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OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 401k Plan overview

Plan NameOPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND
Plan identification number 002

OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND Benefits

401k Plan TypeDefined 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).

401k Sponsoring company profile

OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND has sponsored the creation of one or more 401k plans.

Company Name:OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND
Employer identification number (EIN):866025732
NAIC Classification:238900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022023-01-01
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01MICHAEL LEE DAVID MARTIN2018-10-08
0022015-01-01DAVID MARTIN
0022014-01-01MICHAEL LEE DAVID MARTIN2015-10-13
0022013-01-01RAUL GARCIA JR
0022012-01-01RAUL GARCIA JR DAVID MARTIN2013-10-11
0022011-01-01RAUL GARCIA
0022010-01-01RAUL GARCIA JR DAVID MARTIN2011-10-17
0022009-01-01DAVID MARTIN

Plan Statistics for OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND

401k plan membership statisitcs for OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND

Measure Date Value
2023: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2023 401k membership
Total participants, beginning-of-year2023-01-017,670
Total number of active participants reported on line 7a of the Form 55002023-01-017,789
Total of all active and inactive participants2023-01-017,789
Total participants2023-01-017,789
Number of participants with account balances2023-01-017,789
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-010
Number of employers contributing to the scheme2023-01-0198
2022: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2022 401k membership
Total participants, beginning-of-year2022-01-017,538
Total number of active participants reported on line 7a of the Form 55002022-01-017,670
Total of all active and inactive participants2022-01-017,670
Total participants2022-01-017,670
Number of participants with account balances2022-01-017,670
Number of employers contributing to the scheme2022-01-0185
2021: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2021 401k membership
Total participants, beginning-of-year2021-01-017,114
Total number of active participants reported on line 7a of the Form 55002021-01-017,538
Total of all active and inactive participants2021-01-017,538
Total participants2021-01-017,538
Number of participants with account balances2021-01-017,538
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
Number of employers contributing to the scheme2021-01-0156
2020: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2020 401k membership
Total participants, beginning-of-year2020-01-016,877
Total number of active participants reported on line 7a of the Form 55002020-01-017,114
Total of all active and inactive participants2020-01-017,114
Total participants2020-01-017,114
Number of participants with account balances2020-01-017,114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
Number of employers contributing to the scheme2020-01-0177
2019: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2019 401k membership
Total participants, beginning-of-year2019-01-016,625
Total number of active participants reported on line 7a of the Form 55002019-01-016,877
Total of all active and inactive participants2019-01-016,877
Total participants2019-01-016,877
Number of participants with account balances2019-01-016,877
Number of employers contributing to the scheme2019-01-0185
2018: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2018 401k membership
Total participants, beginning-of-year2018-01-016,421
Total number of active participants reported on line 7a of the Form 55002018-01-016,625
Total of all active and inactive participants2018-01-016,625
Total participants2018-01-016,625
Number of employers contributing to the scheme2018-01-0187
2017: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2017 401k membership
Total participants, beginning-of-year2017-01-016,337
Total number of active participants reported on line 7a of the Form 55002017-01-016,421
Total of all active and inactive participants2017-01-016,421
Total participants2017-01-016,421
Number of participants with account balances2017-01-016,421
Number of employers contributing to the scheme2017-01-0179
2015: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2015 401k membership
Total participants, beginning-of-year2015-01-016,603
Total number of active participants reported on line 7a of the Form 55002015-01-016,562
Total of all active and inactive participants2015-01-016,562
Total participants2015-01-016,562
Number of participants with account balances2015-01-016,562
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
Number of employers contributing to the scheme2015-01-01100
2014: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2014 401k membership
Total participants, beginning-of-year2014-01-016,877
Total number of active participants reported on line 7a of the Form 55002014-01-016,603
Total of all active and inactive participants2014-01-016,603
Total participants2014-01-016,603
Number of employers contributing to the scheme2014-01-01112
2013: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2013 401k membership
Total participants, beginning-of-year2013-01-017,045
Total number of active participants reported on line 7a of the Form 55002013-01-016,877
Total of all active and inactive participants2013-01-016,877
Total participants2013-01-016,877
Number of employers contributing to the scheme2013-01-0184
2012: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2012 401k membership
Total participants, beginning-of-year2012-01-017,012
Total number of active participants reported on line 7a of the Form 55002012-01-017,045
Total of all active and inactive participants2012-01-017,045
Total participants2012-01-017,045
Number of participants with account balances2012-01-017,045
Number of employers contributing to the scheme2012-01-0199
2011: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2011 401k membership
Total participants, beginning-of-year2011-01-017,285
Total number of active participants reported on line 7a of the Form 55002011-01-017,012
Total of all active and inactive participants2011-01-017,012
Total participants2011-01-017,012
Number of employers contributing to the scheme2011-01-0165
2010: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2010 401k membership
Total participants, beginning-of-year2010-01-017,489
Total number of active participants reported on line 7a of the Form 55002010-01-017,285
Total of all active and inactive participants2010-01-017,285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-017,285
Number of participants with account balances2010-01-017,285
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
Number of employers contributing to the scheme2010-01-0165
2009: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2009 401k membership
Total participants, beginning-of-year2009-01-017,851
Total number of active participants reported on line 7a of the Form 55002009-01-017,489
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-010
Total of all active and inactive participants2009-01-017,489
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-017,489
Number of participants with account balances2009-01-017,489
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010
Number of employers contributing to the scheme2009-01-01125

Financial Data on OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND

Measure Date Value
2023 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2023 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2023-12-31$354,546
Total unrealized appreciation/depreciation of assets2023-12-31$354,546
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$399,563
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$369,812
Total income from all sources (including contributions)2023-12-31$47,893,729
Total loss/gain on sale of assets2023-12-31$4,438,060
Total of all expenses incurred2023-12-31$12,945,702
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$12,030,918
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$17,028,661
Value of total assets at end of year2023-12-31$291,333,345
Value of total assets at beginning of year2023-12-31$256,355,567
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$914,784
Total interest from all sources2023-12-31$154,496
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$5,274,887
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$4,723,768
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$2,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Assets. Other investments not covered elsewhere at beginning of year2023-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2023-12-31$326,143
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2023-12-31$213,682
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2023-12-31$229,469
Other income not declared elsewhere2023-12-31$1,080
Administrative expenses (other) incurred2023-12-31$71,411
Liabilities. Value of operating payables at end of year2023-12-31$399,563
Liabilities. Value of operating payables at beginning of year2023-12-31$140,343
Total non interest bearing cash at end of year2023-12-31$2,376,476
Total non interest bearing cash at beginning of year2023-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$34,948,027
Value of net assets at end of year (total assets less liabilities)2023-12-31$290,933,782
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$255,985,755
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Assets. partnership/joint venture interests at end of year2023-12-31$0
Assets. partnership/joint venture interests at beginning of year2023-12-31$13,188,745
Investment advisory and management fees2023-12-31$624,799
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$158,905,019
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$120,837,752
Value of interest in common/collective trusts at end of year2023-12-31$47,290,265
Value of interest in common/collective trusts at beginning of year2023-12-31$49,129,889
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2023-12-31$2,043,423
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2023-12-31$2,923,731
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2023-12-31$2,923,731
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2023-12-31$154,496
Assets. Value of investments in 103.12 investment entities at end of year2023-12-31$60,110,543
Assets. Value of investments in 103.12 investment entities at beginning of year2023-12-31$50,187,351
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$16,997,802
Net investment gain or loss from common/collective trusts2023-12-31$3,644,197
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31Yes
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$17,028,661
Employer contributions (assets) at end of year2023-12-31$1,957,043
Employer contributions (assets) at beginning of year2023-12-31$1,229,406
Income. Dividends from preferred stock2023-12-31$0
Income. Dividends from common stock2023-12-31$551,119
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$12,030,918
Contract administrator fees2023-12-31$55,816
Assets. Corporate common stocks other than exployer securities at end of year2023-12-31$18,324,433
Assets. Corporate common stocks other than exployer securities at beginning of year2023-12-31$18,645,011
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Aggregate proceeds on sale of assets2023-12-31$129,335,972
Aggregate carrying amount (costs) on sale of assets2023-12-31$124,897,912
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31BALDWIN MOFFITT BEHM LLP
Accountancy firm EIN2023-12-31464370753
2022 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2022-12-31$-1,227,277
Total unrealized appreciation/depreciation of assets2022-12-31$-1,227,277
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$369,812
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$155,570
Total income from all sources (including contributions)2022-12-31$-32,012,001
Total loss/gain on sale of assets2022-12-31$-159,038
Total of all expenses incurred2022-12-31$16,987,611
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$15,982,936
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$13,516,713
Value of total assets at end of year2022-12-31$256,355,567
Value of total assets at beginning of year2022-12-31$305,140,937
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$1,004,675
Total interest from all sources2022-12-31$33,013
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$4,858,455
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$4,301,662
Administrative expenses professional fees incurred2022-12-31$131,247
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$2,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$213,682
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$114,196
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$229,469
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$0
Other income not declared elsewhere2022-12-31$931
Administrative expenses (other) incurred2022-12-31$124,475
Liabilities. Value of operating payables at end of year2022-12-31$140,343
Liabilities. Value of operating payables at beginning of year2022-12-31$155,570
Total non interest bearing cash at end of year2022-12-31$0
Total non interest bearing cash at beginning of year2022-12-31$291,544
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-48,999,612
Value of net assets at end of year (total assets less liabilities)2022-12-31$255,985,755
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$304,985,367
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Assets. partnership/joint venture interests at end of year2022-12-31$13,188,745
Assets. partnership/joint venture interests at beginning of year2022-12-31$13,158,394
Investment advisory and management fees2022-12-31$625,062
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$120,837,752
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$150,849,153
Value of interest in common/collective trusts at end of year2022-12-31$49,129,889
Value of interest in common/collective trusts at beginning of year2022-12-31$55,769,788
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$2,923,731
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$1,684,281
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$1,684,281
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2022-12-31$33,013
Assets. Value of investments in 103.12 investment entities at end of year2022-12-31$50,187,351
Assets. Value of investments in 103.12 investment entities at beginning of year2022-12-31$61,855,093
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-34,375,231
Net investment gain or loss from common/collective trusts2022-12-31$-2,991,825
Net gain/loss from 103.12 investment entities2022-12-31$-11,667,742
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31Yes
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$13,516,713
Employer contributions (assets) at end of year2022-12-31$1,229,406
Employer contributions (assets) at beginning of year2022-12-31$1,056,259
Income. Dividends from common stock2022-12-31$556,793
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$15,982,936
Contract administrator fees2022-12-31$123,891
Assets. Corporate common stocks other than exployer securities at end of year2022-12-31$18,645,011
Assets. Corporate common stocks other than exployer securities at beginning of year2022-12-31$20,362,229
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Aggregate proceeds on sale of assets2022-12-31$26,356,296
Aggregate carrying amount (costs) on sale of assets2022-12-31$26,515,334
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BALDWIN MOFFITT BEHM LLP
Accountancy firm EIN2022-12-31464370753
2021 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2021-12-31$3,795,600
Total unrealized appreciation/depreciation of assets2021-12-31$3,795,600
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$155,570
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$203,383
Total income from all sources (including contributions)2021-12-31$42,333,352
Total loss/gain on sale of assets2021-12-31$1,742,855
Total of all expenses incurred2021-12-31$20,383,714
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$19,421,431
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$11,086,066
Value of total assets at end of year2021-12-31$305,140,937
Value of total assets at beginning of year2021-12-31$283,239,112
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$962,283
Total interest from all sources2021-12-31$220
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$8,272,847
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$7,730,979
Administrative expenses professional fees incurred2021-12-31$116,487
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$2,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$114,196
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$123,196
Other income not declared elsewhere2021-12-31$13,747
Administrative expenses (other) incurred2021-12-31$137,651
Liabilities. Value of operating payables at end of year2021-12-31$155,570
Liabilities. Value of operating payables at beginning of year2021-12-31$203,383
Total non interest bearing cash at end of year2021-12-31$291,544
Total non interest bearing cash at beginning of year2021-12-31$1,722,481
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$21,949,638
Value of net assets at end of year (total assets less liabilities)2021-12-31$304,985,367
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$283,035,729
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Assets. partnership/joint venture interests at end of year2021-12-31$13,158,394
Assets. partnership/joint venture interests at beginning of year2021-12-31$13,035,180
Investment advisory and management fees2021-12-31$584,263
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$150,849,153
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$149,125,768
Value of interest in common/collective trusts at end of year2021-12-31$55,769,788
Value of interest in common/collective trusts at beginning of year2021-12-31$45,682,488
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$1,684,281
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$2,731,434
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$2,731,434
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2021-12-31$220
Assets. Value of investments in 103.12 investment entities at end of year2021-12-31$61,855,093
Assets. Value of investments in 103.12 investment entities at beginning of year2021-12-31$50,909,929
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$9,742,425
Net investment gain or loss from common/collective trusts2021-12-31$6,734,428
Net gain/loss from 103.12 investment entities2021-12-31$945,164
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31Yes
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$11,086,066
Employer contributions (assets) at end of year2021-12-31$1,056,259
Employer contributions (assets) at beginning of year2021-12-31$982,633
Income. Dividends from common stock2021-12-31$541,868
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$19,421,431
Contract administrator fees2021-12-31$123,882
Assets. Corporate common stocks other than exployer securities at end of year2021-12-31$20,362,229
Assets. Corporate common stocks other than exployer securities at beginning of year2021-12-31$18,926,003
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Aggregate proceeds on sale of assets2021-12-31$46,388,124
Aggregate carrying amount (costs) on sale of assets2021-12-31$44,645,269
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31BALDWIN MOFFIT BEHM LLP
Accountancy firm EIN2021-12-31464370753
2020 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$-1,550,981
Total unrealized appreciation/depreciation of assets2020-12-31$-1,550,981
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$203,383
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$170,447
Total income from all sources (including contributions)2020-12-31$40,472,325
Total loss/gain on sale of assets2020-12-31$949,865
Total of all expenses incurred2020-12-31$15,072,137
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$14,182,534
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$13,019,666
Value of total assets at end of year2020-12-31$283,239,112
Value of total assets at beginning of year2020-12-31$257,805,988
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$889,603
Total interest from all sources2020-12-31$27,168
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$4,495,484
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$3,975,996
Administrative expenses professional fees incurred2020-12-31$109,375
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$2,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$123,196
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$114,927
Other income not declared elsewhere2020-12-31$11,980
Administrative expenses (other) incurred2020-12-31$102,950
Liabilities. Value of operating payables at end of year2020-12-31$203,383
Liabilities. Value of operating payables at beginning of year2020-12-31$170,447
Total non interest bearing cash at end of year2020-12-31$1,722,481
Total non interest bearing cash at beginning of year2020-12-31$80,430
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$25,400,188
Value of net assets at end of year (total assets less liabilities)2020-12-31$283,035,729
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$257,635,541
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Assets. partnership/joint venture interests at end of year2020-12-31$13,035,180
Assets. partnership/joint venture interests at beginning of year2020-12-31$12,828,361
Investment advisory and management fees2020-12-31$553,416
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$149,125,768
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$164,524,143
Value of interest in common/collective trusts at end of year2020-12-31$45,682,488
Value of interest in common/collective trusts at beginning of year2020-12-31$13,462,638
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$2,731,434
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$3,323,752
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$3,323,752
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$27,168
Assets. Value of investments in 103.12 investment entities at end of year2020-12-31$50,909,929
Assets. Value of investments in 103.12 investment entities at beginning of year2020-12-31$41,624,178
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$15,636,804
Net investment gain or loss from common/collective trusts2020-12-31$2,995,567
Net gain/loss from 103.12 investment entities2020-12-31$4,886,772
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31Yes
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$13,019,666
Employer contributions (assets) at end of year2020-12-31$982,633
Employer contributions (assets) at beginning of year2020-12-31$887,979
Income. Dividends from common stock2020-12-31$519,488
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$14,182,534
Contract administrator fees2020-12-31$123,862
Assets. Corporate common stocks other than exployer securities at end of year2020-12-31$18,926,003
Assets. Corporate common stocks other than exployer securities at beginning of year2020-12-31$20,959,580
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Aggregate proceeds on sale of assets2020-12-31$4,236,751
Aggregate carrying amount (costs) on sale of assets2020-12-31$3,286,886
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31BALDWIN MOFFITT BEHM LLP
Accountancy firm EIN2020-12-31464370753
2019 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$4,213,021
Total unrealized appreciation/depreciation of assets2019-12-31$4,213,021
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$170,447
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$189,818
Total income from all sources (including contributions)2019-12-31$53,338,315
Total loss/gain on sale of assets2019-12-31$562,125
Total of all expenses incurred2019-12-31$14,436,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$13,531,134
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$10,381,342
Value of total assets at end of year2019-12-31$257,805,988
Value of total assets at beginning of year2019-12-31$218,923,637
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$905,459
Total interest from all sources2019-12-31$41,032
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$6,064,463
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$5,485,823
Administrative expenses professional fees incurred2019-12-31$81,421
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$2,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$114,927
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$125,861
Other income not declared elsewhere2019-12-31$10,968
Administrative expenses (other) incurred2019-12-31$147,714
Liabilities. Value of operating payables at end of year2019-12-31$170,447
Liabilities. Value of operating payables at beginning of year2019-12-31$189,818
Total non interest bearing cash at end of year2019-12-31$80,430
Total non interest bearing cash at beginning of year2019-12-31$32,736
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$38,901,722
Value of net assets at end of year (total assets less liabilities)2019-12-31$257,635,541
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$218,733,819
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Assets. partnership/joint venture interests at end of year2019-12-31$12,828,361
Assets. partnership/joint venture interests at beginning of year2019-12-31$12,100,922
Investment advisory and management fees2019-12-31$556,098
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$164,524,143
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$137,039,612
Value of interest in common/collective trusts at end of year2019-12-31$13,462,638
Value of interest in common/collective trusts at beginning of year2019-12-31$13,023,245
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$3,323,752
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$3,571,241
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$3,571,241
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$41,032
Assets. Value of investments in 103.12 investment entities at end of year2019-12-31$41,624,178
Assets. Value of investments in 103.12 investment entities at beginning of year2019-12-31$35,540,183
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$26,105,939
Net investment gain or loss from common/collective trusts2019-12-31$569,599
Net gain/loss from 103.12 investment entities2019-12-31$5,389,826
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31Yes
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$10,381,342
Employer contributions (assets) at end of year2019-12-31$887,979
Employer contributions (assets) at beginning of year2019-12-31$892,653
Income. Dividends from common stock2019-12-31$578,640
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$13,531,134
Contract administrator fees2019-12-31$120,226
Assets. Corporate common stocks other than exployer securities at end of year2019-12-31$20,959,580
Assets. Corporate common stocks other than exployer securities at beginning of year2019-12-31$16,597,184
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$52,370,306
Aggregate carrying amount (costs) on sale of assets2019-12-31$51,808,181
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31BALDWIN & BALDWIN PLLC
Accountancy firm EIN2019-12-31464370753
2018 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-2,864,158
Total unrealized appreciation/depreciation of assets2018-12-31$-2,864,158
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$189,818
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$298,558
Total income from all sources (including contributions)2018-12-31$-6,894,019
Total loss/gain on sale of assets2018-12-31$198,948
Total of all expenses incurred2018-12-31$14,954,459
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$14,095,164
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$8,946,424
Value of total assets at end of year2018-12-31$218,923,637
Value of total assets at beginning of year2018-12-31$240,880,855
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$859,295
Total interest from all sources2018-12-31$26,776
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$6,883,851
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$6,351,233
Administrative expenses professional fees incurred2018-12-31$78,213
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$2,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$125,861
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$95,465
Other income not declared elsewhere2018-12-31$2,900
Administrative expenses (other) incurred2018-12-31$144,841
Liabilities. Value of operating payables at end of year2018-12-31$189,818
Total non interest bearing cash at end of year2018-12-31$32,736
Total non interest bearing cash at beginning of year2018-12-31$45,741
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-21,848,478
Value of net assets at end of year (total assets less liabilities)2018-12-31$218,733,819
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$240,582,297
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Assets. partnership/joint venture interests at end of year2018-12-31$12,100,922
Investment advisory and management fees2018-12-31$519,338
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$137,039,612
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$153,580,097
Interest earned on other investments2018-12-31$3,511
Value of interest in common/collective trusts at end of year2018-12-31$13,023,245
Value of interest in common/collective trusts at beginning of year2018-12-31$27,379,679
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$3,571,241
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$1,669,582
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$1,669,582
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$23,265
Assets. Value of investments in 103.12 investment entities at end of year2018-12-31$35,540,183
Assets. Value of investments in 103.12 investment entities at beginning of year2018-12-31$37,145,774
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-20,450,463
Net investment gain or loss from common/collective trusts2018-12-31$1,466,235
Net gain/loss from 103.12 investment entities2018-12-31$-1,104,532
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31Yes
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$8,946,424
Employer contributions (assets) at end of year2018-12-31$892,653
Employer contributions (assets) at beginning of year2018-12-31$581,171
Income. Dividends from common stock2018-12-31$532,618
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$14,095,164
Contract administrator fees2018-12-31$116,903
Assets. Corporate common stocks other than exployer securities at end of year2018-12-31$16,597,184
Assets. Corporate common stocks other than exployer securities at beginning of year2018-12-31$20,383,346
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$298,558
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$64,308,983
Aggregate carrying amount (costs) on sale of assets2018-12-31$64,110,035
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31BALDWIN & BALDWIN PLLC
Accountancy firm EIN2018-12-31464370753
2017 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets2017-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$2,918,041
Total unrealized appreciation/depreciation of assets2017-12-31$2,918,041
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$298,558
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$192,370
Total income from all sources (including contributions)2017-12-31$42,800,420
Total loss/gain on sale of assets2017-12-31$32,654
Total of all expenses incurred2017-12-31$11,298,737
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$10,332,678
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$6,291,766
Value of total assets at end of year2017-12-31$240,880,855
Value of total assets at beginning of year2017-12-31$209,272,984
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$966,059
Total income from rents2017-12-31$0
Total interest from all sources2017-12-31$8,141
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$6,428,173
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$5,923,947
Administrative expenses professional fees incurred2017-12-31$66,410
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$2,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$95,465
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$115,130
Other income not declared elsewhere2017-12-31$8,325
Administrative expenses (other) incurred2017-12-31$150,225
Total non interest bearing cash at end of year2017-12-31$45,741
Total non interest bearing cash at beginning of year2017-12-31$3,904
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$31,501,683
Value of net assets at end of year (total assets less liabilities)2017-12-31$240,582,297
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$209,080,614
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$632,553
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$153,580,097
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$129,969,177
Value of interest in common/collective trusts at end of year2017-12-31$27,379,679
Value of interest in common/collective trusts at beginning of year2017-12-31$33,351,737
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$1,669,582
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$1,498,533
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$1,498,533
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$8,141
Assets. Value of investments in 103.12 investment entities at end of year2017-12-31$37,145,774
Assets. Value of investments in 103.12 investment entities at beginning of year2017-12-31$24,990,736
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$22,836,257
Net investment gain or loss from common/collective trusts2017-12-31$1,783,276
Net gain/loss from 103.12 investment entities2017-12-31$2,493,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31Yes
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$6,291,766
Employer contributions (assets) at end of year2017-12-31$581,171
Employer contributions (assets) at beginning of year2017-12-31$397,328
Income. Dividends from common stock2017-12-31$504,226
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$10,332,678
Contract administrator fees2017-12-31$116,871
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$20,383,346
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$18,946,439
Liabilities. Value of benefit claims payable at end of year2017-12-31$298,558
Liabilities. Value of benefit claims payable at beginning of year2017-12-31$192,370
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$3,047,009
Aggregate carrying amount (costs) on sale of assets2017-12-31$3,014,355
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31BALDWIN & BALDWIN PLLC
Accountancy firm EIN2017-12-31464370753
2015 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-703,967
Total unrealized appreciation/depreciation of assets2015-12-31$-703,967
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$240,517
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$3,590,594
Total income from all sources (including contributions)2015-12-31$4,140,974
Total loss/gain on sale of assets2015-12-31$227,816
Total of all expenses incurred2015-12-31$12,434,045
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$11,576,799
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$5,292,389
Value of total assets at end of year2015-12-31$201,337,807
Value of total assets at beginning of year2015-12-31$212,980,955
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$857,246
Total interest from all sources2015-12-31$2,768
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$2,392,520
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$1,898,525
Administrative expenses professional fees incurred2015-12-31$60,179
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$2,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Funding deficiency by the employer to the plan for this plan year2015-12-31$0
Minimum employer required contribution for this plan year2015-12-31$0
Amount contributed by the employer to the plan for this plan year2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$40,279
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$15,170
Other income not declared elsewhere2015-12-31$49,882
Administrative expenses (other) incurred2015-12-31$153,005
Liabilities. Value of operating payables at end of year2015-12-31$240,517
Liabilities. Value of operating payables at beginning of year2015-12-31$190,594
Total non interest bearing cash at end of year2015-12-31$10,320
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-8,293,071
Value of net assets at end of year (total assets less liabilities)2015-12-31$201,097,290
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$209,390,361
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$527,265
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$107,973,114
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$116,145,314
Value of interest in common/collective trusts at end of year2015-12-31$48,908,422
Value of interest in common/collective trusts at beginning of year2015-12-31$37,811,298
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$1,550,769
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$6,029,101
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$6,029,101
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$2,768
Assets. Value of investments in 103.12 investment entities at end of year2015-12-31$25,339,701
Assets. Value of investments in 103.12 investment entities at beginning of year2015-12-31$34,385,820
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-2,463,576
Net investment gain or loss from common/collective trusts2015-12-31$-836,883
Net gain/loss from 103.12 investment entities2015-12-31$180,025
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31Yes
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$5,292,389
Employer contributions (assets) at end of year2015-12-31$351,895
Employer contributions (assets) at beginning of year2015-12-31$477,998
Income. Dividends from common stock2015-12-31$493,995
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$11,576,799
Contract administrator fees2015-12-31$116,797
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$17,163,307
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$18,082,387
Assets. Value of buildings and other operty used in plan operation at end of year2015-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2015-12-31$33,867
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$4,747,151
Aggregate carrying amount (costs) on sale of assets2015-12-31$4,519,335
Liabilities. Value of acquisition indebtedness at end of year2015-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2015-12-31$3,400,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31BALDWIN & BALDWIN PLLC
Accountancy firm EIN2015-12-31464370753
2014 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$-5,858,693
Total unrealized appreciation/depreciation of assets2014-12-31$-5,858,693
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$3,591,535
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$276,050
Total income from all sources (including contributions)2014-12-31$16,674,772
Total loss/gain on sale of assets2014-12-31$6,899,803
Total of all expenses incurred2014-12-31$13,785,199
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$12,961,045
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$5,343,275
Value of total assets at end of year2014-12-31$212,980,955
Value of total assets at beginning of year2014-12-31$206,775,897
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$824,154
Total interest from all sources2014-12-31$5,372
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,569,206
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$2,058,793
Administrative expenses professional fees incurred2014-12-31$73,507
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$2,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Funding deficiency by the employer to the plan for this plan year2014-12-31$0
Minimum employer required contribution for this plan year2014-12-31$0
Amount contributed by the employer to the plan for this plan year2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$15,170
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$112,065
Other income not declared elsewhere2014-12-31$1,660,367
Administrative expenses (other) incurred2014-12-31$115,506
Liabilities. Value of operating payables at end of year2014-12-31$191,535
Liabilities. Value of operating payables at beginning of year2014-12-31$250,884
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$2,889,573
Value of net assets at end of year (total assets less liabilities)2014-12-31$209,389,420
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$206,499,847
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$518,249
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$116,145,314
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$99,713,404
Value of interest in common/collective trusts at end of year2014-12-31$37,811,298
Value of interest in common/collective trusts at beginning of year2014-12-31$11,002,976
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$6,029,101
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$1,685,440
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$1,685,440
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$5,372
Assets. Value of investments in 103.12 investment entities at end of year2014-12-31$34,385,820
Assets. Value of investments in 103.12 investment entities at beginning of year2014-12-31$61,638,250
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,745,244
Net gain/loss from 103.12 investment entities2014-12-31$4,310,198
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31Yes
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$5,343,275
Employer contributions (assets) at end of year2014-12-31$477,998
Employer contributions (assets) at beginning of year2014-12-31$330,331
Income. Dividends from common stock2014-12-31$510,413
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$12,961,045
Contract administrator fees2014-12-31$116,892
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$18,082,387
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$32,252,453
Assets. Value of buildings and other operty used in plan operation at end of year2014-12-31$33,867
Assets. Value of buildings and other operty used in plan operation at beginning of year2014-12-31$40,978
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$20,653,941
Aggregate carrying amount (costs) on sale of assets2014-12-31$13,754,138
Liabilities. Value of acquisition indebtedness at end of year2014-12-31$3,400,000
Liabilities. Value of acquisition indebtedness at beginning of year2014-12-31$25,166
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31BALDWIN & BALDWIN PLLC
Accountancy firm EIN2014-12-31464370753
2013 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$9,588,524
Total unrealized appreciation/depreciation of assets2013-12-31$9,588,524
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$276,050
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$174,185
Total income from all sources (including contributions)2013-12-31$26,740,804
Total loss/gain on sale of assets2013-12-31$1,237,471
Total of all expenses incurred2013-12-31$13,128,402
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$12,262,822
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$5,675,292
Value of total assets at end of year2013-12-31$206,775,897
Value of total assets at beginning of year2013-12-31$193,061,630
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$865,580
Total interest from all sources2013-12-31$10,585
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$2,375,068
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$1,844,367
Administrative expenses professional fees incurred2013-12-31$88,488
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$2,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Funding deficiency by the employer to the plan for this plan year2013-12-31$0
Minimum employer required contribution for this plan year2013-12-31$0
Amount contributed by the employer to the plan for this plan year2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$112,065
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$160,281
Other income not declared elsewhere2013-12-31$31,074
Administrative expenses (other) incurred2013-12-31$80,333
Liabilities. Value of operating payables at end of year2013-12-31$250,884
Liabilities. Value of operating payables at beginning of year2013-12-31$102,945
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$13,612,402
Value of net assets at end of year (total assets less liabilities)2013-12-31$206,499,847
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$192,887,445
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$579,902
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$99,713,404
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$93,405,485
Value of interest in common/collective trusts at end of year2013-12-31$11,002,976
Value of interest in common/collective trusts at beginning of year2013-12-31$9,585,049
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$1,685,440
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$1,739,947
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$1,739,947
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$10,585
Assets. Value of investments in 103.12 investment entities at end of year2013-12-31$61,638,250
Assets. Value of investments in 103.12 investment entities at beginning of year2013-12-31$63,521,315
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$8,157,330
Net gain/loss from 103.12 investment entities2013-12-31$-334,540
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31Yes
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$5,675,292
Employer contributions (assets) at end of year2013-12-31$330,331
Employer contributions (assets) at beginning of year2013-12-31$533,809
Income. Dividends from common stock2013-12-31$530,701
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$12,262,822
Contract administrator fees2013-12-31$116,857
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$32,252,453
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$24,107,871
Assets. Value of buildings and other operty used in plan operation at end of year2013-12-31$40,978
Assets. Value of buildings and other operty used in plan operation at beginning of year2013-12-31$7,873
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$28,903,473
Aggregate carrying amount (costs) on sale of assets2013-12-31$27,666,002
Liabilities. Value of acquisition indebtedness at end of year2013-12-31$25,166
Liabilities. Value of acquisition indebtedness at beginning of year2013-12-31$71,240
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31BALDWIN & BALDWIN, PLLC
Accountancy firm EIN2013-12-31464370753
2012 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$2,823,837
Total unrealized appreciation/depreciation of assets2012-12-31$2,823,837
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$174,185
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$144,916
Total income from all sources (including contributions)2012-12-31$27,195,197
Total loss/gain on sale of assets2012-12-31$1,698,396
Total of all expenses incurred2012-12-31$10,375,520
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$9,643,726
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$5,768,294
Value of total assets at end of year2012-12-31$193,061,630
Value of total assets at beginning of year2012-12-31$176,212,684
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$731,794
Total interest from all sources2012-12-31$3,230
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$3,593,681
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$3,017,118
Administrative expenses professional fees incurred2012-12-31$148,324
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$2,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Funding deficiency by the employer to the plan for this plan year2012-12-31$0
Minimum employer required contribution for this plan year2012-12-31$0
Amount contributed by the employer to the plan for this plan year2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$160,281
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$35,475
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$71,240
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$26,005
Other income not declared elsewhere2012-12-31$227,171
Administrative expenses (other) incurred2012-12-31$118,066
Liabilities. Value of operating payables at end of year2012-12-31$102,945
Liabilities. Value of operating payables at beginning of year2012-12-31$118,911
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$16,819,677
Value of net assets at end of year (total assets less liabilities)2012-12-31$192,887,445
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$176,067,768
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$348,667
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$93,405,485
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$83,658,422
Value of interest in common/collective trusts at end of year2012-12-31$9,585,049
Value of interest in common/collective trusts at beginning of year2012-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$1,739,947
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$2,316,242
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$2,316,242
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$3,230
Assets. Value of investments in 103.12 investment entities at end of year2012-12-31$63,521,315
Assets. Value of investments in 103.12 investment entities at beginning of year2012-12-31$64,250,265
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$6,743,654
Net gain/loss from 103.12 investment entities2012-12-31$6,336,934
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31Yes
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$5,768,294
Employer contributions (assets) at end of year2012-12-31$533,809
Employer contributions (assets) at beginning of year2012-12-31$483,641
Income. Dividends from common stock2012-12-31$576,563
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$9,643,726
Contract administrator fees2012-12-31$116,737
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$24,107,871
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$25,446,242
Assets. Value of buildings and other operty used in plan operation at end of year2012-12-31$7,873
Assets. Value of buildings and other operty used in plan operation at beginning of year2012-12-31$22,397
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$72,898,413
Aggregate carrying amount (costs) on sale of assets2012-12-31$71,200,017
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31ESTES BALDWIN ZOBEL HALL, PLLC
Accountancy firm EIN2012-12-31454250967
2011 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-7,613,084
Total unrealized appreciation/depreciation of assets2011-12-31$-7,613,084
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$144,916
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$349,704
Total income from all sources (including contributions)2011-12-31$12,025,331
Total loss/gain on sale of assets2011-12-31$8,893,407
Total of all expenses incurred2011-12-31$14,396,857
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$13,568,678
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$5,423,103
Value of total assets at end of year2011-12-31$176,212,684
Value of total assets at beginning of year2011-12-31$178,788,998
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$828,179
Total interest from all sources2011-12-31$8,920
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$2,086,037
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$1,544,538
Administrative expenses professional fees incurred2011-12-31$144,853
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$354,148
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$2,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Funding deficiency by the employer to the plan for this plan year2011-12-31$0
Minimum employer required contribution for this plan year2011-12-31$0
Amount contributed by the employer to the plan for this plan year2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$35,475
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$239,915
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$26,005
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$162,204
Other income not declared elsewhere2011-12-31$2,933
Administrative expenses (other) incurred2011-12-31$105,611
Liabilities. Value of operating payables at end of year2011-12-31$118,911
Liabilities. Value of operating payables at beginning of year2011-12-31$187,500
Total non interest bearing cash at beginning of year2011-12-31$17,130
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-2,371,526
Value of net assets at end of year (total assets less liabilities)2011-12-31$176,067,768
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$178,439,294
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$462,473
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$83,658,422
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$49,439,551
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$2,316,242
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$7,631,808
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$7,631,808
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$8,920
Assets. Value of investments in 103.12 investment entities at end of year2011-12-31$64,250,265
Assets. Value of investments in 103.12 investment entities at beginning of year2011-12-31$63,913,225
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,090,482
Net gain/loss from 103.12 investment entities2011-12-31$4,314,497
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31Yes
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$5,423,103
Employer contributions (assets) at end of year2011-12-31$483,641
Employer contributions (assets) at beginning of year2011-12-31$415,948
Income. Dividends from preferred stock2011-12-31$1,985
Income. Dividends from common stock2011-12-31$539,514
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$13,568,678
Contract administrator fees2011-12-31$115,242
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$25,446,242
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$56,756,532
Assets. Value of buildings and other operty used in plan operation at end of year2011-12-31$22,397
Assets. Value of buildings and other operty used in plan operation at beginning of year2011-12-31$20,741
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$149,131,596
Aggregate carrying amount (costs) on sale of assets2011-12-31$140,238,189
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31ESTES BALDWIN ZOBEL HALL, PLLC
Accountancy firm EIN2011-12-31454250967
2010 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$1,668,935
Total unrealized appreciation/depreciation of assets2010-12-31$1,668,935
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$349,704
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$269,267
Total income from all sources (including contributions)2010-12-31$26,111,853
Total loss/gain on sale of assets2010-12-31$8,506,636
Total of all expenses incurred2010-12-31$12,833,232
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$11,856,838
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$5,609,669
Value of total assets at end of year2010-12-31$178,788,998
Value of total assets at beginning of year2010-12-31$165,429,940
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$976,394
Total interest from all sources2010-12-31$17,244
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$1,910,595
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$984,576
Administrative expenses professional fees incurred2010-12-31$143,138
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$354,148
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$2,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$239,915
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$316,890
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$162,204
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$100,060
Other income not declared elsewhere2010-12-31$66,221
Administrative expenses (other) incurred2010-12-31$86,018
Liabilities. Value of operating payables at end of year2010-12-31$187,500
Liabilities. Value of operating payables at beginning of year2010-12-31$169,207
Total non interest bearing cash at end of year2010-12-31$17,130
Total non interest bearing cash at beginning of year2010-12-31$14,789
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$13,278,621
Value of net assets at end of year (total assets less liabilities)2010-12-31$178,439,294
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$165,160,673
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at beginning of year2010-12-31$44,449,339
Investment advisory and management fees2010-12-31$633,963
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$49,439,551
Interest earned on other investments2010-12-31$2,770
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$7,631,808
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$12,009,828
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$12,009,828
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$14,474
Assets. Value of investments in 103.12 investment entities at end of year2010-12-31$63,913,225
Assets. Value of investments in 103.12 investment entities at beginning of year2010-12-31$57,178,659
Net gain/loss from 103.12 investment entities2010-12-31$8,332,553
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31Yes
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$5,609,669
Employer contributions (assets) at end of year2010-12-31$415,948
Employer contributions (assets) at beginning of year2010-12-31$528,678
Income. Dividends from preferred stock2010-12-31$148
Income. Dividends from common stock2010-12-31$925,871
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$11,856,838
Contract administrator fees2010-12-31$113,275
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$56,756,532
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$50,909,980
Assets. Value of buildings and other operty used in plan operation at end of year2010-12-31$20,741
Assets. Value of buildings and other operty used in plan operation at beginning of year2010-12-31$21,777
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$228,317,027
Aggregate carrying amount (costs) on sale of assets2010-12-31$219,810,391
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31ZOBEL & HALL, P.C.
Accountancy firm EIN2010-12-31860511407
2009 : OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND

2023: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2023 form 5500 responses
2023-01-01Type of plan entityMulti-employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2022 form 5500 responses
2022-01-01Type of plan entityMulti-employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2021 form 5500 responses
2021-01-01Type of plan entityMulti-employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2020 form 5500 responses
2020-01-01Type of plan entityMulti-employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2019 form 5500 responses
2019-01-01Type of plan entityMulti-employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2018 form 5500 responses
2018-01-01Type of plan entityMulti-employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2017 form 5500 responses
2017-01-01Type of plan entityMulti-employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2015: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2015 form 5500 responses
2015-01-01Type of plan entityMulti-employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2014 form 5500 responses
2014-01-01Type of plan entityMulti-employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2013 form 5500 responses
2013-01-01Type of plan entityMulti-employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2012 form 5500 responses
2012-01-01Type of plan entityMulti-employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2011 form 5500 responses
2011-01-01Type of plan entityMulti-employer plan
2011-01-01Submission has been amendedYes
2011-01-01Plan is a collectively bargained planYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2010 form 5500 responses
2010-01-01Type of plan entityMulti-employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: OPERATING ENGINEERS LOCAL 428 ANNUITY TRUST FUND 2009 form 5500 responses
2009-01-01Type of plan entityMulti-employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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