored the creation of one or more 401k plans.

Company Name: SMITH & SCHAEFER, INC.

Employer identification number (EIN): 310557076

NAIC Classification: 442110
NAIC Description: Furniture Stores

Additional information about SMITH & SCHAEFER, INC.

Jurisdiction of Incorporation: Ohio Secretary of State Business Services Division

Incorporation Date: 1952-04-22

Company Identification Number: 227629

Legal Registered Office Address: 3035 READING RD
-
CINCINNATI
United States of America (USA)
45206

More information about SMITH & SCHAEFER, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-04-01 GEORGE LEICHT GEORGE LEICHT 2016-01-22
002 2014-04-01 GEORGE LEICHT GEORGE LEICHT 2016-01-15
002 2013-04-01 TOM STOLLENWERK TOM STOLLENWERK 2015-01-15
002 2012-04-01 GARY WAGNER GARY WAGNER 2014-01-10
002 2011-04-01 GARY WAGNER GARY WAGNER 2012-10-22
002 2009-04-01 GARY WAGNER

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2015-04-01	GEORGE LEICHT	GEORGE LEICHT	2016-01-22
002	2014-04-01	GEORGE LEICHT	GEORGE LEICHT	2016-01-15
002	2013-04-01	TOM STOLLENWERK	TOM STOLLENWERK	2015-01-15
002	2012-04-01	GARY WAGNER	GARY WAGNER	2014-01-10
002	2011-04-01	GARY WAGNER	GARY WAGNER	2012-10-22
002	2009-04-01	GARY WAGNER

Plan Statistics for SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2015: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-04-01 60
Total number of active participants reported on line 7a of the Form 5500 2015-04-01 0
Total of all active and inactive participants 2015-04-01 0
Total participants 2015-04-01 0
2014: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-04-01 60
Total number of active participants reported on line 7a of the Form 5500 2014-04-01 22
Number of other retired or separated participants entitled to future benefits 2014-04-01 38
Total of all active and inactive participants 2014-04-01 60
Total participants 2014-04-01 60
Number of participants with account balances 2014-04-01 60
2013: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-04-01 60
Total number of active participants reported on line 7a of the Form 5500 2013-04-01 22
Number of other retired or separated participants entitled to future benefits 2013-04-01 38
Total of all active and inactive participants 2013-04-01 60
Total participants 2013-04-01 60
Number of participants with account balances 2013-04-01 60
2012: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-04-01 49
Total number of active participants reported on line 7a of the Form 5500 2012-04-01 22
Number of other retired or separated participants entitled to future benefits 2012-04-01 20
Total of all active and inactive participants 2012-04-01 42
Total participants 2012-04-01 42
Number of participants with account balances 2012-04-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-04-01 6
2011: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-04-01 52
Total number of active participants reported on line 7a of the Form 5500 2011-04-01 36
Number of other retired or separated participants entitled to future benefits 2011-04-01 13
Total of all active and inactive participants 2011-04-01 49
Total participants 2011-04-01 49
Number of participants with account balances 2011-04-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-04-01 4
2009: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-04-01 41
Total number of active participants reported on line 7a of the Form 5500 2009-04-01 39
Number of retired or separated participants receiving benefits 2009-04-01 0
Number of other retired or separated participants entitled to future benefits 2009-04-01 5
Total of all active and inactive participants 2009-04-01 44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-04-01 0
Total participants 2009-04-01 44
Number of participants with account balances 2009-04-01 44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-04-01 4

Measure	Date	Value
2015: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-04-01	60
Total number of active participants reported on line 7a of the Form 5500	2015-04-01	0
Total of all active and inactive participants	2015-04-01	0
Total participants	2015-04-01	0
2014: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-04-01	60
Total number of active participants reported on line 7a of the Form 5500	2014-04-01	22
Number of other retired or separated participants entitled to future benefits	2014-04-01	38
Total of all active and inactive participants	2014-04-01	60
Total participants	2014-04-01	60
Number of participants with account balances	2014-04-01	60
2013: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-04-01	60
Total number of active participants reported on line 7a of the Form 5500	2013-04-01	22
Number of other retired or separated participants entitled to future benefits	2013-04-01	38
Total of all active and inactive participants	2013-04-01	60
Total participants	2013-04-01	60
Number of participants with account balances	2013-04-01	60
2012: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-04-01	49
Total number of active participants reported on line 7a of the Form 5500	2012-04-01	22
Number of other retired or separated participants entitled to future benefits	2012-04-01	20
Total of all active and inactive participants	2012-04-01	42
Total participants	2012-04-01	42
Number of participants with account balances	2012-04-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-04-01	6
2011: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-04-01	52
Total number of active participants reported on line 7a of the Form 5500	2011-04-01	36
Number of other retired or separated participants entitled to future benefits	2011-04-01	13
Total of all active and inactive participants	2011-04-01	49
Total participants	2011-04-01	49
Number of participants with account balances	2011-04-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-04-01	4
2009: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-04-01	41
Total number of active participants reported on line 7a of the Form 5500	2009-04-01	39
Number of retired or separated participants receiving benefits	2009-04-01	0
Number of other retired or separated participants entitled to future benefits	2009-04-01	5
Total of all active and inactive participants	2009-04-01	44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-04-01	0
Total participants	2009-04-01	44
Number of participants with account balances	2009-04-01	44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-04-01	4

Financial Data on SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2015 : SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-09-11	$0
Total plan liabilities at beginning of year	2015-09-11	$1,994,969
Total plan assets at end of year	2015-09-11	$0
Total plan assets at beginning of year	2015-09-11	$1,994,969
Value of fidelity bond covering the plan	2015-09-11	$500,000
Net plan assets at end of year (total assets less liabilities)	2015-09-11	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-09-11	$0
Total plan liabilities at end of year	2015-03-31	$1,994,969
Total plan liabilities at beginning of year	2015-03-31	$1,994,969
Total income from all sources	2015-03-31	$0
Expenses. Total of all expenses incurred	2015-03-31	$0
Total plan assets at end of year	2015-03-31	$1,994,969
Total plan assets at beginning of year	2015-03-31	$1,994,969
Value of fidelity bond covering the plan	2015-03-31	$500,000
Net income (gross income less expenses)	2015-03-31	$0
Net plan assets at end of year (total assets less liabilities)	2015-03-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-03-31	$0
Assets. Value of employer securities	2015-03-31	$1,994,969
2014 : SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-03-31	$1,994,969
Total plan liabilities at beginning of year	2014-03-31	$1,749,680
Total income from all sources	2014-03-31	$-869,139
Expenses. Total of all expenses incurred	2014-03-31	$0
Total plan assets at end of year	2014-03-31	$1,994,969
Total plan assets at beginning of year	2014-03-31	$2,618,819
Value of fidelity bond covering the plan	2014-03-31	$500,000
Other income received	2014-03-31	$-869,139
Net income (gross income less expenses)	2014-03-31	$-869,139
Net plan assets at end of year (total assets less liabilities)	2014-03-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-03-31	$869,139
Assets. Value of employer securities	2014-03-31	$1,994,969
2013 : SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-03-31	$1,749,680
Total plan liabilities at beginning of year	2013-03-31	$1,994,969
Total income from all sources	2013-03-31	$208,189
Expenses. Total of all expenses incurred	2013-03-31	$105,718
Benefits paid (including direct rollovers)	2013-03-31	$8,052
Total plan assets at end of year	2013-03-31	$2,618,819
Total plan assets at beginning of year	2013-03-31	$2,761,637
Value of fidelity bond covering the plan	2013-03-31	$500,000
Expenses. Other expenses not covered elsewhere	2013-03-31	$97,666
Other income received	2013-03-31	$-142,819
Net income (gross income less expenses)	2013-03-31	$102,471
Net plan assets at end of year (total assets less liabilities)	2013-03-31	$869,139
Net plan assets at beginning of year (total assets less liabilities)	2013-03-31	$766,668
Assets. Value of employer securities	2013-03-31	$869,139
Total contributions received or receivable from employer(s)	2013-03-31	$351,008
2012 : SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-03-31	$1,994,969
Total plan liabilities at beginning of year	2012-03-31	$2,230,252
Total income from all sources	2012-03-31	$-933,517
Expenses. Total of all expenses incurred	2012-03-31	$113,964
Benefits paid (including direct rollovers)	2012-03-31	$6,316
Total plan assets at end of year	2012-03-31	$2,761,637
Total plan assets at beginning of year	2012-03-31	$4,044,401
Value of fidelity bond covering the plan	2012-03-31	$500,000
Expenses. Other expenses not covered elsewhere	2012-03-31	$107,648
Other income received	2012-03-31	$-1,282,764
Net income (gross income less expenses)	2012-03-31	$-1,047,481
Net plan assets at end of year (total assets less liabilities)	2012-03-31	$766,668
Net plan assets at beginning of year (total assets less liabilities)	2012-03-31	$1,814,149
Assets. Value of employer securities	2012-03-31	$766,668
Total contributions received or receivable from employer(s)	2012-03-31	$349,247
2011 : SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-03-31	$2,230,252
Total plan liabilities at beginning of year	2011-03-31	$2,455,021
Total income from all sources	2011-03-31	$276,463
Expenses. Total of all expenses incurred	2011-03-31	$118,172
Total plan assets at end of year	2011-03-31	$4,044,401
Total plan assets at beginning of year	2011-03-31	$4,110,879
Value of fidelity bond covering the plan	2011-03-31	$500,000
Expenses. Other expenses not covered elsewhere	2011-03-31	$118,172
Other income received	2011-03-31	$-66,477
Net income (gross income less expenses)	2011-03-31	$158,291
Net plan assets at end of year (total assets less liabilities)	2011-03-31	$1,814,149
Net plan assets at beginning of year (total assets less liabilities)	2011-03-31	$1,655,858
Assets. Value of employer securities	2011-03-31	$1,814,149
Total contributions received or receivable from employer(s)	2011-03-31	$342,940

Form 5500 Responses for SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2015: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-04-01	Type of plan entity	Single employer plan
2015-04-01	Submission has been amended	No
2015-04-01	This submission is the final filing	Yes
2015-04-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-04-01	Plan is a collectively bargained plan	No
2015-04-01	Plan funding arrangement – Trust	Yes
2015-04-01	Plan benefit arrangement - Trust	Yes
2014: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-04-01	Type of plan entity	Single employer plan
2014-04-01	Submission has been amended	No
2014-04-01	This submission is the final filing	No
2014-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-04-01	Plan is a collectively bargained plan	No
2014-04-01	Plan funding arrangement – Trust	Yes
2014-04-01	Plan benefit arrangement - Trust	Yes
2013: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-04-01	Type of plan entity	Single employer plan
2013-04-01	Submission has been amended	No
2013-04-01	This submission is the final filing	No
2013-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-04-01	Plan is a collectively bargained plan	No
2013-04-01	Plan funding arrangement – Trust	Yes
2013-04-01	Plan benefit arrangement - Trust	Yes
2012: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-04-01	Type of plan entity	Single employer plan
2012-04-01	Submission has been amended	No
2012-04-01	This submission is the final filing	No
2012-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-04-01	Plan is a collectively bargained plan	No
2012-04-01	Plan funding arrangement – Trust	Yes
2012-04-01	Plan benefit arrangement - Trust	Yes
2011: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-04-01	Type of plan entity	Single employer plan
2011-04-01	Submission has been amended	No
2011-04-01	This submission is the final filing	No
2011-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-04-01	Plan is a collectively bargained plan	No
2011-04-01	Plan funding arrangement – Trust	Yes
2011-04-01	Plan benefit arrangement - Trust	Yes
2009: SMITH & SCHAEFER, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-04-01	Type of plan entity	Single employer plan
2009-04-01	Submission has been amended	No
2009-04-01	This submission is the final filing	No
2009-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-04-01	Plan is a collectively bargained plan	No
2009-04-01	Plan funding arrangement – Trust	Yes
2009-04-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SMITH & SCHAEFER, INC.
Employer identification number (EIN):	310557076
NAIC Classification:	442110
NAIC Description:	Furniture Stores

Jurisdiction of Incorporation:	Ohio Secretary of State Business Services Division
Incorporation Date:	1952-04-22
Company Identification Number:	227629
Legal Registered Office Address:	3035 READING RD - CINCINNATI United States of America (USA) 45206