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COGENTIX MEDICAL, INC. 401(K) PLAN 401k Plan overview

Plan NameCOGENTIX MEDICAL, INC. 401(K) PLAN
Plan identification number 001

COGENTIX MEDICAL, INC. 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

COGENTIX MEDICAL, INC. has sponsored the creation of one or more 401k plans.

Company Name:COGENTIX MEDICAL, INC.
Employer identification number (EIN):133430173
NAIC Classification:339110

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COGENTIX MEDICAL, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012018-01-01
0012018-01-01
0012017-01-01AIMEE MOORE
0012016-01-01BRETT REYNOLDS
0012015-01-01BRETT REYNOLDS BRETT REYNOLDS2016-10-06
0012012-04-01HOWARD ZAUBERMAN2013-06-17
0012011-04-01HOWARD ZAUBERMAN
0012010-04-01KATHERINE WOLF
0012009-04-01KATHERINE WOLF

Plan Statistics for COGENTIX MEDICAL, INC. 401(K) PLAN

401k plan membership statisitcs for COGENTIX MEDICAL, INC. 401(K) PLAN

Measure Date Value
2018: COGENTIX MEDICAL, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01257
Total number of active participants reported on line 7a of the Form 55002018-01-01141
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-01102
Total of all active and inactive participants2018-01-01244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01244
Number of participants with account balances2018-01-01226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0114
2017: COGENTIX MEDICAL, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01243
Total number of active participants reported on line 7a of the Form 55002017-01-01179
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0175
Total of all active and inactive participants2017-01-01254
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01254
Number of participants with account balances2017-01-01239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-013
2016: COGENTIX MEDICAL, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01245
Total number of active participants reported on line 7a of the Form 55002016-01-01158
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0182
Total of all active and inactive participants2016-01-01240
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01240
Number of participants with account balances2016-01-01225
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: COGENTIX MEDICAL, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01177
Total number of active participants reported on line 7a of the Form 55002015-01-01163
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0180
Total of all active and inactive participants2015-01-01243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01243
Number of participants with account balances2015-01-01225
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2011: COGENTIX MEDICAL, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-04-01136
Total number of active participants reported on line 7a of the Form 55002011-04-0162
Number of retired or separated participants receiving benefits2011-04-010
Number of other retired or separated participants entitled to future benefits2011-04-0122
Total of all active and inactive participants2011-04-0184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-04-010
Total participants2011-04-0184
Number of participants with account balances2011-04-0184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-04-013
2010: COGENTIX MEDICAL, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-04-01116
Total number of active participants reported on line 7a of the Form 55002010-04-0193
Number of retired or separated participants receiving benefits2010-04-010
Number of other retired or separated participants entitled to future benefits2010-04-0115
Total of all active and inactive participants2010-04-01108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-04-010
Total participants2010-04-01108
Number of participants with account balances2010-04-0187
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-04-011
2009: COGENTIX MEDICAL, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-04-01149
Total number of active participants reported on line 7a of the Form 55002009-04-0193
Number of retired or separated participants receiving benefits2009-04-010
Number of other retired or separated participants entitled to future benefits2009-04-0123
Total of all active and inactive participants2009-04-01116
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-04-010
Total participants2009-04-01116
Number of participants with account balances2009-04-0192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-04-014

Financial Data on COGENTIX MEDICAL, INC. 401(K) PLAN

Measure Date Value
2018 : COGENTIX MEDICAL, INC. 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$8,779
Total unrealized appreciation/depreciation of assets2018-12-31$8,779
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$929,002
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$2,363,085
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,358,755
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,940,652
Value of total assets at end of year2018-12-31$15,804,422
Value of total assets at beginning of year2018-12-31$17,234,339
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$4,330
Total interest from all sources2018-12-31$13,235
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2018-12-31$0
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,355,362
Participant contributions at end of year2018-12-31$123,120
Participant contributions at beginning of year2018-12-31$115,853
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$7,178
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-1,434,083
Value of net assets at end of year (total assets less liabilities)2018-12-31$15,804,422
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$17,234,339
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
Value of interest in pooled separate accounts at end of year2018-12-31$15,123,763
Value of interest in pooled separate accounts at beginning of year2018-12-31$16,589,528
Interest on participant loans2018-12-31$5,974
Interest earned on other investments2018-12-31$7,261
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$476,989
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$414,052
Net investment gain or loss from common/collective trusts2018-12-31$-1,033,664
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
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
Assets. Invements in employer securities at end of year2018-12-31$0
Assets. Invements in employer securities at beginning of year2018-12-31$38,524
Contributions received in cash from employer2018-12-31$578,112
Employer contributions (assets) at end of year2018-12-31$80,550
Employer contributions (assets) at beginning of year2018-12-31$76,382
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,358,755
Contract administrator fees2018-12-31$4,330
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 appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31GRANT THORNTON LLP
Accountancy firm EIN2018-12-31363055558
2017 : COGENTIX MEDICAL, INC. 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$13,839
Total unrealized appreciation/depreciation of assets2017-12-31$13,839
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$5,057,022
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,861,728
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,858,083
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,619,932
Value of total assets at end of year2017-12-31$17,234,339
Value of total assets at beginning of year2017-12-31$14,039,045
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$3,645
Total interest from all sources2017-12-31$14,803
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,357,443
Participant contributions at end of year2017-12-31$115,853
Participant contributions at beginning of year2017-12-31$143,010
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$677,220
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$3,195,294
Value of net assets at end of year (total assets less liabilities)2017-12-31$17,234,339
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$14,039,045
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
Value of interest in pooled separate accounts at end of year2017-12-31$16,589,528
Value of interest in pooled separate accounts at beginning of year2017-12-31$13,110,214
Interest on participant loans2017-12-31$6,455
Interest earned on other investments2017-12-31$8,348
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$414,052
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$706,460
Net investment gain/loss from pooled separate accounts2017-12-31$2,408,448
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
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
Assets. Invements in employer securities at end of year2017-12-31$38,524
Assets. Invements in employer securities at beginning of year2017-12-31$24,685
Contributions received in cash from employer2017-12-31$585,269
Employer contributions (assets) at end of year2017-12-31$76,382
Employer contributions (assets) at beginning of year2017-12-31$54,676
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,858,083
Contract administrator fees2017-12-31$3,645
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31GRANT THORNTON LLP
Accountancy firm EIN2017-12-31363055558
2016 : COGENTIX MEDICAL, INC. 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$8,741
Total unrealized appreciation/depreciation of assets2016-12-31$8,741
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$3,486,172
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$953,995
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$949,026
Value of total corrective distributions2016-12-31$791
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,515,128
Value of total assets at end of year2016-12-31$14,039,045
Value of total assets at beginning of year2016-12-31$11,506,868
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$4,178
Total interest from all sources2016-12-31$11,864
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,316,515
Participant contributions at end of year2016-12-31$143,010
Participant contributions at beginning of year2016-12-31$143,561
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$763,137
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$2,532,177
Value of net assets at end of year (total assets less liabilities)2016-12-31$14,039,045
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$11,506,868
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in pooled separate accounts at end of year2016-12-31$13,110,214
Value of interest in pooled separate accounts at beginning of year2016-12-31$10,963,473
Interest on participant loans2016-12-31$6,058
Interest earned on other investments2016-12-31$5,806
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$706,460
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$289,650
Net investment gain/loss from pooled separate accounts2016-12-31$950,439
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Assets. Invements in employer securities at end of year2016-12-31$24,685
Assets. Invements in employer securities at beginning of year2016-12-31$15,944
Contributions received in cash from employer2016-12-31$435,476
Employer contributions (assets) at end of year2016-12-31$54,676
Employer contributions (assets) at beginning of year2016-12-31$94,240
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$949,026
Contract administrator fees2016-12-31$4,178
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31GRANT THORNTON LLP
Accountancy firm EIN2016-12-31363055558
2015 : COGENTIX MEDICAL, INC. 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-18,769
Total unrealized appreciation/depreciation of assets2015-12-31$-18,769
Total transfer of assets to this plan2015-12-31$5,297,603
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$1,897,453
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$2,778,104
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,773,248
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,968,732
Value of total assets at end of year2015-12-31$11,506,868
Value of total assets at beginning of year2015-12-31$7,089,916
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$4,856
Total interest from all sources2015-12-31$106,491
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,129,844
Participant contributions at end of year2015-12-31$143,561
Participant contributions at beginning of year2015-12-31$85,483
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$392,391
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-880,651
Value of net assets at end of year (total assets less liabilities)2015-12-31$11,506,868
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$7,089,916
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
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$6,861,256
Value of interest in pooled separate accounts at end of year2015-12-31$10,963,473
Interest on participant loans2015-12-31$5,115
Interest earned on other investments2015-12-31$101,376
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$80,193
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$80,193
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$289,650
Net investment gain/loss from pooled separate accounts2015-12-31$-159,001
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
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
Assets. Invements in employer securities at end of year2015-12-31$15,944
Assets. Invements in employer securities at beginning of year2015-12-31$62,984
Contributions received in cash from employer2015-12-31$446,497
Employer contributions (assets) at end of year2015-12-31$94,240
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,773,248
Contract administrator fees2015-12-31$4,856
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31Yes
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31GRANT THORNTON LLP
Accountancy firm EIN2015-12-31363055558
2012 : COGENTIX MEDICAL, INC. 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-03-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-03-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-03-31$11,840
Total income from all sources (including contributions)2012-03-31$539,825
Total loss/gain on sale of assets2012-03-31$0
Total of all expenses incurred2012-03-31$322,670
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-03-31$292,767
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-03-31$367,671
Value of total assets at end of year2012-03-31$4,335,500
Value of total assets at beginning of year2012-03-31$4,130,185
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-03-31$29,903
Total interest from all sources2012-03-31$3,432
Total dividends received (eg from common stock, registered investment company shares)2012-03-31$114,001
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-03-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-03-31$114,001
Administrative expenses professional fees incurred2012-03-31$2,094
Was this plan covered by a fidelity bond2012-03-31Yes
Value of fidelity bond cover2012-03-31$500,000
If this is an individual account plan, was there a blackout period2012-03-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-03-31$0
Were there any nonexempt tranactions with any party-in-interest2012-03-31No
Contributions received from participants2012-03-31$360,590
Participant contributions at end of year2012-03-31$68,151
Participant contributions at beginning of year2012-03-31$95,800
Participant contributions at end of year2012-03-31$13,052
Participant contributions at beginning of year2012-03-31$297
Income. Received or receivable in cash from other sources (including rollovers)2012-03-31$7,081
Total non interest bearing cash at end of year2012-03-31$3,805
Total non interest bearing cash at beginning of year2012-03-31$12,607
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-03-31No
Value of net income/loss2012-03-31$217,155
Value of net assets at end of year (total assets less liabilities)2012-03-31$4,335,500
Value of net assets at beginning of year (total assets less liabilities)2012-03-31$4,118,345
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-03-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-03-31No
Were any leases to which the plan was party in default or uncollectible2012-03-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-03-31$3,889,684
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-03-31$3,690,631
Interest on participant loans2012-03-31$3,432
Value of interest in common/collective trusts at end of year2012-03-31$0
Value of interest in common/collective trusts at beginning of year2012-03-31$330,850
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-03-31$360,808
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-03-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-03-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-03-31$42,266
Net investment gain or loss from common/collective trusts2012-03-31$12,455
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-03-31No
Was there a failure to transmit to the plan any participant contributions2012-03-31No
Has the plan failed to provide any benefit when due under the plan2012-03-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-03-31$292,767
Contract administrator fees2012-03-31$27,809
Liabilities. Value of benefit claims payable at end of year2012-03-31$0
Liabilities. Value of benefit claims payable at beginning of year2012-03-31$11,840
Did the plan have assets held for investment2012-03-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-03-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-03-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-03-31Yes
Opinion of an independent qualified public accountant for this plan2012-03-31Disclaimer
Accountancy firm name2012-03-31EISNERAMPER LLP
Accountancy firm EIN2012-03-31131639826
2011 : COGENTIX MEDICAL, INC. 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-03-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-03-31$11,840
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-03-31$0
Total income from all sources (including contributions)2011-03-31$906,986
Total loss/gain on sale of assets2011-03-31$0
Total of all expenses incurred2011-03-31$174,054
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-03-31$128,013
Expenses. Certain deemed distributions of participant loans2011-03-31$8,680
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-03-31$443,839
Value of total assets at end of year2011-03-31$4,130,185
Value of total assets at beginning of year2011-03-31$3,385,413
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-03-31$37,361
Total interest from all sources2011-03-31$2,680
Total dividends received (eg from common stock, registered investment company shares)2011-03-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-03-31No
Was this plan covered by a fidelity bond2011-03-31Yes
Value of fidelity bond cover2011-03-31$500,000
If this is an individual account plan, was there a blackout period2011-03-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-03-31$0
Were there any nonexempt tranactions with any party-in-interest2011-03-31No
Contributions received from participants2011-03-31$368,586
Participant contributions at end of year2011-03-31$95,800
Participant contributions at beginning of year2011-03-31$66,061
Participant contributions at end of year2011-03-31$297
Income. Received or receivable in cash from other sources (including rollovers)2011-03-31$75,253
Total non interest bearing cash at end of year2011-03-31$12,607
Total non interest bearing cash at beginning of year2011-03-31$425
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-03-31No
Value of net income/loss2011-03-31$732,932
Value of net assets at end of year (total assets less liabilities)2011-03-31$4,118,345
Value of net assets at beginning of year (total assets less liabilities)2011-03-31$3,385,413
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-03-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-03-31No
Were any leases to which the plan was party in default or uncollectible2011-03-31No
Investment advisory and management fees2011-03-31$37,361
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-03-31$3,690,631
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-03-31$3,013,110
Interest on participant loans2011-03-31$2,680
Value of interest in common/collective trusts at end of year2011-03-31$330,850
Value of interest in common/collective trusts at beginning of year2011-03-31$305,817
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-03-31$453,990
Net investment gain or loss from common/collective trusts2011-03-31$6,477
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-03-31No
Was there a failure to transmit to the plan any participant contributions2011-03-31Yes
Has the plan failed to provide any benefit when due under the plan2011-03-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-03-31$128,013
Liabilities. Value of benefit claims payable at end of year2011-03-31$11,840
Did the plan have assets held for investment2011-03-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-03-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-03-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-03-31Yes
Opinion of an independent qualified public accountant for this plan2011-03-31Disclaimer
Accountancy firm name2011-03-31EISNERAMPER LLP
Accountancy firm EIN2011-03-31131639826
2010 : COGENTIX MEDICAL, INC. 401(K) PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-03-31$0

Form 5500 Responses for COGENTIX MEDICAL, INC. 401(K) PLAN

2018: COGENTIX MEDICAL, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingYes
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: COGENTIX MEDICAL, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle 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 planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: COGENTIX MEDICAL, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: COGENTIX MEDICAL, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle 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 planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2011: COGENTIX MEDICAL, INC. 401(K) PLAN 2011 form 5500 responses
2011-04-01Type of plan entitySingle employer plan
2011-04-01Submission has been amendedYes
2011-04-01This submission is the final filingNo
2011-04-01This return/report is a short plan year return/report (less than 12 months)No
2011-04-01Plan is a collectively bargained planNo
2011-04-01Plan funding arrangement – TrustYes
2011-04-01Plan benefit arrangement - TrustYes
2010: COGENTIX MEDICAL, INC. 401(K) PLAN 2010 form 5500 responses
2010-04-01Type of plan entitySingle employer plan
2010-04-01Submission has been amendedNo
2010-04-01This submission is the final filingNo
2010-04-01This return/report is a short plan year return/report (less than 12 months)No
2010-04-01Plan is a collectively bargained planNo
2010-04-01Plan funding arrangement – TrustYes
2010-04-01Plan benefit arrangement - TrustYes
2009: COGENTIX MEDICAL, INC. 401(K) PLAN 2009 form 5500 responses
2009-04-01Type of plan entitySingle employer plan
2009-04-01Submission has been amendedNo
2009-04-01This submission is the final filingNo
2009-04-01This return/report is a short plan year return/report (less than 12 months)No
2009-04-01Plan is a collectively bargained planNo
2009-04-01Plan funding arrangement – InsuranceYes
2009-04-01Plan funding arrangement – TrustYes
2009-04-01Plan benefit arrangement – InsuranceYes
2009-04-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number068710
Policy instance 1
Insurance contract or identification number068710
Number of Individuals Covered244
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $31,631
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $31,631
Insurance broker organization code?3
MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number068710
Policy instance 1
Insurance contract or identification number068710
Number of Individuals Covered254
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $30,329
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $30,329
Insurance broker organization code?3
Insurance broker nameROYAL ALLIANCE
MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number068710
Policy instance 1
Insurance contract or identification number068710
Number of Individuals Covered243
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $13,760
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $13,760
Insurance broker organization code?3
Insurance broker nameROYAL ALLIANCE

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