401k Plan data: BAUMGARTNER & COMPANY, LLC 401(K) PLAN plan

BAUMGARTNER & COMPANY, LLC 401(K) PLAN 401k Plan overview

Plan Name	BAUMGARTNER & COMPANY, LLC 401(K) PLAN
Plan identification number	001

BAUMGARTNER & COMPANY, LLC 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.
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

BAUMGARTNER & COMPANY, LLC has sponsored the creation of one or more 401k plans.

Company Name: BAUMGARTNER & COMPANY, LLC

Employer identification number (EIN): 351889453

NAIC Classification: 237310
NAIC Description: Highway, Street, and Bridge Construction

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BAUMGARTNER & COMPANY, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 STEVE GEORGE 2024-04-19
001 2022-01-01 STEVE GEORGE 2023-07-10
001 2021-01-01 STEVE GEORGE 2022-09-09
001 2020-01-01 STEVE GEORGE 2021-07-22
001 2019-01-01
001 2018-01-01 STEVE GEORGE
001 2017-01-01 STEVE GEORGE
001 2016-01-01 KAYLA MUSSON
001 2015-01-01 CRAIG BAUMGARTNER 2016-11-04
001 2015-01-01 CRAIG BAUMGARTNER 2016-10-19
001 2014-01-01 CRAIG BAUMGARTNER 2015-07-30 CRAIG BAUMGARTNER 2015-07-30
001 2013-01-01 CRAIG A. BAUMGARTNER 2014-09-26 CRAIG A. BAUMGARTNER 2014-09-26
001 2012-01-01 CRAIG BAUMGARTNER 2013-06-28 CRAIG BAUMGARTNER 2013-06-28
001 2011-01-01 CRAIG BAUMGARTNER 2012-06-28 CRAIG BAUMGARTNER 2012-06-28
001 2010-01-01 CRAIG BAUMGARTNER 2011-06-21 CRAIG BAUMGARTNER 2011-06-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	STEVE GEORGE	2024-04-19
001	2022-01-01	STEVE GEORGE	2023-07-10
001	2021-01-01	STEVE GEORGE	2022-09-09
001	2020-01-01	STEVE GEORGE	2021-07-22
001	2019-01-01
001	2018-01-01	STEVE GEORGE
001	2017-01-01	STEVE GEORGE
001	2016-01-01	KAYLA MUSSON
001	2015-01-01	CRAIG BAUMGARTNER	2016-11-04
001	2015-01-01	CRAIG BAUMGARTNER	2016-10-19
001	2014-01-01	CRAIG BAUMGARTNER	2015-07-30	CRAIG BAUMGARTNER	2015-07-30
001	2013-01-01	CRAIG A. BAUMGARTNER	2014-09-26	CRAIG A. BAUMGARTNER	2014-09-26
001	2012-01-01	CRAIG BAUMGARTNER	2013-06-28	CRAIG BAUMGARTNER	2013-06-28
001	2011-01-01	CRAIG BAUMGARTNER	2012-06-28	CRAIG BAUMGARTNER	2012-06-28
001	2010-01-01	CRAIG BAUMGARTNER	2011-06-21	CRAIG BAUMGARTNER	2011-06-21

Plan Statistics for BAUMGARTNER & COMPANY, LLC 401(K) PLAN

401k plan membership statisitcs for BAUMGARTNER & COMPANY, LLC 401(K) PLAN

Measure Date Value
2019: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 88
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 66
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 35
Total of all active and inactive participants 2019-01-01 101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 101
Number of participants with account balances 2019-01-01 88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 4
2018: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 61
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 55
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 33
Total of all active and inactive participants 2018-01-01 88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 88
Number of participants with account balances 2018-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 4
2017: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 64
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 55
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 6
Total of all active and inactive participants 2017-01-01 61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 61
Number of participants with account balances 2017-01-01 55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 79
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 61
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 3
Total of all active and inactive participants 2016-01-01 64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 64
Number of participants with account balances 2016-01-01 40

Measure	Date	Value
2019: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	88
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	66
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	35
Total of all active and inactive participants	2019-01-01	101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	101
Number of participants with account balances	2019-01-01	88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	4
2018: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	61
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	55
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	33
Total of all active and inactive participants	2018-01-01	88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	88
Number of participants with account balances	2018-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	4
2017: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	64
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	55
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	6
Total of all active and inactive participants	2017-01-01	61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	61
Number of participants with account balances	2017-01-01	55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	79
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	61
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	3
Total of all active and inactive participants	2016-01-01	64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	64
Number of participants with account balances	2016-01-01	40

Financial Data on BAUMGARTNER & COMPANY, LLC 401(K) PLAN

Measure	Date	Value
2019 : BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$825,966
Expenses. Total of all expenses incurred	2019-12-31	$54,627
Benefits paid (including direct rollovers)	2019-12-31	$46,248
Total plan assets at end of year	2019-12-31	$2,606,044
Total plan assets at beginning of year	2019-12-31	$1,834,705
Value of fidelity bond covering the plan	2019-12-31	$1,000,000
Total contributions received or receivable from participants	2019-12-31	$251,113
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$1,946
Other income received	2019-12-31	$461,729
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$771,339
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$2,606,044
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$1,834,705
Assets. Value of participant loans	2019-12-31	$65,400
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2019-12-31	$0
Total contributions received or receivable from employer(s)	2019-12-31	$111,178
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$6,260
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$2,119
2018 : BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$167,673
Expenses. Total of all expenses incurred	2018-12-31	$87,611
Benefits paid (including direct rollovers)	2018-12-31	$82,091
Total plan assets at end of year	2018-12-31	$1,834,705
Total plan assets at beginning of year	2018-12-31	$1,754,643
Value of fidelity bond covering the plan	2018-12-31	$237,310
Total contributions received or receivable from participants	2018-12-31	$150,634
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-127,864
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$80,062
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$1,834,705
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$1,754,643
Assets. Value of participant loans	2018-12-31	$48,254
Total contributions received or receivable from employer(s)	2018-12-31	$144,903
Value of certain deemed distributions of participant loans	2018-12-31	$3,851
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$1,669
2017 : BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$595,985
Expenses. Total of all expenses incurred	2017-12-31	$77,511
Benefits paid (including direct rollovers)	2017-12-31	$75,530
Total plan assets at end of year	2017-12-31	$1,754,643
Total plan assets at beginning of year	2017-12-31	$1,236,169
Value of fidelity bond covering the plan	2017-12-31	$237,310
Total contributions received or receivable from participants	2017-12-31	$173,272
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$268,741
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$518,474
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$1,754,643
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$1,236,169
Assets. Value of participant loans	2017-12-31	$26,228
Total contributions received or receivable from employer(s)	2017-12-31	$153,972
Value of certain deemed distributions of participant loans	2017-12-31	$1,531
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$450
2016 : BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$179,077
Expenses. Total of all expenses incurred	2016-12-31	$90,086
Benefits paid (including direct rollovers)	2016-12-31	$56,425
Total plan assets at end of year	2016-12-31	$1,236,169
Total plan assets at beginning of year	2016-12-31	$1,147,178
Value of fidelity bond covering the plan	2016-12-31	$237,310
Total contributions received or receivable from participants	2016-12-31	$66,811
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$109,640
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$88,991
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$1,236,169
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$1,147,178
Assets. Value of participant loans	2016-12-31	$25,866
Total contributions received or receivable from employer(s)	2016-12-31	$2,626
Value of certain deemed distributions of participant loans	2016-12-31	$33,548
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$113

Form 5500 Responses for BAUMGARTNER & COMPANY, LLC 401(K) PLAN

2019: BAUMGARTNER & COMPANY, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: BAUMGARTNER & COMPANY, LLC 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	No
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 – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: BAUMGARTNER & COMPANY, LLC 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 – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: BAUMGARTNER & COMPANY, LLC 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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BAUMGARTNER & COMPANY, LLC
Employer identification number (EIN):	351889453
NAIC Classification:	237310
NAIC Description:	Highway, Street, and Bridge Construction