401k Plan data: O'CONNOR INVESTMENTS, INC. 401(K) PLAN plan

O'CONNOR INVESTMENTS, INC. 401(K) PLAN 401k Plan overview

Plan Name	O'CONNOR INVESTMENTS, INC. 401(K) PLAN
Plan identification number	002

O'CONNOR INVESTMENTS, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Offset plan - Plan benefits are subject to offset for retirement benefits provided in another plan or arrangement of the employer.
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.
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.

401k Sponsoring company profile

O'CONNOR INVESTMENTS, INC. has sponsored the creation of one or more 401k plans.

Company Name: O'CONNOR INVESTMENTS, INC.

Employer identification number (EIN): 161466915

NAIC Classification: 523900

Additional information about O'CONNOR INVESTMENTS, INC.

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1994-09-19

Company Identification Number: 1852881

Legal Registered Office Address: 33 RIVERSIDE DR
Broome
BINGHAMTON
United States of America (USA)
139054612

More information about O'CONNOR INVESTMENTS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan O'CONNOR INVESTMENTS, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 LEO O'CONNOR 2017-11-15
002 2016-01-01 LEO O'CONNOR
002 2015-01-01 LEO O'CONNOR
002 2014-01-01 LEO O'CONNOR
002 2013-01-01 LEO O'CONNOR
002 2012-01-01 LEO O'CONNOR
002 2011-01-01 LEO O'CONNOR
002 2009-01-01 LEO O'CONNOR

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2017-01-01	LEO O'CONNOR	2017-11-15
002	2016-01-01	LEO O'CONNOR
002	2015-01-01	LEO O'CONNOR
002	2014-01-01	LEO O'CONNOR
002	2013-01-01	LEO O'CONNOR
002	2012-01-01	LEO O'CONNOR
002	2011-01-01	LEO O'CONNOR
002	2009-01-01	LEO O'CONNOR

Plan Statistics for O'CONNOR INVESTMENTS, INC. 401(K) PLAN

401k plan membership statisitcs for O'CONNOR INVESTMENTS, INC. 401(K) PLAN

Measure Date Value
2016: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 6
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 1
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 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 1
Number of participants with account balances 2016-01-01 1
2015: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 5
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 1
Total of all active and inactive participants 2015-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 6
Number of participants with account balances 2015-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 5
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 5
Number of participants with account balances 2014-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 5
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 1
Total of all active and inactive participants 2013-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 6
Number of participants with account balances 2013-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 7
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 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 7
Number of participants with account balances 2012-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 7
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 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 7
Number of participants with account balances 2011-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 8
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 9
Number of participants with account balances 2009-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2016: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	6
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	1
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	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	1
Number of participants with account balances	2016-01-01	1
2015: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	5
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	1
Total of all active and inactive participants	2015-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	6
Number of participants with account balances	2015-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	5
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	5
Number of participants with account balances	2014-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5
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	1
Total of all active and inactive participants	2013-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	6
Number of participants with account balances	2013-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	7
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	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	7
Number of participants with account balances	2012-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	7
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	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	7
Number of participants with account balances	2011-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	8
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	9
Number of participants with account balances	2009-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on O'CONNOR INVESTMENTS, INC. 401(K) PLAN

Measure	Date	Value
2016 : O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$178,032
Expenses. Total of all expenses incurred	2016-12-31	$852,948
Benefits paid (including direct rollovers)	2016-12-31	$851,808
Total plan assets at end of year	2016-12-31	$3,959
Total plan assets at beginning of year	2016-12-31	$678,875
Value of fidelity bond covering the plan	2016-12-31	$110,000
Total contributions received or receivable from participants	2016-12-31	$67,648
Other income received	2016-12-31	$46,048
Net income (gross income less expenses)	2016-12-31	$-674,916
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$3,959
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$678,875
Assets. Value of participant loans	2016-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$0
Total contributions received or receivable from employer(s)	2016-12-31	$64,336
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$1,140
2015 : O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$72,297
Expenses. Total of all expenses incurred	2015-12-31	$593
Benefits paid (including direct rollovers)	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$678,875
Total plan assets at beginning of year	2015-12-31	$607,171
Value of fidelity bond covering the plan	2015-12-31	$110,000
Total contributions received or receivable from participants	2015-12-31	$56,565
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$2,462
Net income (gross income less expenses)	2015-12-31	$71,704
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$678,875
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$607,171
Assets. Value of participant loans	2015-12-31	$51,354
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$58,018
Total contributions received or receivable from employer(s)	2015-12-31	$13,270
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$593
2014 : O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$88,570
Expenses. Total of all expenses incurred	2014-12-31	$22,822
Benefits paid (including direct rollovers)	2014-12-31	$22,732
Total plan assets at end of year	2014-12-31	$607,171
Total plan assets at beginning of year	2014-12-31	$541,423
Value of fidelity bond covering the plan	2014-12-31	$100,000
Total contributions received or receivable from participants	2014-12-31	$47,549
Other income received	2014-12-31	$25,084
Net income (gross income less expenses)	2014-12-31	$65,748
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$607,171
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$541,423
Assets. Value of participant loans	2014-12-31	$27,650
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$57,735
Total contributions received or receivable from employer(s)	2014-12-31	$15,937
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$90
2013 : O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$137,744
Expenses. Total of all expenses incurred	2013-12-31	$30,914
Benefits paid (including direct rollovers)	2013-12-31	$30,914
Total plan assets at end of year	2013-12-31	$541,423
Total plan assets at beginning of year	2013-12-31	$434,593
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$44,301
Other income received	2013-12-31	$78,556
Net income (gross income less expenses)	2013-12-31	$106,830
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$541,423
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$434,593
Assets. Value of participant loans	2013-12-31	$34,060
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$53,095
Total contributions received or receivable from employer(s)	2013-12-31	$14,887
2012 : O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$84,891
Total plan assets at end of year	2012-12-31	$434,593
Total plan assets at beginning of year	2012-12-31	$349,702
Value of fidelity bond covering the plan	2012-12-31	$90,000
Total contributions received or receivable from participants	2012-12-31	$33,741
Other income received	2012-12-31	$41,368
Net income (gross income less expenses)	2012-12-31	$84,891
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$434,593
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$349,702
Assets. Value of participant loans	2012-12-31	$22,859
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$56,625
Total contributions received or receivable from employer(s)	2012-12-31	$9,782
2011 : O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$18,442
Expenses. Total of all expenses incurred	2011-12-31	$21,524
Benefits paid (including direct rollovers)	2011-12-31	$21,439
Total plan assets at end of year	2011-12-31	$349,702
Total plan assets at beginning of year	2011-12-31	$352,784
Value of fidelity bond covering the plan	2011-12-31	$90,000
Total contributions received or receivable from participants	2011-12-31	$24,915
Expenses. Other expenses not covered elsewhere	2011-12-31	$85
Other income received	2011-12-31	$-14,943
Net income (gross income less expenses)	2011-12-31	$-3,082
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$349,702
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$352,784
Assets. Value of participant loans	2011-12-31	$30,407
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$56,245
Total contributions received or receivable from employer(s)	2011-12-31	$8,470
2010 : O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$738
Expenses. Total of all expenses incurred	2010-12-31	$14,897
Benefits paid (including direct rollovers)	2010-12-31	$14,612
Total plan assets at end of year	2010-12-31	$352,784
Total plan assets at beginning of year	2010-12-31	$366,943
Value of fidelity bond covering the plan	2010-12-31	$90,000
Total contributions received or receivable from participants	2010-12-31	$20,535
Expenses. Other expenses not covered elsewhere	2010-12-31	$285
Contributions received from other sources (not participants or employers)	2010-12-31	$28,690
Other income received	2010-12-31	$-55,980
Net income (gross income less expenses)	2010-12-31	$-14,159
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$352,784
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$366,943
Assets. Value of participant loans	2010-12-31	$41,796
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$53,245
Total contributions received or receivable from employer(s)	2010-12-31	$7,493

Form 5500 Responses for O'CONNOR INVESTMENTS, INC. 401(K) PLAN

2016: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: O'CONNOR INVESTMENTS, INC. 401(K) PLAN 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:	O'CONNOR INVESTMENTS, INC.
Employer identification number (EIN):	161466915
NAIC Classification:	523900

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1994-09-19
Company Identification Number:	1852881
Legal Registered Office Address:	33 RIVERSIDE DR Broome BINGHAMTON United States of America (USA) 139054612