401k Plan data: LACY & CO SAFE HARBOR 401K PLAN plan

LACY & CO SAFE HARBOR 401K PLAN 401k Plan overview

Plan Name	LACY & CO SAFE HARBOR 401K PLAN
Plan identification number	001

LACY & CO SAFE HARBOR 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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

WOOD JEWELERS. INC. has sponsored the creation of one or more 401k plans.

Company Name: WOOD JEWELERS. INC.

Employer identification number (EIN): 741612564

NAIC Classification: 448310
NAIC Description: Jewelry Stores

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LACY & CO SAFE HARBOR 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-07-01 CHARLES LACY, III CHARLES LACY, III 2013-07-24
001 2011-07-01 CHARLES LACY, III CHARLES LACY, III 2012-11-02
001 2010-07-01 CHARLES LACY, III CHARLES LACY, III 2011-11-21
001 2009-07-01 CHARLES LACY, III CHARLES LACY, III 2011-03-31

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-07-01	CHARLES LACY, III	CHARLES LACY, III	2013-07-24
001	2011-07-01	CHARLES LACY, III	CHARLES LACY, III	2012-11-02
001	2010-07-01	CHARLES LACY, III	CHARLES LACY, III	2011-11-21
001	2009-07-01	CHARLES LACY, III	CHARLES LACY, III	2011-03-31

Plan Statistics for LACY & CO SAFE HARBOR 401K PLAN

401k plan membership statisitcs for LACY & CO SAFE HARBOR 401K PLAN

Measure Date Value
2012: LACY & CO SAFE HARBOR 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-07-01 16
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 0
Number of retired or separated participants receiving benefits 2012-07-01 0
Number of other retired or separated participants entitled to future benefits 2012-07-01 0
Total of all active and inactive participants 2012-07-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-07-01 0
Total participants 2012-07-01 0
Number of participants with account balances 2012-07-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-07-01 0
2011: LACY & CO SAFE HARBOR 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-07-01 20
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 10
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 6
Total of all active and inactive participants 2011-07-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 0
Total participants 2011-07-01 16
Number of participants with account balances 2011-07-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 0
2010: LACY & CO SAFE HARBOR 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-07-01 19
Total number of active participants reported on line 7a of the Form 5500 2010-07-01 11
Number of retired or separated participants receiving benefits 2010-07-01 0
Number of other retired or separated participants entitled to future benefits 2010-07-01 8
Total of all active and inactive participants 2010-07-01 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-07-01 0
Total participants 2010-07-01 19
Number of participants with account balances 2010-07-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-07-01 0
2009: LACY & CO SAFE HARBOR 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 18
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 9
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 9
Total of all active and inactive participants 2009-07-01 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 0
Total participants 2009-07-01 18
Number of participants with account balances 2009-07-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 0

Measure	Date	Value
2012: LACY & CO SAFE HARBOR 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-07-01	16
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	0
Number of retired or separated participants receiving benefits	2012-07-01	0
Number of other retired or separated participants entitled to future benefits	2012-07-01	0
Total of all active and inactive participants	2012-07-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-07-01	0
Total participants	2012-07-01	0
Number of participants with account balances	2012-07-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-07-01	0
2011: LACY & CO SAFE HARBOR 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-07-01	20
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	10
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	6
Total of all active and inactive participants	2011-07-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	0
Total participants	2011-07-01	16
Number of participants with account balances	2011-07-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	0
2010: LACY & CO SAFE HARBOR 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-07-01	19
Total number of active participants reported on line 7a of the Form 5500	2010-07-01	11
Number of retired or separated participants receiving benefits	2010-07-01	0
Number of other retired or separated participants entitled to future benefits	2010-07-01	8
Total of all active and inactive participants	2010-07-01	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-07-01	0
Total participants	2010-07-01	19
Number of participants with account balances	2010-07-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-07-01	0
2009: LACY & CO SAFE HARBOR 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	18
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	9
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	9
Total of all active and inactive participants	2009-07-01	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	0
Total participants	2009-07-01	18
Number of participants with account balances	2009-07-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	0

Financial Data on LACY & CO SAFE HARBOR 401K PLAN

Measure	Date	Value
2013 : LACY & CO SAFE HARBOR 401K PLAN 2013 401k financial data
Total income from all sources	2013-06-15	$292,390
Expenses. Total of all expenses incurred	2013-06-15	$1,555,221
Benefits paid (including direct rollovers)	2013-06-15	$1,555,221
Total plan assets at end of year	2013-06-15	$0
Total plan assets at beginning of year	2013-06-15	$1,262,831
Value of fidelity bond covering the plan	2013-06-15	$140,000
Total contributions received or receivable from participants	2013-06-15	$85,462
Other income received	2013-06-15	$189,924
Net income (gross income less expenses)	2013-06-15	$-1,262,831
Net plan assets at end of year (total assets less liabilities)	2013-06-15	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-06-15	$1,262,831
Total contributions received or receivable from employer(s)	2013-06-15	$17,004
2012 : LACY & CO SAFE HARBOR 401K PLAN 2012 401k financial data
Total income from all sources	2012-06-30	$80,718
Expenses. Total of all expenses incurred	2012-06-30	$190,677
Benefits paid (including direct rollovers)	2012-06-30	$190,677
Total plan assets at end of year	2012-06-30	$1,262,831
Total plan assets at beginning of year	2012-06-30	$1,372,790
Value of fidelity bond covering the plan	2012-06-30	$120,000
Total contributions received or receivable from participants	2012-06-30	$74,692
Contributions received from other sources (not participants or employers)	2012-06-30	$17,524
Other income received	2012-06-30	$-42,721
Net income (gross income less expenses)	2012-06-30	$-109,959
Net plan assets at end of year (total assets less liabilities)	2012-06-30	$1,262,831
Net plan assets at beginning of year (total assets less liabilities)	2012-06-30	$1,372,790
Total contributions received or receivable from employer(s)	2012-06-30	$31,223
2011 : LACY & CO SAFE HARBOR 401K PLAN 2011 401k financial data
Total income from all sources	2011-06-30	$281,122
Expenses. Total of all expenses incurred	2011-06-30	$948
Benefits paid (including direct rollovers)	2011-06-30	$948
Total plan assets at end of year	2011-06-30	$1,372,790
Total plan assets at beginning of year	2011-06-30	$1,092,616
Value of fidelity bond covering the plan	2011-06-30	$120,000
Total contributions received or receivable from participants	2011-06-30	$70,694
Other income received	2011-06-30	$182,377
Net income (gross income less expenses)	2011-06-30	$280,174
Net plan assets at end of year (total assets less liabilities)	2011-06-30	$1,372,790
Net plan assets at beginning of year (total assets less liabilities)	2011-06-30	$1,092,616
Total contributions received or receivable from employer(s)	2011-06-30	$28,051

Form 5500 Responses for LACY & CO SAFE HARBOR 401K PLAN

2012: LACY & CO SAFE HARBOR 401K PLAN 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Submission has been amended	No
2012-07-01	This submission is the final filing	Yes
2012-07-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-07-01	Plan is a collectively bargained plan	No
2012-07-01	Plan funding arrangement – Trust	Yes
2012-07-01	Plan benefit arrangement - Trust	Yes
2011: LACY & CO SAFE HARBOR 401K PLAN 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Submission has been amended	No
2011-07-01	This submission is the final filing	No
2011-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-07-01	Plan is a collectively bargained plan	No
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2010: LACY & CO SAFE HARBOR 401K PLAN 2010 form 5500 responses
2010-07-01	Type of plan entity	Single employer plan
2010-07-01	Submission has been amended	No
2010-07-01	This submission is the final filing	No
2010-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-07-01	Plan is a collectively bargained plan	No
2010-07-01	Plan funding arrangement – Trust	Yes
2010-07-01	Plan benefit arrangement - Trust	Yes
2009: LACY & CO SAFE HARBOR 401K PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	No
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	No
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes

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Company Name:	WOOD JEWELERS. INC.
Employer identification number (EIN):	741612564
NAIC Classification:	448310
NAIC Description:	Jewelry Stores