Logo

HARRIS & HARRIS LTD 401(K) PLAN 401k Plan overview

Plan NameHARRIS & HARRIS LTD 401(K) PLAN
Plan identification number 001

HARRIS & HARRIS LTD 401(K) PLAN Benefits

401k Plan TypeDefined 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

HARRIS & HARRIS, LTD. has sponsored the creation of one or more 401k plans.

Company Name:HARRIS & HARRIS, LTD.
Employer identification number (EIN):362650423
NAIC Classification:561440
NAIC Description:Collection Agencies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HARRIS & HARRIS LTD 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01KIONNA GALLOWAY
0012016-01-01KIONNA GALLOWAY
0012015-01-01KIONNA GALLOWAY KIONNA GALLOWAY2016-10-17
0012014-01-01KIONNA GALLOWAY
0012013-01-01KIONNA GALLOWAY
0012012-01-01KIONNA GALLOWAY
0012011-01-01KIONNA GALLOWAY
0012009-01-01ANDREA MARIN

Plan Statistics for HARRIS & HARRIS LTD 401(K) PLAN

401k plan membership statisitcs for HARRIS & HARRIS LTD 401(K) PLAN

Measure Date Value
2023: HARRIS & HARRIS LTD 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01423
Total number of active participants reported on line 7a of the Form 55002023-01-01380
Number of retired or separated participants receiving benefits2023-01-010
Number of other retired or separated participants entitled to future benefits2023-01-0163
Total of all active and inactive participants2023-01-01443
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-010
Total participants2023-01-01443
Number of participants with account balances2023-01-01267
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-010
2022: HARRIS & HARRIS LTD 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01435
Total number of active participants reported on line 7a of the Form 55002022-01-01347
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0160
Total of all active and inactive participants2022-01-01407
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01407
Number of participants with account balances2022-01-01257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: HARRIS & HARRIS LTD 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01467
Total number of active participants reported on line 7a of the Form 55002021-01-01343
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0163
Total of all active and inactive participants2021-01-01406
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01406
Number of participants with account balances2021-01-01264
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: HARRIS & HARRIS LTD 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01524
Total number of active participants reported on line 7a of the Form 55002020-01-01406
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0160
Total of all active and inactive participants2020-01-01466
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01466
Number of participants with account balances2020-01-01283
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-013
2019: HARRIS & HARRIS LTD 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01516
Total number of active participants reported on line 7a of the Form 55002019-01-01448
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0157
Total of all active and inactive participants2019-01-01505
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01505
Number of participants with account balances2019-01-01291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0116
2018: HARRIS & HARRIS LTD 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01485
Total number of active participants reported on line 7a of the Form 55002018-01-01407
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01108
Total of all active and inactive participants2018-01-01515
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01515
Number of participants with account balances2018-01-01299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0123
2017: HARRIS & HARRIS LTD 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01405
Total number of active participants reported on line 7a of the Form 55002017-01-01362
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01100
Total of all active and inactive participants2017-01-01462
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01462
Number of participants with account balances2017-01-01282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0113
2016: HARRIS & HARRIS LTD 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01385
Total number of active participants reported on line 7a of the Form 55002016-01-01296
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0194
Total of all active and inactive participants2016-01-01390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01390
Number of participants with account balances2016-01-01255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: HARRIS & HARRIS LTD 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01313
Total number of active participants reported on line 7a of the Form 55002015-01-01296
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0180
Total of all active and inactive participants2015-01-01376
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01376
Number of participants with account balances2015-01-01234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: HARRIS & HARRIS LTD 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01350
Total number of active participants reported on line 7a of the Form 55002014-01-01264
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-010
Total of all active and inactive participants2014-01-01264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01264
Number of participants with account balances2014-01-01207
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0195
2013: HARRIS & HARRIS LTD 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01332
Total number of active participants reported on line 7a of the Form 55002013-01-01288
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0162
Total of all active and inactive participants2013-01-01350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01350
Number of participants with account balances2013-01-01205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-01106
2012: HARRIS & HARRIS LTD 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01261
Total number of active participants reported on line 7a of the Form 55002012-01-01263
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0151
Total of all active and inactive participants2012-01-01314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01315
Number of participants with account balances2012-01-01169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0168
2011: HARRIS & HARRIS LTD 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01209
Total number of active participants reported on line 7a of the Form 55002011-01-01218
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0129
Total of all active and inactive participants2011-01-01247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01247
Number of participants with account balances2011-01-01134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0163
2009: HARRIS & HARRIS LTD 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01244
Total number of active participants reported on line 7a of the Form 55002009-01-01220
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0112
Total of all active and inactive participants2009-01-01232
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-012
Total participants2009-01-01234
Number of participants with account balances2009-01-0177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

Financial Data on HARRIS & HARRIS LTD 401(K) PLAN

Measure Date Value
2023 : HARRIS & HARRIS LTD 401(K) PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total transfer of assets to this plan2023-12-31$0
Total transfer of assets from this plan2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$3,735,702
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$754,707
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$695,762
Expenses. Certain deemed distributions of participant loans2023-12-31$15,532
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$1,897,414
Value of total assets at end of year2023-12-31$13,644,506
Value of total assets at beginning of year2023-12-31$10,663,511
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$43,413
Total interest from all sources2023-12-31$33,520
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$328,392
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$328,392
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$500,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$1,159,309
Participant contributions at end of year2023-12-31$551,286
Participant contributions at beginning of year2023-12-31$452,459
Participant contributions at end of year2023-12-31$39,388
Participant contributions at beginning of year2023-12-31$28,923
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$172,721
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$2,980,995
Value of net assets at end of year (total assets less liabilities)2023-12-31$13,644,506
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$10,663,511
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$12,202,859
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$9,391,976
Interest on participant loans2023-12-31$33,520
Value of interest in common/collective trusts at end of year2023-12-31$832,439
Value of interest in common/collective trusts at beginning of year2023-12-31$775,040
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$1,457,627
Net investment gain or loss from common/collective trusts2023-12-31$18,749
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$565,384
Employer contributions (assets) at end of year2023-12-31$18,534
Employer contributions (assets) at beginning of year2023-12-31$15,113
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$695,762
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31MILLER COOPER & CO., LTD
Accountancy firm EIN2023-12-31362897372
2022 : HARRIS & HARRIS LTD 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets to this plan2022-12-31$0
Total transfer of assets from this plan2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-581,120
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$2,330,388
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$2,263,394
Expenses. Certain deemed distributions of participant loans2022-12-31$24,703
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,550,110
Value of total assets at end of year2022-12-31$10,663,511
Value of total assets at beginning of year2022-12-31$13,575,019
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$42,291
Total interest from all sources2022-12-31$25,052
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$476,730
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$476,730
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$1,031,098
Participant contributions at end of year2022-12-31$452,459
Participant contributions at beginning of year2022-12-31$492,395
Participant contributions at end of year2022-12-31$28,923
Other income not declared elsewhere2022-12-31$157
Administrative expenses (other) incurred2022-12-31$42,291
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-2,911,508
Value of net assets at end of year (total assets less liabilities)2022-12-31$10,663,511
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$13,575,019
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$9,391,976
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$12,299,827
Interest on participant loans2022-12-31$25,052
Value of interest in common/collective trusts at end of year2022-12-31$775,040
Value of interest in common/collective trusts at beginning of year2022-12-31$782,797
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-2,650,956
Net investment gain or loss from common/collective trusts2022-12-31$17,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$519,012
Employer contributions (assets) at end of year2022-12-31$15,113
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$2,263,394
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31MILLER COOPER
Accountancy firm EIN2022-12-31362897372
2021 : HARRIS & HARRIS LTD 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets to this plan2021-12-31$0
Total transfer of assets from this plan2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$33,062
Total income from all sources (including contributions)2021-12-31$3,036,556
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$809,815
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$737,826
Expenses. Certain deemed distributions of participant loans2021-12-31$33,064
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,441,140
Value of total assets at end of year2021-12-31$13,575,019
Value of total assets at beginning of year2021-12-31$11,381,340
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$38,925
Total interest from all sources2021-12-31$35,629
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,201,251
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$1,201,251
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$952,167
Participant contributions at end of year2021-12-31$492,395
Participant contributions at beginning of year2021-12-31$521,082
Participant contributions at beginning of year2021-12-31$22,695
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$33,062
Other income not declared elsewhere2021-12-31$49
Administrative expenses (other) incurred2021-12-31$38,925
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$2,226,741
Value of net assets at end of year (total assets less liabilities)2021-12-31$13,575,019
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$11,348,278
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$12,299,827
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$9,670,513
Interest on participant loans2021-12-31$35,629
Value of interest in common/collective trusts at end of year2021-12-31$782,797
Value of interest in common/collective trusts at beginning of year2021-12-31$1,167,050
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$344,899
Net investment gain or loss from common/collective trusts2021-12-31$13,588
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$488,973
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$737,826
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31MILLER COOPER
Accountancy firm EIN2021-12-31362897372
2020 : HARRIS & HARRIS LTD 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$0
Total transfer of assets from this plan2020-12-31$371,999
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$33,062
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$1,558
Total income from all sources (including contributions)2020-12-31$2,316,250
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$758,915
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$670,408
Expenses. Certain deemed distributions of participant loans2020-12-31$45,190
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,062,084
Value of total assets at end of year2020-12-31$11,381,340
Value of total assets at beginning of year2020-12-31$10,164,500
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$43,317
Total interest from all sources2020-12-31$28,118
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$272,458
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$272,458
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$803,926
Participant contributions at end of year2020-12-31$521,082
Participant contributions at beginning of year2020-12-31$562,236
Participant contributions at end of year2020-12-31$22,695
Participant contributions at beginning of year2020-12-31$3,368
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$77,875
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$33,062
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$1,558
Other income not declared elsewhere2020-12-31$907
Administrative expenses (other) incurred2020-12-31$43,317
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$1,557,335
Value of net assets at end of year (total assets less liabilities)2020-12-31$11,348,278
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$10,162,942
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$9,670,513
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$9,069,493
Interest on participant loans2020-12-31$28,118
Value of interest in common/collective trusts at end of year2020-12-31$1,167,050
Value of interest in common/collective trusts at beginning of year2020-12-31$528,243
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$931,221
Net investment gain or loss from common/collective trusts2020-12-31$21,462
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$180,283
Employer contributions (assets) at beginning of year2020-12-31$1,160
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$670,408
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31MILLER COOPER
Accountancy firm EIN2020-12-31362897372
2019 : HARRIS & HARRIS LTD 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets to this plan2019-12-31$0
Total transfer of assets from this plan2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$1,558
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$55,925
Total income from all sources (including contributions)2019-12-31$3,265,875
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$390,940
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$346,011
Expenses. Certain deemed distributions of participant loans2019-12-31$2,640
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,461,222
Value of total assets at end of year2019-12-31$10,164,500
Value of total assets at beginning of year2019-12-31$7,343,932
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$42,289
Total interest from all sources2019-12-31$25,018
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$318,379
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$318,379
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$911,563
Participant contributions at end of year2019-12-31$562,236
Participant contributions at beginning of year2019-12-31$401,688
Participant contributions at end of year2019-12-31$3,368
Participant contributions at beginning of year2019-12-31$3,368
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$49,626
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$1,558
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$55,925
Other income not declared elsewhere2019-12-31$30,506
Administrative expenses (other) incurred2019-12-31$42,289
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$2,874,935
Value of net assets at end of year (total assets less liabilities)2019-12-31$10,162,942
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$7,288,007
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$9,069,493
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$6,894,285
Interest on participant loans2019-12-31$25,018
Value of interest in common/collective trusts at end of year2019-12-31$528,243
Value of interest in common/collective trusts at beginning of year2019-12-31$43,744
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,421,946
Net investment gain or loss from common/collective trusts2019-12-31$8,804
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$500,033
Employer contributions (assets) at end of year2019-12-31$1,160
Employer contributions (assets) at beginning of year2019-12-31$847
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$346,011
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31MILLER COOPER
Accountancy firm EIN2019-12-31362897372
2018 : HARRIS & HARRIS LTD 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$0
Total transfer of assets from this plan2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$55,925
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$38,831
Total income from all sources (including contributions)2018-12-31$416,779
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$679,395
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$650,204
Expenses. Certain deemed distributions of participant loans2018-12-31$9,764
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,016,339
Value of total assets at end of year2018-12-31$7,343,932
Value of total assets at beginning of year2018-12-31$7,589,454
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$19,427
Total interest from all sources2018-12-31$17,629
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$441,898
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$441,898
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$753,357
Participant contributions at end of year2018-12-31$401,688
Participant contributions at beginning of year2018-12-31$325,023
Participant contributions at end of year2018-12-31$3,368
Participant contributions at beginning of year2018-12-31$4,000
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$14,095
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$55,925
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$38,831
Administrative expenses (other) incurred2018-12-31$19,427
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-262,616
Value of net assets at end of year (total assets less liabilities)2018-12-31$7,288,007
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$7,550,623
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$6,894,285
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$7,197,266
Interest on participant loans2018-12-31$17,629
Value of interest in common/collective trusts at end of year2018-12-31$43,744
Value of interest in common/collective trusts at beginning of year2018-12-31$62,165
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,060,160
Net investment gain or loss from common/collective trusts2018-12-31$1,073
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$248,887
Employer contributions (assets) at end of year2018-12-31$847
Employer contributions (assets) at beginning of year2018-12-31$1,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$650,204
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31MILLER COOPER & CO., LTD
Accountancy firm EIN2018-12-31362897372
2017 : HARRIS & HARRIS LTD 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$0
Total transfer of assets from this plan2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$38,831
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$2,193,247
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$758,052
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$737,135
Expenses. Certain deemed distributions of participant loans2017-12-31$2,895
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,055,723
Value of total assets at end of year2017-12-31$7,589,454
Value of total assets at beginning of year2017-12-31$6,115,428
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$18,022
Total interest from all sources2017-12-31$13,554
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$306,082
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$306,082
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$721,411
Participant contributions at end of year2017-12-31$325,023
Participant contributions at beginning of year2017-12-31$370,023
Participant contributions at end of year2017-12-31$4,000
Participant contributions at beginning of year2017-12-31$4,000
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$2,755
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-12-31$38,831
Administrative expenses (other) incurred2017-12-31$18,022
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$1,435,195
Value of net assets at end of year (total assets less liabilities)2017-12-31$7,550,623
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$6,115,428
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$7,197,266
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$5,691,192
Interest on participant loans2017-12-31$13,554
Value of interest in common/collective trusts at end of year2017-12-31$62,165
Value of interest in common/collective trusts at beginning of year2017-12-31$48,880
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$815,645
Net investment gain or loss from common/collective trusts2017-12-31$2,243
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$331,557
Employer contributions (assets) at end of year2017-12-31$1,000
Employer contributions (assets) at beginning of year2017-12-31$1,333
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$737,135
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31MILLER COOPER
Accountancy firm EIN2017-12-31362897372
2016 : HARRIS & HARRIS LTD 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets to this plan2016-12-31$0
Total transfer of assets from this plan2016-12-31$0
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$1,436,781
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$250,306
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$222,720
Expenses. Certain deemed distributions of participant loans2016-12-31$10,627
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,030,839
Value of total assets at end of year2016-12-31$6,115,428
Value of total assets at beginning of year2016-12-31$4,928,953
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$16,959
Total interest from all sources2016-12-31$15,249
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$184,478
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$184,478
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$493,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$664,707
Participant contributions at end of year2016-12-31$370,023
Participant contributions at beginning of year2016-12-31$363,477
Participant contributions at end of year2016-12-31$4,000
Participant contributions at beginning of year2016-12-31$4,000
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$8,558
Other income not declared elsewhere2016-12-31$0
Administrative expenses (other) incurred2016-12-31$16,959
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$1,186,475
Value of net assets at end of year (total assets less liabilities)2016-12-31$6,115,428
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$4,928,953
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$5,691,192
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$4,551,019
Interest on participant loans2016-12-31$15,249
Value of interest in common/collective trusts at end of year2016-12-31$48,880
Value of interest in common/collective trusts at beginning of year2016-12-31$9,124
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$205,980
Net investment gain or loss from common/collective trusts2016-12-31$235
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$357,574
Employer contributions (assets) at end of year2016-12-31$1,333
Employer contributions (assets) at beginning of year2016-12-31$1,333
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$222,720
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31MILLER COOPER
Accountancy firm EIN2016-12-31362897372
2015 : HARRIS & HARRIS LTD 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets from this plan2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$869,641
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$898,721
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$873,938
Expenses. Certain deemed distributions of participant loans2015-12-31$9,144
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$904,089
Value of total assets at end of year2015-12-31$4,928,953
Value of total assets at beginning of year2015-12-31$4,958,033
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$15,639
Total interest from all sources2015-12-31$12,692
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$195,108
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$195,108
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$496,000
If this is an individual account plan, was there a blackout period2015-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$584,088
Participant contributions at end of year2015-12-31$363,477
Participant contributions at beginning of year2015-12-31$251,869
Participant contributions at end of year2015-12-31$4,000
Participant contributions at beginning of year2015-12-31$15,064
Other income not declared elsewhere2015-12-31$860
Administrative expenses (other) incurred2015-12-31$15,639
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-29,080
Value of net assets at end of year (total assets less liabilities)2015-12-31$4,928,953
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$4,958,033
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$4,551,019
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$4,450,152
Interest on participant loans2015-12-31$12,692
Value of interest in common/collective trusts at end of year2015-12-31$9,124
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$232,323
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-243,213
Net investment gain or loss from common/collective trusts2015-12-31$105
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$320,001
Employer contributions (assets) at end of year2015-12-31$1,333
Employer contributions (assets) at beginning of year2015-12-31$8,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$873,938
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31Yes
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31MILLER, COOPER & CO., LTD
Accountancy firm EIN2015-12-31362897372
2014 : HARRIS & HARRIS LTD 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets2014-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$0
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$0
Total transfer of assets from this plan2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Expenses. Interest paid2014-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022014-12-31$0
Total income from all sources (including contributions)2014-12-31$1,015,052
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$251,462
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$246,472
Expenses. Certain deemed distributions of participant loans2014-12-31$0
Value of total corrective distributions2014-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$788,590
Value of total assets at end of year2014-12-31$4,958,033
Value of total assets at beginning of year2014-12-31$4,194,443
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$4,990
Total income from rents2014-12-31$0
Total interest from all sources2014-12-31$13,524
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$163,372
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$163,372
Assets. Real estate other than employer real property at end of year2014-12-31$0
Assets. Real estate other than employer real property at beginning of year2014-12-31$0
Administrative expenses professional fees incurred2014-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2014-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2014-12-31$0
Was this plan covered by a fidelity bond2014-12-31No
If this is an individual account plan, was there a blackout period2014-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$437,275
Participant contributions at end of year2014-12-31$251,869
Participant contributions at beginning of year2014-12-31$197,637
Participant contributions at end of year2014-12-31$15,064
Participant contributions at beginning of year2014-12-31$0
Assets. Other investments not covered elsewhere at end of year2014-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$73,611
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2014-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$0
Assets. Loans (other than to participants) at end of year2014-12-31$0
Assets. Loans (other than to participants) at beginning of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Other income not declared elsewhere2014-12-31$0
Administrative expenses (other) incurred2014-12-31$0
Liabilities. Value of operating payables at end of year2014-12-31$0
Liabilities. Value of operating payables at beginning of year2014-12-31$0
Total non interest bearing cash at end of year2014-12-31$0
Total non interest bearing cash at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Income. Non cash contributions2014-12-31$0
Value of net income/loss2014-12-31$763,590
Value of net assets at end of year (total assets less liabilities)2014-12-31$4,958,033
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$4,194,443
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Assets. partnership/joint venture interests at end of year2014-12-31$0
Assets. partnership/joint venture interests at beginning of year2014-12-31$0
Investment advisory and management fees2014-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$4,450,152
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$3,556,591
Value of interest in pooled separate accounts at end of year2014-12-31$0
Value of interest in pooled separate accounts at beginning of year2014-12-31$0
Interest on participant loans2014-12-31$8,484
Income. Interest from loans (other than to participants)2014-12-31$0
Interest earned on other investments2014-12-31$5,040
Income. Interest from US Government securities2014-12-31$0
Income. Interest from corporate debt instruments2014-12-31$0
Value of interest in master investment trust accounts at end of year2014-12-31$0
Value of interest in master investment trust accounts at beginning of year2014-12-31$0
Value of interest in common/collective trusts at end of year2014-12-31$0
Value of interest in common/collective trusts at beginning of year2014-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2014-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2014-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$232,323
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$440,215
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$0
Asset value of US Government securities at end of year2014-12-31$0
Asset value of US Government securities at beginning of year2014-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$49,566
Net investment gain/loss from pooled separate accounts2014-12-31$0
Net investment gain or loss from common/collective trusts2014-12-31$0
Net gain/loss from 103.12 investment entities2014-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Assets. Invements in employer securities at end of year2014-12-31$0
Assets. Invements in employer securities at beginning of year2014-12-31$0
Assets. Value of employer real property at end of year2014-12-31$0
Assets. Value of employer real property at beginning of year2014-12-31$0
Contributions received in cash from employer2014-12-31$277,704
Employer contributions (assets) at end of year2014-12-31$8,625
Employer contributions (assets) at beginning of year2014-12-31$0
Income. Dividends from preferred stock2014-12-31$0
Income. Dividends from common stock2014-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$246,472
Asset. Corporate debt instrument preferred debt at end of year2014-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2014-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2014-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2014-12-31$0
Contract administrator fees2014-12-31$4,990
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31Yes
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$0
Liabilities. Value of benefit claims payable at end of year2014-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2014-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2014-12-31$0
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$0
Aggregate carrying amount (costs) on sale of assets2014-12-31$0
Liabilities. Value of acquisition indebtedness at end of year2014-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2014-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31MILLER COOPER
Accountancy firm EIN2014-12-31362897372
2013 : HARRIS & HARRIS LTD 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets2013-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$0
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Expenses. Interest paid2013-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022013-12-31$0
Total income from all sources (including contributions)2013-12-31$1,316,365
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$190,660
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$153,101
Expenses. Certain deemed distributions of participant loans2013-12-31$16,753
Value of total corrective distributions2013-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$679,643
Value of total assets at end of year2013-12-31$4,194,443
Value of total assets at beginning of year2013-12-31$3,068,738
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$20,806
Total income from rents2013-12-31$0
Total interest from all sources2013-12-31$8,853
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$129,698
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$129,698
Assets. Real estate other than employer real property at end of year2013-12-31$0
Assets. Real estate other than employer real property at beginning of year2013-12-31$0
Administrative expenses professional fees incurred2013-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2013-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2013-12-31$0
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$410,142
Participant contributions at end of year2013-12-31$197,637
Participant contributions at beginning of year2013-12-31$107,207
Participant contributions at end of year2013-12-31$0
Participant contributions at beginning of year2013-12-31$0
Assets. Other investments not covered elsewhere at end of year2013-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$7,267
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Assets. Loans (other than to participants) at end of year2013-12-31$0
Assets. Loans (other than to participants) at beginning of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$0
Other income not declared elsewhere2013-12-31$0
Administrative expenses (other) incurred2013-12-31$0
Liabilities. Value of operating payables at end of year2013-12-31$0
Liabilities. Value of operating payables at beginning of year2013-12-31$0
Total non interest bearing cash at end of year2013-12-31$0
Total non interest bearing cash at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Income. Non cash contributions2013-12-31$0
Value of net income/loss2013-12-31$1,125,705
Value of net assets at end of year (total assets less liabilities)2013-12-31$4,194,443
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$3,068,738
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Assets. partnership/joint venture interests at end of year2013-12-31$0
Assets. partnership/joint venture interests at beginning of year2013-12-31$0
Investment advisory and management fees2013-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$3,556,591
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$2,846,174
Value of interest in pooled separate accounts at end of year2013-12-31$0
Value of interest in pooled separate accounts at beginning of year2013-12-31$0
Interest on participant loans2013-12-31$5,988
Income. Interest from loans (other than to participants)2013-12-31$0
Interest earned on other investments2013-12-31$2,865
Income. Interest from US Government securities2013-12-31$0
Income. Interest from corporate debt instruments2013-12-31$0
Value of interest in master investment trust accounts at end of year2013-12-31$0
Value of interest in master investment trust accounts at beginning of year2013-12-31$0
Value of interest in common/collective trusts at end of year2013-12-31$0
Value of interest in common/collective trusts at beginning of year2013-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2013-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2013-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$440,215
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$100,611
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$0
Asset value of US Government securities at end of year2013-12-31$0
Asset value of US Government securities at beginning of year2013-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$498,171
Net investment gain/loss from pooled separate accounts2013-12-31$0
Net investment gain or loss from common/collective trusts2013-12-31$0
Net gain/loss from 103.12 investment entities2013-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$0
Assets. Invements in employer securities at beginning of year2013-12-31$0
Assets. Value of employer real property at end of year2013-12-31$0
Assets. Value of employer real property at beginning of year2013-12-31$0
Contributions received in cash from employer2013-12-31$262,234
Employer contributions (assets) at end of year2013-12-31$0
Employer contributions (assets) at beginning of year2013-12-31$14,746
Income. Dividends from preferred stock2013-12-31$0
Income. Dividends from common stock2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$153,101
Asset. Corporate debt instrument preferred debt at end of year2013-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2013-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2013-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2013-12-31$0
Contract administrator fees2013-12-31$20,806
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$0
Liabilities. Value of benefit claims payable at end of year2013-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2013-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2013-12-31$0
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$0
Aggregate carrying amount (costs) on sale of assets2013-12-31$0
Liabilities. Value of acquisition indebtedness at end of year2013-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2013-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31MILLER, COOPER AND CO., LTD.
Accountancy firm EIN2013-12-31362897372
2012 : HARRIS & HARRIS LTD 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets2012-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$0
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Expenses. Interest paid2012-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022012-12-31$0
Total income from all sources (including contributions)2012-12-31$927,280
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$362,053
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$322,118
Expenses. Certain deemed distributions of participant loans2012-12-31$37,872
Value of total corrective distributions2012-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$578,313
Value of total assets at end of year2012-12-31$3,068,738
Value of total assets at beginning of year2012-12-31$2,503,511
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$2,063
Total income from rents2012-12-31$0
Total interest from all sources2012-12-31$6,618
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$68,061
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$68,061
Assets. Real estate other than employer real property at end of year2012-12-31$0
Assets. Real estate other than employer real property at beginning of year2012-12-31$0
Administrative expenses professional fees incurred2012-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2012-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2012-12-31$0
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$347,135
Participant contributions at end of year2012-12-31$107,207
Participant contributions at beginning of year2012-12-31$117,193
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$0
Assets. Other investments not covered elsewhere at end of year2012-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$12,308
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$0
Assets. Loans (other than to participants) at end of year2012-12-31$0
Assets. Loans (other than to participants) at beginning of year2012-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$0
Other income not declared elsewhere2012-12-31$0
Administrative expenses (other) incurred2012-12-31$0
Liabilities. Value of operating payables at end of year2012-12-31$0
Liabilities. Value of operating payables at beginning of year2012-12-31$0
Total non interest bearing cash at end of year2012-12-31$0
Total non interest bearing cash at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Income. Non cash contributions2012-12-31$0
Value of net income/loss2012-12-31$565,227
Value of net assets at end of year (total assets less liabilities)2012-12-31$3,068,738
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$2,503,511
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Assets. partnership/joint venture interests at end of year2012-12-31$0
Assets. partnership/joint venture interests at beginning of year2012-12-31$0
Investment advisory and management fees2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$2,846,174
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$2,136,740
Value of interest in pooled separate accounts at end of year2012-12-31$0
Value of interest in pooled separate accounts at beginning of year2012-12-31$0
Interest on participant loans2012-12-31$4,945
Income. Interest from loans (other than to participants)2012-12-31$0
Interest earned on other investments2012-12-31$1,673
Income. Interest from US Government securities2012-12-31$0
Income. Interest from corporate debt instruments2012-12-31$0
Value of interest in master investment trust accounts at end of year2012-12-31$0
Value of interest in master investment trust accounts at beginning of year2012-12-31$0
Value of interest in common/collective trusts at end of year2012-12-31$0
Value of interest in common/collective trusts at beginning of year2012-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2012-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$100,611
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$223,578
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$0
Asset value of US Government securities at end of year2012-12-31$0
Asset value of US Government securities at beginning of year2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$274,288
Net investment gain/loss from pooled separate accounts2012-12-31$0
Net investment gain or loss from common/collective trusts2012-12-31$0
Net gain/loss from 103.12 investment entities2012-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Assets. Invements in employer securities at end of year2012-12-31$0
Assets. Invements in employer securities at beginning of year2012-12-31$0
Assets. Value of employer real property at end of year2012-12-31$0
Assets. Value of employer real property at beginning of year2012-12-31$0
Contributions received in cash from employer2012-12-31$218,870
Employer contributions (assets) at end of year2012-12-31$14,746
Employer contributions (assets) at beginning of year2012-12-31$26,000
Income. Dividends from preferred stock2012-12-31$0
Income. Dividends from common stock2012-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$322,118
Asset. Corporate debt instrument preferred debt at end of year2012-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2012-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2012-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2012-12-31$0
Contract administrator fees2012-12-31$2,063
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$0
Liabilities. Value of benefit claims payable at end of year2012-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2012-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2012-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2012-12-31$0
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$0
Aggregate carrying amount (costs) on sale of assets2012-12-31$0
Liabilities. Value of acquisition indebtedness at end of year2012-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2012-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31MILLER, COOPER AND CO., LTD.
Accountancy firm EIN2012-12-31362897372
2011 : HARRIS & HARRIS LTD 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets2011-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$0
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets to this plan2011-12-31$0
Total transfer of assets from this plan2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Expenses. Interest paid2011-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022011-12-31$0
Total income from all sources (including contributions)2011-12-31$553,822
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$288,091
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$279,511
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Value of total corrective distributions2011-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$631,873
Value of total assets at end of year2011-12-31$2,503,511
Value of total assets at beginning of year2011-12-31$2,237,780
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$8,580
Total income from rents2011-12-31$0
Total interest from all sources2011-12-31$7,100
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$68,884
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$68,884
Assets. Real estate other than employer real property at end of year2011-12-31$0
Assets. Real estate other than employer real property at beginning of year2011-12-31$0
Administrative expenses professional fees incurred2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$275,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$331,541
Participant contributions at end of year2011-12-31$117,193
Participant contributions at beginning of year2011-12-31$145,237
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$85,876
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$0
Assets. Loans (other than to participants) at end of year2011-12-31$0
Assets. Loans (other than to participants) at beginning of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$0
Other income not declared elsewhere2011-12-31$0
Administrative expenses (other) incurred2011-12-31$0
Liabilities. Value of operating payables at end of year2011-12-31$0
Liabilities. Value of operating payables at beginning of year2011-12-31$0
Total non interest bearing cash at end of year2011-12-31$0
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Income. Non cash contributions2011-12-31$0
Value of net income/loss2011-12-31$265,731
Value of net assets at end of year (total assets less liabilities)2011-12-31$2,503,511
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$2,237,780
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at end of year2011-12-31$0
Assets. partnership/joint venture interests at beginning of year2011-12-31$0
Investment advisory and management fees2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$2,136,740
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$1,870,861
Value of interest in pooled separate accounts at end of year2011-12-31$0
Value of interest in pooled separate accounts at beginning of year2011-12-31$0
Interest on participant loans2011-12-31$6,608
Income. Interest from loans (other than to participants)2011-12-31$0
Interest earned on other investments2011-12-31$492
Income. Interest from US Government securities2011-12-31$0
Income. Interest from corporate debt instruments2011-12-31$0
Value of interest in master investment trust accounts at end of year2011-12-31$0
Value of interest in master investment trust accounts at beginning of year2011-12-31$0
Value of interest in common/collective trusts at end of year2011-12-31$0
Value of interest in common/collective trusts at beginning of year2011-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$200,682
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$200,682
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2011-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$223,578
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$0
Asset value of US Government securities at end of year2011-12-31$0
Asset value of US Government securities at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-154,035
Net investment gain/loss from pooled separate accounts2011-12-31$0
Net investment gain or loss from common/collective trusts2011-12-31$0
Net gain/loss from 103.12 investment entities2011-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$0
Assets. Invements in employer securities at beginning of year2011-12-31$0
Assets. Value of employer real property at end of year2011-12-31$0
Assets. Value of employer real property at beginning of year2011-12-31$0
Contributions received in cash from employer2011-12-31$214,456
Employer contributions (assets) at end of year2011-12-31$26,000
Employer contributions (assets) at beginning of year2011-12-31$21,000
Income. Dividends from preferred stock2011-12-31$0
Income. Dividends from common stock2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$279,511
Asset. Corporate debt instrument preferred debt at end of year2011-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$0
Contract administrator fees2011-12-31$8,580
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$0
Liabilities. Value of benefit claims payable at end of year2011-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2011-12-31$0
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$0
Aggregate carrying amount (costs) on sale of assets2011-12-31$0
Liabilities. Value of acquisition indebtedness at end of year2011-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2011-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31MILLER, COOPER AND CO., LTD.
Accountancy firm EIN2011-12-31362897372
2010 : HARRIS & HARRIS LTD 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$675,548
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$349,156
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$341,206
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$431,308
Value of total assets at end of year2010-12-31$2,237,780
Value of total assets at beginning of year2010-12-31$1,911,388
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$7,950
Total interest from all sources2010-12-31$7,106
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$35,997
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$35,997
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$239,712
Participant contributions at end of year2010-12-31$145,237
Participant contributions at beginning of year2010-12-31$104,388
Participant contributions at beginning of year2010-12-31$23,619
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$24,580
Administrative expenses (other) incurred2010-12-31$7,950
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$326,392
Value of net assets at end of year (total assets less liabilities)2010-12-31$2,237,780
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$1,911,388
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$1,870,861
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$1,455,397
Interest on participant loans2010-12-31$7,064
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$200,682
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$312,390
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$312,390
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$42
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$201,137
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$167,016
Employer contributions (assets) at end of year2010-12-31$21,000
Employer contributions (assets) at beginning of year2010-12-31$15,594
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$341,206
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31MILLER, COOPER AND CO., LTD.
Accountancy firm EIN2010-12-31362897372
2009 : HARRIS & HARRIS LTD 401(K) PLAN 2009 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2009-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2009-12-31$0
Total income from all sources (including contributions)2009-12-31$739,678
Total of all expenses incurred2009-12-31$190,508
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2009-12-31$157,630
Expenses. Certain deemed distributions of participant loans2009-12-31$25,412
Total contributions o plan (from employers,participants, others, non cash contrinutions)2009-12-31$407,058
Value of total assets at end of year2009-12-31$1,911,388
Value of total assets at beginning of year2009-12-31$1,362,218
Total of administrative expenses incurred including professional, contract, advisory and management fees2009-12-31$7,466
Total interest from all sources2009-12-31$6,209
Total dividends received (eg from common stock, registered investment company shares)2009-12-31$26,539
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2009-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2009-12-31$26,539
Was this plan covered by a fidelity bond2009-12-31Yes
Value of fidelity bond cover2009-12-31$1,000,000
If this is an individual account plan, was there a blackout period2009-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0
Were there any nonexempt tranactions with any party-in-interest2009-12-31No
Contributions received from participants2009-12-31$228,771
Participant contributions at end of year2009-12-31$104,388
Participant contributions at beginning of year2009-12-31$101,251
Participant contributions at end of year2009-12-31$23,619
Participant contributions at beginning of year2009-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2009-12-31$26,924
Administrative expenses (other) incurred2009-12-31$7,466
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2009-12-31No
Value of net income/loss2009-12-31$549,170
Value of net assets at end of year (total assets less liabilities)2009-12-31$1,911,388
Value of net assets at beginning of year (total assets less liabilities)2009-12-31$1,362,218
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2009-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2009-12-31No
Were any leases to which the plan was party in default or uncollectible2009-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2009-12-31$1,455,397
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2009-12-31$1,072,553
Interest on participant loans2009-12-31$5,107
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2009-12-31$312,390
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2009-12-31$188,414
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2009-12-31$188,414
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2009-12-31$1,102
Net investment gain/loss from registered investment companies (e.g. mutual funds)2009-12-31$299,872
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2009-12-31No
Was there a failure to transmit to the plan any participant contributions2009-12-31No
Has the plan failed to provide any benefit when due under the plan2009-12-31No
Contributions received in cash from employer2009-12-31$151,363
Employer contributions (assets) at end of year2009-12-31$15,594
Employer contributions (assets) at beginning of year2009-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2009-12-31$157,630
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32009-12-31No
Did the plan have assets held for investment2009-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2009-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2009-12-31No
Accountancy firm name2009-12-31OSTROW REISIN BERK & ABRAMS, LTD
Accountancy firm EIN2009-12-31362938874

Form 5500 Responses for HARRIS & HARRIS LTD 401(K) PLAN

2023: HARRIS & HARRIS LTD 401(K) PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: HARRIS & HARRIS LTD 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: HARRIS & HARRIS LTD 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: HARRIS & HARRIS LTD 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: HARRIS & HARRIS LTD 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: HARRIS & HARRIS LTD 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: HARRIS & HARRIS LTD 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: HARRIS & HARRIS LTD 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: HARRIS & HARRIS LTD 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: HARRIS & HARRIS LTD 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: HARRIS & HARRIS LTD 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: HARRIS & HARRIS LTD 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: HARRIS & HARRIS LTD 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: HARRIS & HARRIS LTD 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number333256-01
Policy instance 1
Insurance contract or identification number333256-01
Number of Individuals Covered0
Insurance policy start date2015-01-01
Insurance policy end date2015-01-01
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number333256-01
Policy instance 1
Insurance contract or identification number333256-01
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number333256-01
Policy instance 1
Insurance contract or identification number333256-01
Number of Individuals Covered11
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number333256-01
Policy instance 1
Insurance contract or identification number333256-01
Number of Individuals Covered14
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number333256-01
Policy instance 1
Insurance contract or identification number333256-01
Number of Individuals Covered14
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

Potentially related plans

Was this data useful?
If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us.

Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer
The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Copyright © Market Footprint Ltd
Contact us   Datalog Company Directory
401k Lookup     VAT Lookup S1