401k Plan data: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN plan

LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN
Plan identification number	001

LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING 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.
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.
Plan covering Self-Employed individuals.
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

LUCAS & MERCANTI, LLP has sponsored the creation of one or more 401k plans.

Company Name: LUCAS & MERCANTI, LLP

Employer identification number (EIN): 753091703

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 DONALD LUCAS 2023-10-13 CHRIS PRENDERGAST 2023-10-13
001 2021-01-01 CHRIS PRENDERGAST 2022-09-05 CHRIS PRENDERGAST 2022-09-05
001 2020-01-01 LUCAS MERCANTI - C PRENDERGAST 2021-10-05 LUCAS MERCANTI - C PRENDERGAST 2021-10-05
001 2019-01-01 CHRISTOPHER PRENDERGAST 2020-10-21 CHRISTOPHER PRENDERGAST 2020-10-21
001 2018-01-01 CHRISTOPHER PRENDERGAST 2019-10-03
001 2017-01-01 CHRIS PRENDERGAST 2018-08-09 CHRIS PRENDERGAST 2018-08-09
001 2017-01-01 CHRIS PRENDERGAST 2018-08-09 CHRIS PRENDERGAST 2018-08-09
001 2016-01-01 CHRISTOPHER PRENDERGAST 2017-07-12 DONALD C. LUCAS 2017-07-12
001 2015-01-01 2016-07-28
001 2014-01-01 CHRISTOPHER PRENDERGAST CHRISTOPHER PRENDERGAST 2015-10-14
001 2013-01-01 CHRISTOPHER PRENDERGAST
001 2012-01-01 CHRISTOPHER PRENDERGAST
001 2011-01-01 LUCAS MERCANTI LLP 2012-07-31
001 2010-01-01 LUCAS MERCANTI LLP 2011-07-11

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	DONALD LUCAS	2023-10-13	CHRIS PRENDERGAST	2023-10-13
001	2021-01-01	CHRIS PRENDERGAST	2022-09-05	CHRIS PRENDERGAST	2022-09-05
001	2020-01-01	LUCAS MERCANTI - C PRENDERGAST	2021-10-05	LUCAS MERCANTI - C PRENDERGAST	2021-10-05
001	2019-01-01	CHRISTOPHER PRENDERGAST	2020-10-21	CHRISTOPHER PRENDERGAST	2020-10-21
001	2018-01-01	CHRISTOPHER PRENDERGAST	2019-10-03
001	2017-01-01	CHRIS PRENDERGAST	2018-08-09	CHRIS PRENDERGAST	2018-08-09
001	2017-01-01	CHRIS PRENDERGAST	2018-08-09	CHRIS PRENDERGAST	2018-08-09
001	2016-01-01	CHRISTOPHER PRENDERGAST	2017-07-12	DONALD C. LUCAS	2017-07-12
001	2015-01-01		2016-07-28
001	2014-01-01	CHRISTOPHER PRENDERGAST		CHRISTOPHER PRENDERGAST	2015-10-14
001	2013-01-01	CHRISTOPHER PRENDERGAST
001	2012-01-01	CHRISTOPHER PRENDERGAST
001	2011-01-01	LUCAS MERCANTI LLP	2012-07-31
001	2010-01-01	LUCAS MERCANTI LLP	2011-07-11

Plan Statistics for LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN

Measure Date Value
2015: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 31
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 14
Total of all active and inactive participants 2015-01-01 45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 45
Number of participants with account balances 2015-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 2
2014: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 30
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 10
Total of all active and inactive participants 2014-01-01 40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 40
Number of participants with account balances 2014-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 27
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 4
Total of all active and inactive participants 2013-01-01 31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 31
Number of participants with account balances 2013-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 29
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 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 35
Number of participants with account balances 2012-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2015: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	31
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	14
Total of all active and inactive participants	2015-01-01	45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	45
Number of participants with account balances	2015-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	2
2014: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	30
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	10
Total of all active and inactive participants	2014-01-01	40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	40
Number of participants with account balances	2014-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	27
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	4
Total of all active and inactive participants	2013-01-01	31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	31
Number of participants with account balances	2013-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	29
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	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	35
Number of participants with account balances	2012-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2015 : LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$500,664
Expenses. Total of all expenses incurred	2015-12-31	$200,825
Benefits paid (including direct rollovers)	2015-12-31	$198,793
Total plan assets at end of year	2015-12-31	$2,600,886
Total plan assets at beginning of year	2015-12-31	$2,301,047
Value of fidelity bond covering the plan	2015-12-31	$350,000
Total contributions received or receivable from participants	2015-12-31	$268,575
Other income received	2015-12-31	$-19,810
Net income (gross income less expenses)	2015-12-31	$299,839
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,600,886
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,301,047
Assets. Value of participant loans	2015-12-31	$23,265
Total contributions received or receivable from employer(s)	2015-12-31	$251,899
Value of certain deemed distributions of participant loans	2015-12-31	$2,032
2014 : LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$701,208
Expenses. Total of all expenses incurred	2014-12-31	$55,783
Benefits paid (including direct rollovers)	2014-12-31	$51,188
Total plan assets at end of year	2014-12-31	$2,301,047
Total plan assets at beginning of year	2014-12-31	$1,655,622
Total contributions received or receivable from participants	2014-12-31	$210,583
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$114,814
Net income (gross income less expenses)	2014-12-31	$645,425
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,301,047
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,655,622
Assets. Value of participant loans	2014-12-31	$20,868
Total contributions received or receivable from employer(s)	2014-12-31	$375,811
Value of certain deemed distributions of participant loans	2014-12-31	$4,595
Value of corrective distributions	2014-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2013 : LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$450,572
Expenses. Total of all expenses incurred	2013-12-31	$24,921
Benefits paid (including direct rollovers)	2013-12-31	$20,393
Total plan assets at end of year	2013-12-31	$1,655,622
Total plan assets at beginning of year	2013-12-31	$1,229,971
Total contributions received or receivable from participants	2013-12-31	$225,877
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$225,120
Net income (gross income less expenses)	2013-12-31	$425,651
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,655,622
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,229,971
Assets. Value of participant loans	2013-12-31	$10,247
Total contributions received or receivable from employer(s)	2013-12-31	$-425
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$4,528
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
2012 : LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,291,780
Expenses. Total of all expenses incurred	2012-12-31	$62,475
Benefits paid (including direct rollovers)	2012-12-31	$62,202
Total plan assets at end of year	2012-12-31	$1,229,971
Total plan assets at beginning of year	2012-12-31	$0
Total contributions received or receivable from participants	2012-12-31	$223,269
Expenses. Other expenses not covered elsewhere	2012-12-31	$273
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$977,468
Net income (gross income less expenses)	2012-12-31	$1,229,305
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,229,971
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$0
Assets. Value of participant loans	2012-12-31	$11,194
Total contributions received or receivable from employer(s)	2012-12-31	$91,043
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
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

Form 5500 Responses for LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN

2015: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING 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: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING 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: LUCAS & MERCANTI, LLP 401(K) PROFIT SHARING 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

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Company Name:	LUCAS & MERCANTI, LLP
Employer identification number (EIN):	753091703
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers