401k Plan data: S & W MARINE, INC. 401(K)PLAN plan

S & W MARINE, INC. 401(K)PLAN 401k Plan overview

Plan Name	S & W MARINE, INC. 401(K)PLAN
Plan identification number	001

S & W MARINE, INC. 401(K)PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.

401k Sponsoring company profile

S & W MARINE, INC. has sponsored the creation of one or more 401k plans.

Company Name: S & W MARINE, INC.

Employer identification number (EIN): 721135694

NAIC Classification: 483000
NAIC Description: Water Transportation

Form 5500 Filing Information

Submission information for form 5500 for 401k plan S & W MARINE, INC. 401(K)PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 MICHELLE ANSELMI 2017-05-17
001 2016-01-01 MICHELLE ANSELMI 2017-05-17
001 2015-01-01 MICHELLE ANSELMI 2016-06-09
001 2014-01-01 MICHELLE ANSELMI
001 2013-01-01 MICHELLE ANSELMI
001 2012-01-01 MICHELLE ANSELMI
001 2011-01-01 MICHELLE ANSELMI
001 2009-01-01 MICHELLE ANSELMI

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2017-01-01	MICHELLE ANSELMI	2017-05-17
001	2016-01-01	MICHELLE ANSELMI	2017-05-17
001	2015-01-01	MICHELLE ANSELMI	2016-06-09
001	2014-01-01	MICHELLE ANSELMI
001	2013-01-01	MICHELLE ANSELMI
001	2012-01-01	MICHELLE ANSELMI
001	2011-01-01	MICHELLE ANSELMI
001	2009-01-01	MICHELLE ANSELMI

Plan Statistics for S & W MARINE, INC. 401(K)PLAN

401k plan membership statisitcs for S & W MARINE, INC. 401(K)PLAN

Measure Date Value
2014: S & W MARINE, INC. 401(K)PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 11
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 1
Total of all active and inactive participants 2014-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 13
Number of participants with account balances 2014-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: S & W MARINE, INC. 401(K)PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 15
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 15
Number of participants with account balances 2013-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: S & W MARINE, INC. 401(K)PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 23
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 0
Total of all active and inactive participants 2012-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 23
Number of participants with account balances 2012-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: S & W MARINE, INC. 401(K)PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 14
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 0
Total of all active and inactive participants 2011-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 14
Number of participants with account balances 2011-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: S & W MARINE, INC. 401(K)PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 14
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 0
Total of all active and inactive participants 2009-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 14
Number of participants with account balances 2009-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: S & W MARINE, INC. 401(K)PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	11
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	1
Total of all active and inactive participants	2014-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	13
Number of participants with account balances	2014-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: S & W MARINE, INC. 401(K)PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	15
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	15
Number of participants with account balances	2013-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: S & W MARINE, INC. 401(K)PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	23
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	0
Total of all active and inactive participants	2012-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	23
Number of participants with account balances	2012-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: S & W MARINE, INC. 401(K)PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	14
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	0
Total of all active and inactive participants	2011-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	14
Number of participants with account balances	2011-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: S & W MARINE, INC. 401(K)PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	14
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	0
Total of all active and inactive participants	2009-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	14
Number of participants with account balances	2009-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on S & W MARINE, INC. 401(K)PLAN

Measure	Date	Value
2014 : S & W MARINE, INC. 401(K)PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$43,532
Expenses. Total of all expenses incurred	2014-12-31	$109,412
Benefits paid (including direct rollovers)	2014-12-31	$109,249
Total plan assets at end of year	2014-12-31	$263,852
Total plan assets at beginning of year	2014-12-31	$329,732
Total contributions received or receivable from participants	2014-12-31	$23,524
Expenses. Other expenses not covered elsewhere	2014-12-31	$163
Other income received	2014-12-31	$20,008
Net income (gross income less expenses)	2014-12-31	$-65,880
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$263,852
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$329,732
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : S & W MARINE, INC. 401(K)PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$70,868
Expenses. Total of all expenses incurred	2013-12-31	$11,729
Benefits paid (including direct rollovers)	2013-12-31	$11,729
Total plan assets at end of year	2013-12-31	$329,732
Total plan assets at beginning of year	2013-12-31	$270,593
Total contributions received or receivable from participants	2013-12-31	$27,284
Other income received	2013-12-31	$43,584
Net income (gross income less expenses)	2013-12-31	$59,139
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$329,732
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$270,593
Total contributions received or receivable from employer(s)	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : S & W MARINE, INC. 401(K)PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$50,494
Expenses. Total of all expenses incurred	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$270,593
Total plan assets at beginning of year	2012-12-31	$220,099
Total contributions received or receivable from participants	2012-12-31	$20,429
Other income received	2012-12-31	$30,065
Net income (gross income less expenses)	2012-12-31	$50,494
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$270,593
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$220,099
Assets. Value of participant loans	2012-12-31	$819
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : S & W MARINE, INC. 401(K)PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$24,706
Expenses. Total of all expenses incurred	2011-12-31	$355
Benefits paid (including direct rollovers)	2011-12-31	$355
Total plan assets at end of year	2011-12-31	$220,099
Total plan assets at beginning of year	2011-12-31	$195,748
Total contributions received or receivable from participants	2011-12-31	$20,104
Other income received	2011-12-31	$4,602
Net income (gross income less expenses)	2011-12-31	$24,351
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$220,099
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$195,748
Assets. Value of participant loans	2011-12-31	$2,573
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : S & W MARINE, INC. 401(K)PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$42,127
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$195,748
Total plan assets at beginning of year	2010-12-31	$153,621
Total contributions received or receivable from participants	2010-12-31	$21,589
Other income received	2010-12-31	$20,538
Net income (gross income less expenses)	2010-12-31	$42,127
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$195,748
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$153,621
Assets. Value of participant loans	2010-12-31	$4,559
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : S & W MARINE, INC. 401(K)PLAN 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

Form 5500 Responses for S & W MARINE, INC. 401(K)PLAN

2014: S & W MARINE, INC. 401(K)PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: S & W MARINE, INC. 401(K)PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: S & W MARINE, INC. 401(K)PLAN 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 submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: S & W MARINE, INC. 401(K)PLAN 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
2009: S & W MARINE, INC. 401(K)PLAN 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:	S & W MARINE, INC.
Employer identification number (EIN):	721135694
NAIC Classification:	483000
NAIC Description:	Water Transportation