401k Plan data: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. plan

EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 401k Plan overview

Plan Name	EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC.
Plan identification number	002

EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Stock bonus ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).

401k Sponsoring company profile

DUNCAN INDUSTRIES, INC. has sponsored the creation of one or more 401k plans.

Company Name: DUNCAN INDUSTRIES, INC.

Employer identification number (EIN): 952486289

NAIC Classification: 332700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC.

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01
002 2016-01-01 JAN PASILLAS JAN PASILLAS 2017-07-17
002 2016-01-01 JAN PASILLAS 2019-06-04
002 2015-01-01 JAMES BECKERLE
002 2014-01-01 JAN PASILLAS
002 2013-01-01 JAMES BECKERLE JAMES BECKERLE 2015-02-04
002 2012-01-01 JAMES BECKERLE JAMES BECKERLE 2015-02-04
002 2011-01-01 JAMES BECKERLE JAMES BECKERLE 2015-02-04
002 2009-01-01 JAMES BECKERLE 2010-07-30
002 2009-01-01 JAMES BECKERLE

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2017-01-01
002	2016-01-01	JAN PASILLAS	JAN PASILLAS	2017-07-17
002	2016-01-01		JAN PASILLAS	2019-06-04
002	2015-01-01	JAMES BECKERLE
002	2014-01-01	JAN PASILLAS
002	2013-01-01	JAMES BECKERLE	JAMES BECKERLE	2015-02-04
002	2012-01-01	JAMES BECKERLE	JAMES BECKERLE	2015-02-04
002	2011-01-01	JAMES BECKERLE	JAMES BECKERLE	2015-02-04
002	2009-01-01		JAMES BECKERLE	2010-07-30
002	2009-01-01	JAMES BECKERLE

Plan Statistics for EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC.

401k plan membership statisitcs for EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC.

Measure Date Value
2016: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2016 401k membership
Total participants, beginning-of-year 2016-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2015 401k membership
Total participants, beginning-of-year 2015-01-01 38
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2014 401k membership
Total participants, beginning-of-year 2014-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 38
Number of other retired or separated participants entitled to future benefits 2014-01-01 1
Total of all active and inactive participants 2014-01-01 39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 2
Total participants 2014-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2013 401k membership
Total participants, beginning-of-year 2013-01-01 24
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 23
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 24
Number of participants with account balances 2013-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2012 401k membership
Total participants, beginning-of-year 2012-01-01 24
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 23
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 24
Number of participants with account balances 2012-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2011 401k membership
Total participants, beginning-of-year 2011-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 23
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 24
Number of participants with account balances 2011-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2009 401k membership
Total participants, beginning-of-year 2009-01-01 49
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 39
Number of retired or separated participants receiving benefits 2009-01-01 2
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2016: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2016 401k membership
Total participants, beginning-of-year	2016-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2015 401k membership
Total participants, beginning-of-year	2015-01-01	38
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2014 401k membership
Total participants, beginning-of-year	2014-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	38
Number of other retired or separated participants entitled to future benefits	2014-01-01	1
Total of all active and inactive participants	2014-01-01	39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	2
Total participants	2014-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2013 401k membership
Total participants, beginning-of-year	2013-01-01	24
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	23
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	24
Number of participants with account balances	2013-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2012 401k membership
Total participants, beginning-of-year	2012-01-01	24
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	23
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	24
Number of participants with account balances	2012-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2011 401k membership
Total participants, beginning-of-year	2011-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	23
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	24
Number of participants with account balances	2011-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2009 401k membership
Total participants, beginning-of-year	2009-01-01	49
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	39
Number of retired or separated participants receiving benefits	2009-01-01	2
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC.

Measure	Date	Value
2016 : EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2016 401k financial data
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total plan assets at end of year	2016-12-31	$0
Total plan assets at beginning of year	2016-12-31	$0
Value of fidelity bond covering the plan	2016-12-31	$250,000
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$0
2015 : EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$0
Total income from all sources	2015-12-31	$18
Expenses. Total of all expenses incurred	2015-12-31	$1,428,607
Benefits paid (including direct rollovers)	2015-12-31	$1,428,607
Total plan assets at end of year	2015-12-31	$0
Total plan assets at beginning of year	2015-12-31	$1,428,589
Value of fidelity bond covering the plan	2015-12-31	$250,000
Other income received	2015-12-31	$18
Net income (gross income less expenses)	2015-12-31	$-1,428,589
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,428,589
2014 : EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2014 401k financial data
Total income from all sources	2014-12-31	$41,515
Expenses. Total of all expenses incurred	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$1,428,589
Total plan assets at beginning of year	2014-12-31	$1,387,074
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Other income received	2014-12-31	$41,515
Net income (gross income less expenses)	2014-12-31	$41,515
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,428,589
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,387,074
Assets. Value of employer securities	2014-12-31	$1,387,074
2013 : EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2013 401k financial data
Total income from all sources	2013-12-31	$33,877
Expenses. Total of all expenses incurred	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$1,387,074
Total plan assets at beginning of year	2013-12-31	$1,353,197
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Other income received	2013-12-31	$33,877
Net income (gross income less expenses)	2013-12-31	$33,877
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,387,074
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,353,197
Assets. Value of employer securities	2013-12-31	$1,387,074
2012 : EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2012 401k financial data
Total income from all sources	2012-12-31	$65,862
Expenses. Total of all expenses incurred	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$1,353,197
Total plan assets at beginning of year	2012-12-31	$1,287,335
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Other income received	2012-12-31	$65,862
Net income (gross income less expenses)	2012-12-31	$65,862
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,353,197
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,287,335
Assets. Value of employer securities	2012-12-31	$1,353,197
2011 : EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2011 401k financial data
Total income from all sources	2011-12-31	$117,759
Expenses. Total of all expenses incurred	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$1,287,335
Total plan assets at beginning of year	2011-12-31	$1,169,576
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Other income received	2011-12-31	$117,759
Net income (gross income less expenses)	2011-12-31	$117,759
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,287,335
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,169,576
Assets. Value of employer securities	2011-12-31	$1,287,335
2010 : EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2010 401k financial data
Total income from all sources	2010-12-31	$15
Total plan assets at end of year	2010-12-31	$1,169,576
Total plan assets at beginning of year	2010-12-31	$1,169,561
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Other income received	2010-12-31	$3
Net income (gross income less expenses)	2010-12-31	$15
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,169,576
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,169,561
Assets. Value of employer securities	2010-12-31	$1,168,743
Total contributions received or receivable from employer(s)	2010-12-31	$12

Form 5500 Responses for EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC.

2017: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2017 form 5500 responses
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2016: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: EMPLOYEE STOCK OWNERSHIP PLAN FOR THE EMPLOYEES OF DUNCAN INDUSTRIES, INC. 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DUNCAN INDUSTRIES, INC.
Employer identification number (EIN):	952486289
NAIC Classification:	332700