401k Plan data: SPERRY & RICE RETIREMENT PLAN plan

SPERRY & RICE RETIREMENT PLAN 401k Plan overview

Plan Name	SPERRY & RICE RETIREMENT PLAN
Plan identification number	001

SPERRY & RICE RETIREMENT PLAN 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

SPERRY & RICE, LLC has sponsored the creation of one or more 401k plans.

Company Name: SPERRY & RICE, LLC

Employer identification number (EIN): 811145148

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SPERRY & RICE RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 KRISTIN GROSSMAN 2023-07-06
001 2021-01-01
001 2021-01-01 JERROLD E STONE 2022-07-21
001 2020-01-01 KRISTIN GROSSMAN 2021-07-07
001 2019-01-01 KRISTIN GROSSMAN 2020-07-07
001 2018-01-01
001 2017-01-01 KRISTIN GROSSMAN
001 2017-01-01 KRISTIN GROSSMAN
001 2016-01-01 B. RANDALL DOBBS
001 2015-01-01 B. RANDALL DOBBS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	KRISTIN GROSSMAN	2023-07-06
001	2021-01-01
001	2021-01-01	JERROLD E STONE	2022-07-21
001	2020-01-01	KRISTIN GROSSMAN	2021-07-07
001	2019-01-01	KRISTIN GROSSMAN	2020-07-07
001	2018-01-01
001	2017-01-01	KRISTIN GROSSMAN
001	2017-01-01	KRISTIN GROSSMAN
001	2016-01-01	B. RANDALL DOBBS
001	2015-01-01	B. RANDALL DOBBS

Plan Statistics for SPERRY & RICE RETIREMENT PLAN

401k plan membership statisitcs for SPERRY & RICE RETIREMENT PLAN

Measure Date Value
2021: SPERRY & RICE RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 65
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 53
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 0
Total of all active and inactive participants 2021-01-01 53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 53
Number of participants with account balances 2021-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2018: SPERRY & RICE RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 82
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 15
Total of all active and inactive participants 2018-01-01 98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 98
Number of participants with account balances 2018-01-01 62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1
2017: SPERRY & RICE RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 123
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 14
Total of all active and inactive participants 2017-01-01 137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 137
Number of participants with account balances 2017-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: SPERRY & RICE RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 143
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 111
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 26
Total of all active and inactive participants 2016-01-01 137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 137
Number of participants with account balances 2016-01-01 81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 1
2015: SPERRY & RICE RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 137
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 116
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 22
Total of all active and inactive participants 2015-01-01 138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 138
Number of participants with account balances 2015-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1

Measure	Date	Value
2021: SPERRY & RICE RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	65
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	53
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	0
Total of all active and inactive participants	2021-01-01	53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	53
Number of participants with account balances	2021-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2018: SPERRY & RICE RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	82
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	15
Total of all active and inactive participants	2018-01-01	98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	98
Number of participants with account balances	2018-01-01	62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1
2017: SPERRY & RICE RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	123
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	14
Total of all active and inactive participants	2017-01-01	137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	137
Number of participants with account balances	2017-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: SPERRY & RICE RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	143
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	111
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	26
Total of all active and inactive participants	2016-01-01	137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	137
Number of participants with account balances	2016-01-01	81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	1
2015: SPERRY & RICE RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	137
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	116
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	22
Total of all active and inactive participants	2015-01-01	138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	138
Number of participants with account balances	2015-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1

Financial Data on SPERRY & RICE RETIREMENT PLAN

Measure	Date	Value
2021 : SPERRY & RICE RETIREMENT PLAN 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$295,181
Expenses. Total of all expenses incurred	2021-12-31	$270,818
Benefits paid (including direct rollovers)	2021-12-31	$257,279
Total plan assets at end of year	2021-12-31	$1,393,746
Total plan assets at beginning of year	2021-12-31	$1,369,383
Value of fidelity bond covering the plan	2021-12-31	$1,000,000
Total contributions received or receivable from participants	2021-12-31	$82,310
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$0
Other income received	2021-12-31	$161,460
Net income (gross income less expenses)	2021-12-31	$24,363
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$1,393,746
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$1,369,383
Assets. Value of participant loans	2021-12-31	$6,134
Total contributions received or receivable from employer(s)	2021-12-31	$51,411
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$13,539
2018 : SPERRY & RICE RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$444,549
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$93,557
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$137,876
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$119,772
Value of total corrective distributions	2018-12-31	$6,250
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$126,064
Value of total assets at end of year	2018-12-31	$1,052,508
Value of total assets at beginning of year	2018-12-31	$1,541,376
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$11,854
Total interest from all sources	2018-12-31	$1,915
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$43,554
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$43,554
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$155,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$74,836
Participant contributions at end of year	2018-12-31	$58,033
Participant contributions at beginning of year	2018-12-31	$39,649
Participant contributions at beginning of year	2018-12-31	$2,293
Administrative expenses (other) incurred	2018-12-31	$11,854
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-44,319
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$1,052,508
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$1,541,376
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$854,673
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$1,260,629
Interest on participant loans	2018-12-31	$1,915
Value of interest in common/collective trusts at end of year	2018-12-31	$139,802
Value of interest in common/collective trusts at beginning of year	2018-12-31	$236,791
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-82,151
Net investment gain or loss from common/collective trusts	2018-12-31	$4,175
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$51,228
Employer contributions (assets) at beginning of year	2018-12-31	$2,014
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$119,772
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	PLANTE & MORAN
Accountancy firm EIN	2018-12-31	381357951
2017 : SPERRY & RICE RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
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	$298,071
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$380,129
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$368,415
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$153,755
Value of total assets at end of year	2017-12-31	$1,541,376
Value of total assets at beginning of year	2017-12-31	$1,623,434
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$11,714
Total interest from all sources	2017-12-31	$2,467
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$29,373
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$29,373
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$163,000
If this is an individual account plan, was there a blackout period	2017-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$88,237
Participant contributions at end of year	2017-12-31	$39,649
Participant contributions at beginning of year	2017-12-31	$47,246
Participant contributions at end of year	2017-12-31	$2,293
Participant contributions at beginning of year	2017-12-31	$2,048
Administrative expenses (other) incurred	2017-12-31	$11,714
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$-82,058
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$1,541,376
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$1,623,434
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$1,260,629
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$1,300,868
Interest on participant loans	2017-12-31	$2,467
Value of interest in common/collective trusts at end of year	2017-12-31	$236,791
Value of interest in common/collective trusts at beginning of year	2017-12-31	$271,903
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$111,015
Net investment gain or loss from common/collective trusts	2017-12-31	$1,461
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$65,518
Employer contributions (assets) at end of year	2017-12-31	$2,014
Employer contributions (assets) at beginning of year	2017-12-31	$1,369
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$368,415
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	Yes
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	PLANTE & MORAN
Accountancy firm EIN	2017-12-31	381357951
2016 : SPERRY & RICE RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$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	$260,398
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$431,838
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$416,453
Value of total corrective distributions	2016-12-31	$1,868
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$160,527
Value of total assets at end of year	2016-12-31	$1,623,434
Value of total assets at beginning of year	2016-12-31	$1,794,874
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$13,517
Total interest from all sources	2016-12-31	$1,955
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$90,783
Participant contributions at end of year	2016-12-31	$47,246
Participant contributions at beginning of year	2016-12-31	$34,140
Participant contributions at end of year	2016-12-31	$2,048
Participant contributions at beginning of year	2016-12-31	$2,505
Administrative expenses (other) incurred	2016-12-31	$13,517
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-171,440
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$1,623,434
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$1,794,874
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in pooled separate accounts at end of year	2016-12-31	$1,300,868
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$1,427,495
Interest on participant loans	2016-12-31	$1,955
Value of interest in common/collective trusts at end of year	2016-12-31	$271,903
Value of interest in common/collective trusts at beginning of year	2016-12-31	$329,011
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$97,916
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$69,744
Employer contributions (assets) at end of year	2016-12-31	$1,369
Employer contributions (assets) at beginning of year	2016-12-31	$1,723
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$416,453
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	Yes
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	PLANTE & MORAN, PLLC
Accountancy firm EIN	2016-12-31	381357951
2015 : SPERRY & RICE RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$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	$143,929
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$132,582
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$125,790
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$174,090
Value of total assets at end of year	2015-12-31	$1,794,874
Value of total assets at beginning of year	2015-12-31	$1,783,527
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$6,792
Total interest from all sources	2015-12-31	$2,137
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$100,652
Participant contributions at end of year	2015-12-31	$34,140
Participant contributions at beginning of year	2015-12-31	$52,692
Participant contributions at end of year	2015-12-31	$2,505
Participant contributions at beginning of year	2015-12-31	$344
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$11,347
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$1,794,874
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$1,783,527
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in pooled separate accounts at end of year	2015-12-31	$1,427,495
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$1,728,926
Interest on participant loans	2015-12-31	$2,137
Value of interest in common/collective trusts at end of year	2015-12-31	$329,011
Value of interest in common/collective trusts at beginning of year	2015-12-31	$1,241
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$0
Net investment gain/loss from pooled separate accounts	2015-12-31	$-32,298
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$73,438
Employer contributions (assets) at end of year	2015-12-31	$1,723
Employer contributions (assets) at beginning of year	2015-12-31	$324
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$125,790
Contract administrator fees	2015-12-31	$6,792
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	Yes
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	PLANTE & MORAN, PLLC
Accountancy firm EIN	2015-12-31	381357951

Form 5500 Responses for SPERRY & RICE RETIREMENT PLAN

2021: SPERRY & RICE RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2018: SPERRY & RICE RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SPERRY & RICE RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	Yes
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	Yes
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SPERRY & RICE RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SPERRY & RICE RETIREMENT 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

97174

Policy instance

Insurance contract or identification number	97174
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $5,977
Total amount of fees paid to insurance company	USD $4,468
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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?	Yes
Commission paid to Insurance Broker	USD $5,360
Insurance broker organization code?	3
Amount paid for insurance broker fees	4468
Additional information about fees paid to insurance broker	SALES/ ADMINISTRATION
Insurance broker name	CREATIVE RETIREMENT SYSTEMS, INC.

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

601826-000

Policy instance

Insurance contract or identification number	601826-000
Number of Individuals Covered	87
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $13,379
Total amount of fees paid to insurance company	USD $22
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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
Commission paid to Insurance Broker	USD $13,379
Insurance broker organization code?	3
Amount paid for insurance broker fees	22
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker name	CEATIVE RETIREMENT SYSTEMS, INC.

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Company Name:	SPERRY & RICE, LLC
Employer identification number (EIN):	811145148
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services