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STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 401k Plan overview

Plan NameSTEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN
Plan identification number 001

STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • Profit-sharing
  • 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 covering Self-Employed individuals.
  • 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

STEPHEN M HAWLEY AND ASSOCIATES LLC has sponsored the creation of one or more 401k plans.

Company Name:STEPHEN M HAWLEY AND ASSOCIATES LLC
Employer identification number (EIN):161587913
NAIC Classification:524210
NAIC Description:Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01
0012013-01-01
0012012-01-01PATRICIA MORTHORST
0012011-01-01PATRICIA MORTHORST
0012009-01-01PATRICIA MORTHORST

Financial Data on STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN

Measure Date Value
2016 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources2016-12-31$194,640
Expenses. Total of all expenses incurred2016-12-31$69,427
Benefits paid (including direct rollovers)2016-12-31$69,427
Total plan assets at end of year2016-12-31$1,202,920
Total plan assets at beginning of year2016-12-31$1,077,707
Value of fidelity bond covering the plan2016-12-31$110,000
Total contributions received or receivable from participants2016-12-31$27,729
Other income received2016-12-31$116,653
Net income (gross income less expenses)2016-12-31$125,213
Net plan assets at end of year (total assets less liabilities)2016-12-31$1,202,920
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$1,077,707
Total contributions received or receivable from employer(s)2016-12-31$50,258
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
2015 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources2015-12-31$23,740
Expenses. Total of all expenses incurred2015-12-31$3,777
Benefits paid (including direct rollovers)2015-12-31$3,777
Total plan assets at end of year2015-12-31$1,077,707
Total plan assets at beginning of year2015-12-31$1,057,744
Value of fidelity bond covering the plan2015-12-31$110,000
Total contributions received or receivable from participants2015-12-31$30,782
Other income received2015-12-31$-56,879
Net income (gross income less expenses)2015-12-31$19,963
Net plan assets at end of year (total assets less liabilities)2015-12-31$1,077,707
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$1,057,744
Total contributions received or receivable from employer(s)2015-12-31$49,837
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
2014 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources2014-12-31$132,331
Expenses. Total of all expenses incurred2014-12-31$0
Total plan assets at end of year2014-12-31$1,057,744
Total plan assets at beginning of year2014-12-31$925,413
Value of fidelity bond covering the plan2014-12-31$110,000
Total contributions received or receivable from participants2014-12-31$29,532
Other income received2014-12-31$55,839
Net income (gross income less expenses)2014-12-31$132,331
Net plan assets at end of year (total assets less liabilities)2014-12-31$1,057,744
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$925,413
Total contributions received or receivable from employer(s)2014-12-31$46,960
2013 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources2013-12-31$174,584
Expenses. Total of all expenses incurred2013-12-31$87,835
Benefits paid (including direct rollovers)2013-12-31$87,835
Total plan assets at end of year2013-12-31$925,413
Total plan assets at beginning of year2013-12-31$838,664
Value of fidelity bond covering the plan2013-12-31$110,000
Total contributions received or receivable from participants2013-12-31$23,000
Other income received2013-12-31$109,151
Net income (gross income less expenses)2013-12-31$86,749
Net plan assets at end of year (total assets less liabilities)2013-12-31$925,413
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$838,664
Total contributions received or receivable from employer(s)2013-12-31$42,433
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources2012-12-31$186,380
Expenses. Total of all expenses incurred2012-12-31$370,001
Benefits paid (including direct rollovers)2012-12-31$370,001
Total plan assets at end of year2012-12-31$838,664
Total plan assets at beginning of year2012-12-31$1,022,285
Value of fidelity bond covering the plan2012-12-31$110,000
Total contributions received or receivable from participants2012-12-31$24,042
Other income received2012-12-31$125,622
Net income (gross income less expenses)2012-12-31$-183,621
Net plan assets at end of year (total assets less liabilities)2012-12-31$838,664
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$1,022,285
Total contributions received or receivable from employer(s)2012-12-31$36,716
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources2011-12-31$61,593
Expenses. Total of all expenses incurred2011-12-31$0
Total plan assets at end of year2011-12-31$1,022,285
Total plan assets at beginning of year2011-12-31$960,692
Value of fidelity bond covering the plan2011-12-31$110,000
Total contributions received or receivable from participants2011-12-31$39,058
Other income received2011-12-31$-20,505
Net income (gross income less expenses)2011-12-31$61,593
Net plan assets at end of year (total assets less liabilities)2011-12-31$1,022,285
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$960,692
Total contributions received or receivable from employer(s)2011-12-31$43,040
2010 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at beginning of year2010-12-31$0
Total income from all sources2010-12-31$213,179
Expenses. Total of all expenses incurred2010-12-31$0
Total plan assets at end of year2010-12-31$960,692
Total plan assets at beginning of year2010-12-31$747,513
Value of fidelity bond covering the plan2010-12-31$110,000
Total contributions received or receivable from participants2010-12-31$48,511
Other income received2010-12-31$108,615
Net income (gross income less expenses)2010-12-31$213,179
Net plan assets at end of year (total assets less liabilities)2010-12-31$960,692
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$747,513
Total contributions received or receivable from employer(s)2010-12-31$56,053
2009 : STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN

2016: STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING 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: STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING 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
2014: STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: STEPHEN M HAWLEY AND ASSOCIATES LLC PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )
Policy contract number80963
Policy instance 1
JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )
Policy contract number80963
Policy instance 1
JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )
Policy contract number80963
Policy instance 1
JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )
Policy contract number80963
Policy instance 1
JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )
Policy contract number80963
Policy instance 1
JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )
Policy contract number80963
Policy instance 1

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