401k Plan data: SMM ENTERPRISES, INC. 401(K) PLAN plan

SMM ENTERPRISES, INC. 401(K) PLAN 401k Plan overview

Plan Name	SMM ENTERPRISES, INC. 401(K) PLAN
Plan identification number	001

SMM ENTERPRISES, INC. 401(K) 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

SMM ENTERPRISES, INC. has sponsored the creation of one or more 401k plans.

Company Name: SMM ENTERPRISES, INC.

Employer identification number (EIN): 352573162

NAIC Classification: 713900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMM ENTERPRISES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-07-01
001 2018-07-01
001 2017-07-01 STEVEN MICHAEL MERGEN JR. STEVEN MICHAEL MERGEN JR. 2018-09-18
001 2016-09-27 STEVEN MICHAEL MERGEN JR. STEVEN MICHAEL MERGEN JR. 2018-01-06

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2019-07-01
001	2018-07-01
001	2017-07-01	STEVEN MICHAEL MERGEN JR.	STEVEN MICHAEL MERGEN JR.	2018-09-18
001	2016-09-27	STEVEN MICHAEL MERGEN JR.	STEVEN MICHAEL MERGEN JR.	2018-01-06

Plan Statistics for SMM ENTERPRISES, INC. 401(K) PLAN

401k plan membership statisitcs for SMM ENTERPRISES, INC. 401(K) PLAN

Measure Date Value
2019: SMM ENTERPRISES, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-07-01 6
Total number of active participants reported on line 7a of the Form 5500 2019-07-01 0
Number of retired or separated participants receiving benefits 2019-07-01 0
Number of other retired or separated participants entitled to future benefits 2019-07-01 0
Total of all active and inactive participants 2019-07-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-07-01 0
Total participants 2019-07-01 0
Number of participants with account balances 2019-07-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-07-01 0
2018: SMM ENTERPRISES, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-07-01 5
Total number of active participants reported on line 7a of the Form 5500 2018-07-01 4
Number of retired or separated participants receiving benefits 2018-07-01 0
Number of other retired or separated participants entitled to future benefits 2018-07-01 0
Total of all active and inactive participants 2018-07-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-07-01 0
Total participants 2018-07-01 4
Number of participants with account balances 2018-07-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-07-01 0
2017: SMM ENTERPRISES, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-07-01 1
Total number of active participants reported on line 7a of the Form 5500 2017-07-01 4
Number of retired or separated participants receiving benefits 2017-07-01 0
Number of other retired or separated participants entitled to future benefits 2017-07-01 0
Total of all active and inactive participants 2017-07-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-07-01 0
Total participants 2017-07-01 4
Number of participants with account balances 2017-07-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-07-01 0
2016: SMM ENTERPRISES, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-09-27 0
Total number of active participants reported on line 7a of the Form 5500 2016-09-27 1
Number of retired or separated participants receiving benefits 2016-09-27 0
Number of other retired or separated participants entitled to future benefits 2016-09-27 0
Total of all active and inactive participants 2016-09-27 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-09-27 0
Total participants 2016-09-27 1
Number of participants with account balances 2016-09-27 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-09-27 0

Measure	Date	Value
2019: SMM ENTERPRISES, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-07-01	6
Total number of active participants reported on line 7a of the Form 5500	2019-07-01	0
Number of retired or separated participants receiving benefits	2019-07-01	0
Number of other retired or separated participants entitled to future benefits	2019-07-01	0
Total of all active and inactive participants	2019-07-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-07-01	0
Total participants	2019-07-01	0
Number of participants with account balances	2019-07-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-07-01	0
2018: SMM ENTERPRISES, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-07-01	5
Total number of active participants reported on line 7a of the Form 5500	2018-07-01	4
Number of retired or separated participants receiving benefits	2018-07-01	0
Number of other retired or separated participants entitled to future benefits	2018-07-01	0
Total of all active and inactive participants	2018-07-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-07-01	0
Total participants	2018-07-01	4
Number of participants with account balances	2018-07-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-07-01	0
2017: SMM ENTERPRISES, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-07-01	1
Total number of active participants reported on line 7a of the Form 5500	2017-07-01	4
Number of retired or separated participants receiving benefits	2017-07-01	0
Number of other retired or separated participants entitled to future benefits	2017-07-01	0
Total of all active and inactive participants	2017-07-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-07-01	0
Total participants	2017-07-01	4
Number of participants with account balances	2017-07-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-07-01	0
2016: SMM ENTERPRISES, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-09-27	0
Total number of active participants reported on line 7a of the Form 5500	2016-09-27	1
Number of retired or separated participants receiving benefits	2016-09-27	0
Number of other retired or separated participants entitled to future benefits	2016-09-27	0
Total of all active and inactive participants	2016-09-27	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-09-27	0
Total participants	2016-09-27	1
Number of participants with account balances	2016-09-27	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-09-27	0

Financial Data on SMM ENTERPRISES, INC. 401(K) PLAN

Measure	Date	Value
2019 : SMM ENTERPRISES, INC. 401(K) PLAN 2019 401k financial data
Transfers to/from the plan	2019-10-20	$0
Total plan liabilities at end of year	2019-10-20	$0
Total plan liabilities at beginning of year	2019-10-20	$0
Total income from all sources	2019-10-20	$-17,748
Expenses. Total of all expenses incurred	2019-10-20	$0
Benefits paid (including direct rollovers)	2019-10-20	$0
Total plan assets at end of year	2019-10-20	$0
Total plan assets at beginning of year	2019-10-20	$17,748
Total contributions received or receivable from participants	2019-10-20	$0
Expenses. Other expenses not covered elsewhere	2019-10-20	$0
Contributions received from other sources (not participants or employers)	2019-10-20	$0
Other income received	2019-10-20	$-17,748
Noncash contributions received	2019-10-20	$0
Net income (gross income less expenses)	2019-10-20	$-17,748
Net plan assets at end of year (total assets less liabilities)	2019-10-20	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-10-20	$17,748
Assets. Value of employer securities	2019-10-20	$0
Total contributions received or receivable from employer(s)	2019-10-20	$0
Value of certain deemed distributions of participant loans	2019-10-20	$0
Value of corrective distributions	2019-10-20	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-10-20	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-10-20	$0
Transfers to/from the plan	2019-06-30	$0
Total plan liabilities at end of year	2019-06-30	$0
Total plan liabilities at beginning of year	2019-06-30	$0
Total income from all sources	2019-06-30	$339
Expenses. Total of all expenses incurred	2019-06-30	$0
Benefits paid (including direct rollovers)	2019-06-30	$0
Total plan assets at end of year	2019-06-30	$17,748
Total plan assets at beginning of year	2019-06-30	$17,409
Total contributions received or receivable from participants	2019-06-30	$0
Expenses. Other expenses not covered elsewhere	2019-06-30	$0
Contributions received from other sources (not participants or employers)	2019-06-30	$0
Other income received	2019-06-30	$339
Noncash contributions received	2019-06-30	$0
Net income (gross income less expenses)	2019-06-30	$339
Net plan assets at end of year (total assets less liabilities)	2019-06-30	$17,748
Net plan assets at beginning of year (total assets less liabilities)	2019-06-30	$17,409
Assets. Value of employer securities	2019-06-30	$17,748
Total contributions received or receivable from employer(s)	2019-06-30	$0
Value of certain deemed distributions of participant loans	2019-06-30	$0
Value of corrective distributions	2019-06-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-06-30	$0
2018 : SMM ENTERPRISES, INC. 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-06-30	$0
Total plan liabilities at end of year	2018-06-30	$0
Total plan liabilities at beginning of year	2018-06-30	$0
Total income from all sources	2018-06-30	$-87,549
Expenses. Total of all expenses incurred	2018-06-30	$0
Benefits paid (including direct rollovers)	2018-06-30	$0
Total plan assets at end of year	2018-06-30	$17,409
Total plan assets at beginning of year	2018-06-30	$104,958
Total contributions received or receivable from participants	2018-06-30	$0
Expenses. Other expenses not covered elsewhere	2018-06-30	$0
Contributions received from other sources (not participants or employers)	2018-06-30	$0
Other income received	2018-06-30	$-87,549
Noncash contributions received	2018-06-30	$0
Net income (gross income less expenses)	2018-06-30	$-87,549
Net plan assets at end of year (total assets less liabilities)	2018-06-30	$17,409
Net plan assets at beginning of year (total assets less liabilities)	2018-06-30	$104,958
Assets. Value of employer securities	2018-06-30	$17,409
Total contributions received or receivable from employer(s)	2018-06-30	$0
Value of certain deemed distributions of participant loans	2018-06-30	$0
Value of corrective distributions	2018-06-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-06-30	$0
2017 : SMM ENTERPRISES, INC. 401(K) PLAN 2017 401k financial data
Transfers to/from the plan	2017-06-30	$0
Total plan liabilities at end of year	2017-06-30	$0
Total plan liabilities at beginning of year	2017-06-30	$0
Total income from all sources	2017-06-30	$105,038
Expenses. Total of all expenses incurred	2017-06-30	$80
Benefits paid (including direct rollovers)	2017-06-30	$0
Total plan assets at end of year	2017-06-30	$104,958
Total plan assets at beginning of year	2017-06-30	$0
Total contributions received or receivable from participants	2017-06-30	$0
Expenses. Other expenses not covered elsewhere	2017-06-30	$80
Contributions received from other sources (not participants or employers)	2017-06-30	$156,077
Other income received	2017-06-30	$-51,039
Noncash contributions received	2017-06-30	$0
Net income (gross income less expenses)	2017-06-30	$104,958
Net plan assets at end of year (total assets less liabilities)	2017-06-30	$104,958
Net plan assets at beginning of year (total assets less liabilities)	2017-06-30	$0
Assets. Value of employer securities	2017-06-30	$104,958
Total contributions received or receivable from employer(s)	2017-06-30	$0
Value of certain deemed distributions of participant loans	2017-06-30	$0
Value of corrective distributions	2017-06-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-06-30	$0

Form 5500 Responses for SMM ENTERPRISES, INC. 401(K) PLAN

2019: SMM ENTERPRISES, INC. 401(K) PLAN 2019 form 5500 responses
2019-07-01	Type of plan entity	Single employer plan
2019-07-01	Submission has been amended	No
2019-07-01	This submission is the final filing	Yes
2019-07-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2019-07-01	Plan is a collectively bargained plan	No
2019-07-01	Plan funding arrangement – Trust	Yes
2019-07-01	Plan benefit arrangement - Trust	Yes
2018: SMM ENTERPRISES, INC. 401(K) PLAN 2018 form 5500 responses
2018-07-01	Type of plan entity	Single employer plan
2018-07-01	Submission has been amended	No
2018-07-01	This submission is the final filing	No
2018-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-07-01	Plan is a collectively bargained plan	No
2018-07-01	Plan funding arrangement – Trust	Yes
2018-07-01	Plan benefit arrangement - Trust	Yes
2017: SMM ENTERPRISES, INC. 401(K) PLAN 2017 form 5500 responses
2017-07-01	Type of plan entity	Single employer plan
2017-07-01	Submission has been amended	No
2017-07-01	This submission is the final filing	No
2017-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-07-01	Plan is a collectively bargained plan	No
2017-07-01	Plan funding arrangement – Trust	Yes
2017-07-01	Plan benefit arrangement - Trust	Yes
2016: SMM ENTERPRISES, INC. 401(K) PLAN 2016 form 5500 responses
2016-09-27	Type of plan entity	Single employer plan
2016-09-27	First time form 5500 has been submitted	Yes
2016-09-27	Submission has been amended	No
2016-09-27	This submission is the final filing	No
2016-09-27	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-09-27	Plan is a collectively bargained plan	No
2016-09-27	Plan funding arrangement – Trust	Yes
2016-09-27	Plan benefit arrangement - Trust	Yes

Potentially related plans

SMM ENTERPRISES, INC. GROUP BENEFITS PLAN [EIN = 860934448]

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Company Name:	SMM ENTERPRISES, INC.
Employer identification number (EIN):	352573162
NAIC Classification:	713900