401k Plan data: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST plan

CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 401k Plan overview

Plan Name	CALDWELL AND SANTMYER INC 401(K) PSP & TRUST
Plan identification number	002

CALDWELL AND SANTMYER INC 401(K) PSP & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

CALDWELL & SANTMYER INC. has sponsored the creation of one or more 401k plans.

Company Name: CALDWELL & SANTMYER INC.

Employer identification number (EIN): 541143725

NAIC Classification: 236200

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CALDWELL AND SANTMYER INC 401(K) PSP & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 JENNIFER ROY 2017-12-07
002 2016-01-01 JENNIFER ROY 2017-10-13 JENNIFER ROY 2017-10-13
002 2015-01-01 JENNIFER ROY 2016-10-17 JENNIFER 2016-10-17
002 2014-01-01 THOMAS CONABOY 2015-08-21 THOMAS CONABOY 2015-08-21
002 2013-01-01 ANITA SHULL 2014-10-07 ANITA SHULL 2014-10-07
002 2012-01-01 CALDWELL SANTMYER INC
002 2011-01-01 CALDWELL SANTMYER INC
002 2010-01-01 CALDWELL SANTMYER INC
002 2009-01-01 CALDWELL SANTMYER INC
002 2009-01-01 CALDWELL SANTMYER INC

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2017-01-01	JENNIFER ROY	2017-12-07
002	2016-01-01	JENNIFER ROY	2017-10-13	JENNIFER ROY	2017-10-13
002	2015-01-01	JENNIFER ROY	2016-10-17	JENNIFER	2016-10-17
002	2014-01-01	THOMAS CONABOY	2015-08-21	THOMAS CONABOY	2015-08-21
002	2013-01-01	ANITA SHULL	2014-10-07	ANITA SHULL	2014-10-07
002	2012-01-01	CALDWELL SANTMYER INC
002	2011-01-01	CALDWELL SANTMYER INC
002	2010-01-01	CALDWELL SANTMYER INC
002	2009-01-01	CALDWELL SANTMYER INC
002	2009-01-01	CALDWELL SANTMYER INC

Plan Statistics for CALDWELL AND SANTMYER INC 401(K) PSP & TRUST

401k plan membership statisitcs for CALDWELL AND SANTMYER INC 401(K) PSP & TRUST

Measure Date Value
2012: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 10
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 6
Total of all active and inactive participants 2012-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 16
Number of participants with account balances 2012-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 11
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 6
Total of all active and inactive participants 2011-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 17
Number of participants with account balances 2011-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 26
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 12
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 6
Total of all active and inactive participants 2010-01-01 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 18
Number of participants with account balances 2010-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 21
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 26
Number of participants with account balances 2009-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	10
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	6
Total of all active and inactive participants	2012-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	16
Number of participants with account balances	2012-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	11
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	6
Total of all active and inactive participants	2011-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	17
Number of participants with account balances	2011-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	26
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	12
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	6
Total of all active and inactive participants	2010-01-01	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	18
Number of participants with account balances	2010-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	21
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	26
Number of participants with account balances	2009-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CALDWELL AND SANTMYER INC 401(K) PSP & TRUST

Measure	Date	Value
2012 : CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$86,462
Expenses. Total of all expenses incurred	2012-12-31	$35,335
Benefits paid (including direct rollovers)	2012-12-31	$35,270
Total plan assets at end of year	2012-12-31	$395,203
Total plan assets at beginning of year	2012-12-31	$344,076
Value of fidelity bond covering the plan	2012-12-31	$0
Total contributions received or receivable from participants	2012-12-31	$48,263
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$38,199
Net income (gross income less expenses)	2012-12-31	$51,127
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$395,203
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$344,076
Assets. Value of participant loans	2012-12-31	$17,019
Total contributions received or receivable from employer(s)	2012-12-31	$0
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$65
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2011 : CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$39,083
Expenses. Total of all expenses incurred	2011-12-31	$336,637
Benefits paid (including direct rollovers)	2011-12-31	$336,477
Total plan assets at end of year	2011-12-31	$344,076
Total plan assets at beginning of year	2011-12-31	$641,630
Value of fidelity bond covering the plan	2011-12-31	$70,000
Total contributions received or receivable from participants	2011-12-31	$32,492
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$6,591
Net income (gross income less expenses)	2011-12-31	$-297,554
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$344,076
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$641,630
Assets. Value of participant loans	2011-12-31	$17,776
Total contributions received or receivable from employer(s)	2011-12-31	$0
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$160
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$162,962
Expenses. Total of all expenses incurred	2010-12-31	$73,719
Benefits paid (including direct rollovers)	2010-12-31	$73,519
Total plan assets at end of year	2010-12-31	$641,630
Total plan assets at beginning of year	2010-12-31	$552,387
Value of fidelity bond covering the plan	2010-12-31	$70,000
Total contributions received or receivable from participants	2010-12-31	$31,407
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$87,308
Net income (gross income less expenses)	2010-12-31	$89,243
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$641,630
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$552,387
Assets. Value of participant loans	2010-12-31	$27,816
Total contributions received or receivable from employer(s)	2010-12-31	$44,247
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$200
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2009 : CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for CALDWELL AND SANTMYER INC 401(K) PSP & TRUST

2012: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CALDWELL AND SANTMYER INC 401(K) PSP & TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CALDWELL & SANTMYER INC.
Employer identification number (EIN):	541143725
NAIC Classification:	236200