401k Plan data: THE SIMON COMPANIES 401(K) PLAN plan

THE SIMON COMPANIES 401(K) PLAN 401k Plan overview

Plan Name	THE SIMON COMPANIES 401(K) PLAN
Plan identification number	001

THE SIMON COMPANIES 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

FREESE & GIANELLI, INC. has sponsored the creation of one or more 401k plans.

Company Name: FREESE & GIANELLI, INC.

Employer identification number (EIN): 941647883

NAIC Classification: 524290

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE SIMON COMPANIES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-07-01
001 2022-07-01
001 2021-07-01
001 2020-07-01
001 2019-07-01 JEFF SIMON 2021-04-13 JEFF SIMON 2021-04-13
001 2018-07-01 JEFF SIMON 2020-03-25 JEFF SIMON 2020-03-25
001 2017-07-01
001 2017-07-01
001 2016-07-01 JEFF SIMON
001 2015-07-01 JEFF SIMON JEFF SIMON 2017-04-13
001 2014-07-01 JEFF SIMON JEFF SIMON 2016-04-14
001 2013-07-01 JEFF SIMON JEFF SIMON 2015-04-15
001 2012-07-01 JEFF SIMON JEFF SIMON 2014-04-14
001 2011-07-01 JEFF SIMON JEFF SIMON 2013-11-19
001 2009-07-01 JEFF SIMON
001 2009-07-01 JEFF SIMON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-07-01
001	2022-07-01
001	2021-07-01
001	2020-07-01
001	2019-07-01	JEFF SIMON	2021-04-13	JEFF SIMON	2021-04-13
001	2018-07-01	JEFF SIMON	2020-03-25	JEFF SIMON	2020-03-25
001	2017-07-01
001	2017-07-01
001	2016-07-01	JEFF SIMON
001	2015-07-01	JEFF SIMON		JEFF SIMON	2017-04-13
001	2014-07-01	JEFF SIMON		JEFF SIMON	2016-04-14
001	2013-07-01	JEFF SIMON		JEFF SIMON	2015-04-15
001	2012-07-01	JEFF SIMON		JEFF SIMON	2014-04-14
001	2011-07-01	JEFF SIMON		JEFF SIMON	2013-11-19
001	2009-07-01	JEFF SIMON
001	2009-07-01	JEFF SIMON

Plan Statistics for THE SIMON COMPANIES 401(K) PLAN

401k plan membership statisitcs for THE SIMON COMPANIES 401(K) PLAN

Measure Date Value
2017: THE SIMON COMPANIES 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-07-01 130
Total number of active participants reported on line 7a of the Form 5500 2017-07-01 70
Number of retired or separated participants receiving benefits 2017-07-01 0
Number of other retired or separated participants entitled to future benefits 2017-07-01 8
Total of all active and inactive participants 2017-07-01 78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-07-01 0
Total participants 2017-07-01 78
Number of participants with account balances 2017-07-01 62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-07-01 0
2016: THE SIMON COMPANIES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-07-01 124
Total number of active participants reported on line 7a of the Form 5500 2016-07-01 92
Number of other retired or separated participants entitled to future benefits 2016-07-01 33
Total of all active and inactive participants 2016-07-01 125
Total participants 2016-07-01 125
Number of participants with account balances 2016-07-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-07-01 0
2015: THE SIMON COMPANIES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-07-01 119
Total number of active participants reported on line 7a of the Form 5500 2015-07-01 98
Number of retired or separated participants receiving benefits 2015-07-01 0
Number of other retired or separated participants entitled to future benefits 2015-07-01 26
Total of all active and inactive participants 2015-07-01 124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-07-01 0
Total participants 2015-07-01 124
Number of participants with account balances 2015-07-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-07-01 0
2014: THE SIMON COMPANIES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-07-01 123
Total number of active participants reported on line 7a of the Form 5500 2014-07-01 90
Number of retired or separated participants receiving benefits 2014-07-01 0
Number of other retired or separated participants entitled to future benefits 2014-07-01 28
Total of all active and inactive participants 2014-07-01 118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-07-01 0
Total participants 2014-07-01 118
Number of participants with account balances 2014-07-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-07-01 0
2013: THE SIMON COMPANIES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-07-01 128
Total number of active participants reported on line 7a of the Form 5500 2013-07-01 99
Number of retired or separated participants receiving benefits 2013-07-01 0
Number of other retired or separated participants entitled to future benefits 2013-07-01 23
Total of all active and inactive participants 2013-07-01 122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-07-01 0
Total participants 2013-07-01 122
Number of participants with account balances 2013-07-01 104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-07-01 0
2012: THE SIMON COMPANIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-07-01 128
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 108
Number of retired or separated participants receiving benefits 2012-07-01 0
Number of other retired or separated participants entitled to future benefits 2012-07-01 12
Total of all active and inactive participants 2012-07-01 120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-07-01 0
Total participants 2012-07-01 120
Number of participants with account balances 2012-07-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-07-01 0
2011: THE SIMON COMPANIES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-07-01 141
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 112
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 12
Total of all active and inactive participants 2011-07-01 124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 0
Total participants 2011-07-01 124
Number of participants with account balances 2011-07-01 63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 0
2009: THE SIMON COMPANIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 134
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 123
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 13
Total of all active and inactive participants 2009-07-01 136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 0
Total participants 2009-07-01 136
Number of participants with account balances 2009-07-01 69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 0

Measure	Date	Value
2017: THE SIMON COMPANIES 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-07-01	130
Total number of active participants reported on line 7a of the Form 5500	2017-07-01	70
Number of retired or separated participants receiving benefits	2017-07-01	0
Number of other retired or separated participants entitled to future benefits	2017-07-01	8
Total of all active and inactive participants	2017-07-01	78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-07-01	0
Total participants	2017-07-01	78
Number of participants with account balances	2017-07-01	62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-07-01	0
2016: THE SIMON COMPANIES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-07-01	124
Total number of active participants reported on line 7a of the Form 5500	2016-07-01	92
Number of other retired or separated participants entitled to future benefits	2016-07-01	33
Total of all active and inactive participants	2016-07-01	125
Total participants	2016-07-01	125
Number of participants with account balances	2016-07-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-07-01	0
2015: THE SIMON COMPANIES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-07-01	119
Total number of active participants reported on line 7a of the Form 5500	2015-07-01	98
Number of retired or separated participants receiving benefits	2015-07-01	0
Number of other retired or separated participants entitled to future benefits	2015-07-01	26
Total of all active and inactive participants	2015-07-01	124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-07-01	0
Total participants	2015-07-01	124
Number of participants with account balances	2015-07-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-07-01	0
2014: THE SIMON COMPANIES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-07-01	123
Total number of active participants reported on line 7a of the Form 5500	2014-07-01	90
Number of retired or separated participants receiving benefits	2014-07-01	0
Number of other retired or separated participants entitled to future benefits	2014-07-01	28
Total of all active and inactive participants	2014-07-01	118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-07-01	0
Total participants	2014-07-01	118
Number of participants with account balances	2014-07-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-07-01	0
2013: THE SIMON COMPANIES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-07-01	128
Total number of active participants reported on line 7a of the Form 5500	2013-07-01	99
Number of retired or separated participants receiving benefits	2013-07-01	0
Number of other retired or separated participants entitled to future benefits	2013-07-01	23
Total of all active and inactive participants	2013-07-01	122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-07-01	0
Total participants	2013-07-01	122
Number of participants with account balances	2013-07-01	104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-07-01	0
2012: THE SIMON COMPANIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-07-01	128
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	108
Number of retired or separated participants receiving benefits	2012-07-01	0
Number of other retired or separated participants entitled to future benefits	2012-07-01	12
Total of all active and inactive participants	2012-07-01	120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-07-01	0
Total participants	2012-07-01	120
Number of participants with account balances	2012-07-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-07-01	0
2011: THE SIMON COMPANIES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-07-01	141
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	112
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	12
Total of all active and inactive participants	2011-07-01	124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	0
Total participants	2011-07-01	124
Number of participants with account balances	2011-07-01	63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	0
2009: THE SIMON COMPANIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	134
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	123
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	13
Total of all active and inactive participants	2009-07-01	136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	0
Total participants	2009-07-01	136
Number of participants with account balances	2009-07-01	69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	0

Financial Data on THE SIMON COMPANIES 401(K) PLAN

Measure	Date	Value
2018 : THE SIMON COMPANIES 401(K) PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-06-30	$353,976
Total of all expenses incurred	2018-06-30	$557,269
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-06-30	$543,527
Value of total corrective distributions	2018-06-30	$1,374
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-06-30	$112,940
Value of total assets at end of year	2018-06-30	$2,567,976
Value of total assets at beginning of year	2018-06-30	$2,771,269
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-06-30	$12,368
Total interest from all sources	2018-06-30	$1,757
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-06-30	No
Was this plan covered by a fidelity bond	2018-06-30	Yes
Value of fidelity bond cover	2018-06-30	$210,000
If this is an individual account plan, was there a blackout period	2018-06-30	Yes
Were there any nonexempt tranactions with any party-in-interest	2018-06-30	No
Contributions received from participants	2018-06-30	$112,940
Participant contributions at end of year	2018-06-30	$31,293
Participant contributions at beginning of year	2018-06-30	$19,697
Other income not declared elsewhere	2018-06-30	$10,087
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-06-30	No
Value of net income/loss	2018-06-30	$-203,293
Value of net assets at end of year (total assets less liabilities)	2018-06-30	$2,567,976
Value of net assets at beginning of year (total assets less liabilities)	2018-06-30	$2,771,269
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-06-30	No
Were any leases to which the plan was party in default or uncollectible	2018-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-06-30	$2,536,683
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-06-30	$2,751,572
Interest on participant loans	2018-06-30	$1,757
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-06-30	$229,192
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-06-30	No
Was there a failure to transmit to the plan any participant contributions	2018-06-30	Yes
Has the plan failed to provide any benefit when due under the plan	2018-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-06-30	$543,527
Contract administrator fees	2018-06-30	$12,368
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-06-30	Yes
Did the plan have assets held for investment	2018-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2018-06-30	Disclaimer
Accountancy firm name	2018-06-30	ATHERTON & ASSOCIATES, LLP
Accountancy firm EIN	2018-06-30	941239084
2017 : THE SIMON COMPANIES 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-30	$0
Total income from all sources (including contributions)	2017-06-30	$424,496
Total loss/gain on sale of assets	2017-06-30	$0
Total of all expenses incurred	2017-06-30	$312,451
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-06-30	$303,878
Value of total corrective distributions	2017-06-30	$2,573
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-06-30	$134,258
Value of total assets at end of year	2017-06-30	$2,771,269
Value of total assets at beginning of year	2017-06-30	$2,659,224
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-06-30	$6,000
Total interest from all sources	2017-06-30	$1,220
Total dividends received (eg from common stock, registered investment company shares)	2017-06-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-06-30	No
Was this plan covered by a fidelity bond	2017-06-30	Yes
Value of fidelity bond cover	2017-06-30	$210,000
If this is an individual account plan, was there a blackout period	2017-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2017-06-30	No
Contributions received from participants	2017-06-30	$134,258
Participant contributions at end of year	2017-06-30	$19,697
Participant contributions at beginning of year	2017-06-30	$20,837
Administrative expenses (other) incurred	2017-06-30	$6,000
Total non interest bearing cash at beginning of year	2017-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-30	No
Value of net income/loss	2017-06-30	$112,045
Value of net assets at end of year (total assets less liabilities)	2017-06-30	$2,771,269
Value of net assets at beginning of year (total assets less liabilities)	2017-06-30	$2,659,224
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-06-30	No
Were any leases to which the plan was party in default or uncollectible	2017-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-06-30	$2,751,572
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-06-30	$2,638,387
Interest on participant loans	2017-06-30	$1,220
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-06-30	$289,018
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-06-30	No
Was there a failure to transmit to the plan any participant contributions	2017-06-30	No
Has the plan failed to provide any benefit when due under the plan	2017-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-06-30	$303,878
Did the plan have assets held for investment	2017-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2017-06-30	Disclaimer
Accountancy firm name	2017-06-30	MARK ANDERSON, CPA
Accountancy firm EIN	2017-06-30	461376748
2016 : THE SIMON COMPANIES 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-06-30	$165,817
Total of all expenses incurred	2016-06-30	$94,556
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-06-30	$88,200
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-06-30	$187,750
Value of total assets at end of year	2016-06-30	$2,659,224
Value of total assets at beginning of year	2016-06-30	$2,587,963
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-06-30	$6,356
Total interest from all sources	2016-06-30	$1,292
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-06-30	No
Was this plan covered by a fidelity bond	2016-06-30	Yes
Value of fidelity bond cover	2016-06-30	$210,000
If this is an individual account plan, was there a blackout period	2016-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2016-06-30	No
Contributions received from participants	2016-06-30	$127,201
Participant contributions at end of year	2016-06-30	$20,837
Participant contributions at beginning of year	2016-06-30	$48,286
Income. Received or receivable in cash from other sources (including rollovers)	2016-06-30	$60,549
Total non interest bearing cash at end of year	2016-06-30	$0
Total non interest bearing cash at beginning of year	2016-06-30	$555
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-06-30	No
Value of net income/loss	2016-06-30	$71,261
Value of net assets at end of year (total assets less liabilities)	2016-06-30	$2,659,224
Value of net assets at beginning of year (total assets less liabilities)	2016-06-30	$2,587,963
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-06-30	No
Were any leases to which the plan was party in default or uncollectible	2016-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-06-30	$2,638,387
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-06-30	$2,539,122
Interest on participant loans	2016-06-30	$1,292
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-06-30	$-23,225
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-06-30	No
Was there a failure to transmit to the plan any participant contributions	2016-06-30	No
Has the plan failed to provide any benefit when due under the plan	2016-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-06-30	$88,200
Contract administrator fees	2016-06-30	$6,356
Did the plan have assets held for investment	2016-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2016-06-30	Disclaimer
Accountancy firm name	2016-06-30	MARK ANDERSON, CPA
Accountancy firm EIN	2016-06-30	461376748
2015 : THE SIMON COMPANIES 401(K) PLAN 2015 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-06-30	$0
Total income from all sources (including contributions)	2015-06-30	$222,995
Total of all expenses incurred	2015-06-30	$400,406
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-06-30	$391,484
Value of total corrective distributions	2015-06-30	$6,308
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-06-30	$143,729
Value of total assets at end of year	2015-06-30	$2,587,963
Value of total assets at beginning of year	2015-06-30	$2,765,374
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-06-30	$2,614
Total interest from all sources	2015-06-30	$2,323
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-06-30	No
Was this plan covered by a fidelity bond	2015-06-30	Yes
Value of fidelity bond cover	2015-06-30	$210,000
If this is an individual account plan, was there a blackout period	2015-06-30	Yes
Were there any nonexempt tranactions with any party-in-interest	2015-06-30	No
Contributions received from participants	2015-06-30	$143,729
Participant contributions at end of year	2015-06-30	$48,286
Participant contributions at beginning of year	2015-06-30	$42,312
Total non interest bearing cash at end of year	2015-06-30	$555
Total non interest bearing cash at beginning of year	2015-06-30	$600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-06-30	No
Value of net income/loss	2015-06-30	$-177,411
Value of net assets at end of year (total assets less liabilities)	2015-06-30	$2,587,963
Value of net assets at beginning of year (total assets less liabilities)	2015-06-30	$2,765,374
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-06-30	No
Were any leases to which the plan was party in default or uncollectible	2015-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-06-30	$2,539,122
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-06-30	$2,722,462
Interest on participant loans	2015-06-30	$2,323
Net investment gain/loss from pooled separate accounts	2015-06-30	$76,943
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-06-30	No
Was there a failure to transmit to the plan any participant contributions	2015-06-30	No
Has the plan failed to provide any benefit when due under the plan	2015-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-06-30	$391,484
Contract administrator fees	2015-06-30	$2,614
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-06-30	Yes
Did the plan have assets held for investment	2015-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2015-06-30	Disclaimer
Accountancy firm name	2015-06-30	MARK ANDERSON, CPA
Accountancy firm EIN	2015-06-30	461376748
2014 : THE SIMON COMPANIES 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-06-30	$0
Total income from all sources (including contributions)	2014-06-30	$521,875
Total loss/gain on sale of assets	2014-06-30	$0
Total of all expenses incurred	2014-06-30	$121,427
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-06-30	$74,914
Value of total corrective distributions	2014-06-30	$29,817
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-06-30	$152,023
Value of total assets at end of year	2014-06-30	$2,765,374
Value of total assets at beginning of year	2014-06-30	$2,364,926
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-06-30	$16,696
Total interest from all sources	2014-06-30	$2,911
Total dividends received (eg from common stock, registered investment company shares)	2014-06-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-06-30	No
Was this plan covered by a fidelity bond	2014-06-30	Yes
Value of fidelity bond cover	2014-06-30	$210,000
If this is an individual account plan, was there a blackout period	2014-06-30	Yes
Were there any nonexempt tranactions with any party-in-interest	2014-06-30	No
Contributions received from participants	2014-06-30	$151,581
Participant contributions at end of year	2014-06-30	$42,312
Participant contributions at beginning of year	2014-06-30	$55,507
Income. Received or receivable in cash from other sources (including rollovers)	2014-06-30	$442
Other income not declared elsewhere	2014-06-30	$974
Administrative expenses (other) incurred	2014-06-30	$1,329
Total non interest bearing cash at end of year	2014-06-30	$600
Total non interest bearing cash at beginning of year	2014-06-30	$393
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-06-30	No
Value of net income/loss	2014-06-30	$400,448
Value of net assets at end of year (total assets less liabilities)	2014-06-30	$2,765,374
Value of net assets at beginning of year (total assets less liabilities)	2014-06-30	$2,364,926
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-06-30	No
Were any leases to which the plan was party in default or uncollectible	2014-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-06-30	$2,722,462
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-06-30	$2,293,346
Interest on participant loans	2014-06-30	$2,559
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-06-30	$352
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-06-30	$15,680
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-06-30	$365,967
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-06-30	No
Was there a failure to transmit to the plan any participant contributions	2014-06-30	Yes
Has the plan failed to provide any benefit when due under the plan	2014-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-06-30	$74,914
Contract administrator fees	2014-06-30	$15,367
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-06-30	Yes
Did the plan have assets held for investment	2014-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-06-30	Disclaimer
Accountancy firm name	2014-06-30	MARK ANDERSON, CPA
Accountancy firm EIN	2014-06-30	461376748
2013 : THE SIMON COMPANIES 401(K) PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-06-30	$380,253
Total of all expenses incurred	2013-06-30	$233,611
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-06-30	$218,586
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-06-30	$151,591
Value of total assets at end of year	2013-06-30	$2,364,926
Value of total assets at beginning of year	2013-06-30	$2,218,284
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-06-30	$15,025
Total interest from all sources	2013-06-30	$2,972
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-06-30	No
Was this plan covered by a fidelity bond	2013-06-30	Yes
Value of fidelity bond cover	2013-06-30	$250,000
If this is an individual account plan, was there a blackout period	2013-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2013-06-30	No
Contributions received from participants	2013-06-30	$151,591
Participant contributions at end of year	2013-06-30	$55,507
Participant contributions at beginning of year	2013-06-30	$18,719
Participant contributions at beginning of year	2013-06-30	$57,703
Other income not declared elsewhere	2013-06-30	$12,979
Administrative expenses (other) incurred	2013-06-30	$1,700
Total non interest bearing cash at end of year	2013-06-30	$393
Total non interest bearing cash at beginning of year	2013-06-30	$393
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-06-30	No
Value of net income/loss	2013-06-30	$146,642
Value of net assets at end of year (total assets less liabilities)	2013-06-30	$2,364,926
Value of net assets at beginning of year (total assets less liabilities)	2013-06-30	$2,218,284
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-06-30	No
Were any leases to which the plan was party in default or uncollectible	2013-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-06-30	$2,293,346
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-06-30	$2,126,616
Interest on participant loans	2013-06-30	$2,398
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-06-30	$574
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-06-30	$15,680
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-06-30	$14,853
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-06-30	$212,711
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-06-30	No
Was there a failure to transmit to the plan any participant contributions	2013-06-30	Yes
Has the plan failed to provide any benefit when due under the plan	2013-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-06-30	$218,586
Contract administrator fees	2013-06-30	$13,325
Did the plan have assets held for investment	2013-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-06-30	Disclaimer
Accountancy firm name	2013-06-30	MARK ANDERSON, CPA
Accountancy firm EIN	2013-06-30	461376748
2012 : THE SIMON COMPANIES 401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-06-30	$136,856
Total of all expenses incurred	2012-06-30	$242,345
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-06-30	$216,827
Value of total corrective distributions	2012-06-30	$25,518
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-06-30	$135,417
Value of total assets at end of year	2012-06-30	$2,204,965
Value of total assets at beginning of year	2012-06-30	$2,310,454
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-06-30	$14,225
Total interest from all sources	2012-06-30	$1,439
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-06-30	No
Was this plan covered by a fidelity bond	2012-06-30	Yes
Value of fidelity bond cover	2012-06-30	$250,000
If this is an individual account plan, was there a blackout period	2012-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2012-06-30	No
Contributions received from participants	2012-06-30	$132,626
Participant contributions at end of year	2012-06-30	$18,719
Participant contributions at beginning of year	2012-06-30	$14,966
Participant contributions at end of year	2012-06-30	$44,383
Participant contributions at beginning of year	2012-06-30	$22,154
Income. Received or receivable in cash from other sources (including rollovers)	2012-06-30	$2,791
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-06-30	$0
Administrative expenses (other) incurred	2012-06-30	$890
Total non interest bearing cash at end of year	2012-06-30	$393
Total non interest bearing cash at beginning of year	2012-06-30	$367
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Value of net income/loss	2012-06-30	$-105,489
Value of net assets at end of year (total assets less liabilities)	2012-06-30	$2,204,965
Value of net assets at beginning of year (total assets less liabilities)	2012-06-30	$2,310,454
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-06-30	No
Were any leases to which the plan was party in default or uncollectible	2012-06-30	No
Investment advisory and management fees	2012-06-30	$9,417
Value of interest in pooled separate accounts at end of year	2012-06-30	$2,126,617
Value of interest in pooled separate accounts at beginning of year	2012-06-30	$2,258,732
Interest on participant loans	2012-06-30	$884
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-06-30	$555
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-06-30	$14,853
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-06-30	$14,235
Net investment gain/loss from pooled separate accounts	2012-06-30	$15,923
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-06-30	No
Was there a failure to transmit to the plan any participant contributions	2012-06-30	No
Has the plan failed to provide any benefit when due under the plan	2012-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-06-30	$216,827
Contract administrator fees	2012-06-30	$3,918
Did the plan have assets held for investment	2012-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-06-30	Disclaimer
Accountancy firm name	2012-06-30	MARK ANDERSON, CPA
Accountancy firm EIN	2012-06-30	461376748
2011 : THE SIMON COMPANIES 401(K) PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-06-30	$482,461
Total loss/gain on sale of assets	2011-06-30	$0
Total of all expenses incurred	2011-06-30	$124,863
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-06-30	$80,008
Expenses. Certain deemed distributions of participant loans	2011-06-30	$31,467
Value of total corrective distributions	2011-06-30	$31,467
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-06-30	$172,652
Value of total assets at end of year	2011-06-30	$2,310,814
Value of total assets at beginning of year	2011-06-30	$1,953,216
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-06-30	$13,388
Total interest from all sources	2011-06-30	$2,494
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-06-30	No
Administrative expenses professional fees incurred	2011-06-30	$430
Was this plan covered by a fidelity bond	2011-06-30	Yes
Value of fidelity bond cover	2011-06-30	$250,000
If this is an individual account plan, was there a blackout period	2011-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2011-06-30	No
Contributions received from participants	2011-06-30	$153,450
Participant contributions at end of year	2011-06-30	$14,966
Participant contributions at beginning of year	2011-06-30	$53,676
Participant contributions at end of year	2011-06-30	$22,514
Participant contributions at beginning of year	2011-06-30	$360
Income. Received or receivable in cash from other sources (including rollovers)	2011-06-30	$19,202
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-06-30	$0
Assets. Loans (other than to participants) at end of year	2011-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2011-06-30	$0
Total non interest bearing cash at end of year	2011-06-30	$367
Total non interest bearing cash at beginning of year	2011-06-30	$195
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Value of net income/loss	2011-06-30	$357,598
Value of net assets at end of year (total assets less liabilities)	2011-06-30	$2,310,814
Value of net assets at beginning of year (total assets less liabilities)	2011-06-30	$1,953,216
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-06-30	No
Were any leases to which the plan was party in default or uncollectible	2011-06-30	No
Investment advisory and management fees	2011-06-30	$10,866
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-06-30	$2,258,732
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-06-30	$1,885,423
Value of interest in pooled separate accounts at end of year	2011-06-30	$2,258,732
Value of interest in pooled separate accounts at beginning of year	2011-06-30	$1,885,423
Interest on participant loans	2011-06-30	$1,961
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-06-30	$533
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-06-30	$14,235
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-06-30	$13,562
Net investment gain/loss from pooled separate accounts	2011-06-30	$307,315
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-06-30	No
Was there a failure to transmit to the plan any participant contributions	2011-06-30	No
Has the plan failed to provide any benefit when due under the plan	2011-06-30	No
Contributions received in cash from employer	2011-06-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-06-30	$80,008
Contract administrator fees	2011-06-30	$2,092
Did the plan have assets held for investment	2011-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-06-30	No
Aggregate proceeds on sale of assets	2011-06-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-06-30	Disclaimer
Accountancy firm name	2011-06-30	MARK ANDERSON, CPA
Accountancy firm EIN	2011-06-30	461376748
2010 : THE SIMON COMPANIES 401(K) PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-06-30	$0

Form 5500 Responses for THE SIMON COMPANIES 401(K) PLAN

2017: THE SIMON COMPANIES 401(K) PLAN 2017 form 5500 responses
2017-07-01	Type of plan entity	Single employer plan
2017-07-01	Submission has been amended	No
2017-07-01	This submission is the final filing	No
2017-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-07-01	Plan is a collectively bargained plan	No
2017-07-01	Plan funding arrangement – Insurance	Yes
2017-07-01	Plan funding arrangement – Trust	Yes
2017-07-01	Plan benefit arrangement – Insurance	Yes
2017-07-01	Plan benefit arrangement - Trust	Yes
2016: THE SIMON COMPANIES 401(K) PLAN 2016 form 5500 responses
2016-07-01	Type of plan entity	Single employer plan
2016-07-01	Submission has been amended	No
2016-07-01	This submission is the final filing	No
2016-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-07-01	Plan is a collectively bargained plan	No
2016-07-01	Plan funding arrangement – Insurance	Yes
2016-07-01	Plan funding arrangement – Trust	Yes
2016-07-01	Plan benefit arrangement – Insurance	Yes
2016-07-01	Plan benefit arrangement - Trust	Yes
2015: THE SIMON COMPANIES 401(K) PLAN 2015 form 5500 responses
2015-07-01	Type of plan entity	Single employer plan
2015-07-01	Submission has been amended	No
2015-07-01	This submission is the final filing	No
2015-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-07-01	Plan is a collectively bargained plan	No
2015-07-01	Plan funding arrangement – Insurance	Yes
2015-07-01	Plan funding arrangement – Trust	Yes
2015-07-01	Plan benefit arrangement – Insurance	Yes
2015-07-01	Plan benefit arrangement - Trust	Yes
2014: THE SIMON COMPANIES 401(K) PLAN 2014 form 5500 responses
2014-07-01	Type of plan entity	Single employer plan
2014-07-01	Submission has been amended	No
2014-07-01	This submission is the final filing	No
2014-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-07-01	Plan is a collectively bargained plan	No
2014-07-01	Plan funding arrangement – Insurance	Yes
2014-07-01	Plan funding arrangement – Trust	Yes
2014-07-01	Plan benefit arrangement – Insurance	Yes
2014-07-01	Plan benefit arrangement - Trust	Yes
2013: THE SIMON COMPANIES 401(K) PLAN 2013 form 5500 responses
2013-07-01	Type of plan entity	Single employer plan
2013-07-01	Submission has been amended	No
2013-07-01	This submission is the final filing	No
2013-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-07-01	Plan is a collectively bargained plan	No
2013-07-01	Plan funding arrangement – Insurance	Yes
2013-07-01	Plan funding arrangement – Trust	Yes
2013-07-01	Plan benefit arrangement – Insurance	Yes
2013-07-01	Plan benefit arrangement - Trust	Yes
2012: THE SIMON COMPANIES 401(K) PLAN 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Submission has been amended	No
2012-07-01	This submission is the final filing	No
2012-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-07-01	Plan is a collectively bargained plan	No
2012-07-01	Plan funding arrangement – Insurance	Yes
2012-07-01	Plan funding arrangement – Trust	Yes
2012-07-01	Plan benefit arrangement – Insurance	Yes
2012-07-01	Plan benefit arrangement - Trust	Yes
2011: THE SIMON COMPANIES 401(K) PLAN 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Submission has been amended	Yes
2011-07-01	This submission is the final filing	No
2011-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-07-01	Plan is a collectively bargained plan	No
2011-07-01	Plan funding arrangement – Insurance	Yes
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement – Insurance	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2009: THE SIMON COMPANIES 401(K) PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	Yes
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	No
2009-07-01	Plan funding arrangement – Insurance	Yes
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement – Insurance	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

805333-000

Policy instance

Insurance contract or identification number	805333-000
Insurance policy start date	2017-07-01
Insurance policy end date	2018-06-30
Total amount of commissions paid to insurance broker	USD $5,814
Total amount of fees paid to insurance company	USD $349
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

819002

Policy instance

Insurance contract or identification number	819002
Number of Individuals Covered	62
Insurance policy start date	2017-07-01
Insurance policy end date	2018-06-30

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

805333-000

Policy instance

Insurance contract or identification number	805333-000
Insurance policy start date	2015-07-01
Insurance policy end date	2016-06-30
Total amount of commissions paid to insurance broker	USD $11,810
Total amount of fees paid to insurance company	USD $1,165
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $11,810
Additional information about fees paid to insurance broker	BROKER COMMISSIONS
Insurance broker organization code?	3
Amount paid for insurance broker fees	1165
Insurance broker name	OSBORNE AND ASSOCIATES, INC.

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

805333-000

Policy instance

Insurance contract or identification number	805333-000
Insurance policy start date	2014-07-01
Insurance policy end date	2015-06-30
Total amount of commissions paid to insurance broker	USD $21,428
Total amount of fees paid to insurance company	USD $14,778
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $21,428
Additional information about fees paid to insurance broker	BROKER COMMISSIONS
Insurance broker organization code?	3
Amount paid for insurance broker fees	14778
Insurance broker name	OSBORNE AND ASSOCIATES, INC.

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

Policy contract number

47602

Policy instance

Insurance contract or identification number	47602
Number of Individuals Covered	104
Insurance policy start date	2013-07-01
Insurance policy end date	2014-06-30
Total amount of commissions paid to insurance broker	USD $12,889
Total amount of fees paid to insurance company	USD $1,329
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $11,725
Additional information about fees paid to insurance broker	BROKER COMMISSION
Insurance broker organization code?	3
Amount paid for insurance broker fees	1329
Insurance broker name	OSBORNE AND ASSOCIATES, INC.

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

Policy contract number

47602

Policy instance

Insurance contract or identification number	47602
Number of Individuals Covered	113
Insurance policy start date	2012-07-01
Insurance policy end date	2013-06-30
Total amount of commissions paid to insurance broker	USD $20,715
Total amount of fees paid to insurance company	USD $1,700
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $19,606
Insurance broker organization code?	3
Amount paid for insurance broker fees	1700
Additional information about fees paid to insurance broker	TPA COMPENSATION AND FEES
Insurance broker name	OSBORNE AND ASSOCIATES, INC.

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

Policy contract number

47602

Policy instance

Insurance contract or identification number	47602
Number of Individuals Covered	116
Insurance policy start date	2011-07-01
Insurance policy end date	2012-06-30
Total amount of commissions paid to insurance broker	USD $2,718
Total amount of fees paid to insurance company	USD $10,307
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes

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

Policy contract number

Policy instance

Number of Individuals Covered	80
Insurance policy start date	2010-07-01
Insurance policy end date	2011-06-30
Total amount of commissions paid to insurance broker	USD $10,866
Total amount of fees paid to insurance company	USD $1,504
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	1504
Additional information about fees paid to insurance broker	TPA COMP & FEES
Insurance broker organization code?	5
Insurance broker name	VALLEY WEALTH, INC.

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Company Name:	FREESE & GIANELLI, INC.
Employer identification number (EIN):	941647883
NAIC Classification:	524290