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THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 401k Plan overview

Plan NameTHE ETHAN ALLEN RETIREMENT SAVINGS PLAN
Plan identification number 003

THE ETHAN ALLEN RETIREMENT SAVINGS 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • 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.

401k Sponsoring company profile

ETHAN ALLEN GLOBAL, INC. has sponsored the creation of one or more 401k plans.

Company Name:ETHAN ALLEN GLOBAL, INC.
Employer identification number (EIN):202991357
NAIC Classification:337000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ETHAN ALLEN RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032023-01-01BOB KALINA2024-07-09
0032022-01-01ROBERT KALINA2023-06-28
0032021-01-01MATT MCNULTY2022-07-07 MATT MCNULTY2022-07-07
0032020-01-01BOB KALINA2021-07-06 BOB KALINA2021-07-06
0032019-01-01BOB KALINA2020-06-25 BOB KALINA2020-06-25
0032018-01-01
0032017-01-01
0032016-01-01
0032015-01-01
0032014-01-01
0032013-01-01
0032011-01-01LEE HERTER LEE HERTER2012-09-12
0032009-01-01COREY WHITELY COREY WHITELY2010-09-13

Plan Statistics for THE ETHAN ALLEN RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for THE ETHAN ALLEN RETIREMENT SAVINGS PLAN

Measure Date Value
2023: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-013,743
Total number of active participants reported on line 7a of the Form 55002023-01-011,998
Number of retired or separated participants receiving benefits2023-01-01157
Number of other retired or separated participants entitled to future benefits2023-01-011,324
Total of all active and inactive participants2023-01-013,479
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-0126
Total participants2023-01-013,505
Number of participants with account balances2023-01-013,457
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-0145
2022: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-013,880
Total number of active participants reported on line 7a of the Form 55002022-01-012,137
Number of retired or separated participants receiving benefits2022-01-01150
Number of other retired or separated participants entitled to future benefits2022-01-011,433
Total of all active and inactive participants2022-01-013,720
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0123
Total participants2022-01-013,743
Number of participants with account balances2022-01-013,640
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0127
2021: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-013,807
Total number of active participants reported on line 7a of the Form 55002021-01-012,241
Number of retired or separated participants receiving benefits2021-01-01137
Number of other retired or separated participants entitled to future benefits2021-01-011,486
Total of all active and inactive participants2021-01-013,864
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0116
Total participants2021-01-013,880
Number of participants with account balances2021-01-013,788
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-014,876
Total number of active participants reported on line 7a of the Form 55002020-01-012,036
Number of retired or separated participants receiving benefits2020-01-012
Number of other retired or separated participants entitled to future benefits2020-01-011,690
Total of all active and inactive participants2020-01-013,728
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-017
Total participants2020-01-013,735
Number of participants with account balances2020-01-013,695
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-015,488
Total number of active participants reported on line 7a of the Form 55002019-01-012,813
Number of retired or separated participants receiving benefits2019-01-01134
Number of other retired or separated participants entitled to future benefits2019-01-011,918
Total of all active and inactive participants2019-01-014,865
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-0111
Total participants2019-01-014,876
Number of participants with account balances2019-01-014,833
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-015,409
Total number of active participants reported on line 7a of the Form 55002018-01-013,446
Number of retired or separated participants receiving benefits2018-01-01107
Number of other retired or separated participants entitled to future benefits2018-01-011,799
Total of all active and inactive participants2018-01-015,352
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-018
Total participants2018-01-015,360
Number of participants with account balances2018-01-015,113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-015,364
Total number of active participants reported on line 7a of the Form 55002017-01-013,395
Number of retired or separated participants receiving benefits2017-01-01122
Number of other retired or separated participants entitled to future benefits2017-01-011,766
Total of all active and inactive participants2017-01-015,283
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0114
Total participants2017-01-015,297
Number of participants with account balances2017-01-015,153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-015,373
Total number of active participants reported on line 7a of the Form 55002016-01-013,451
Number of retired or separated participants receiving benefits2016-01-01111
Number of other retired or separated participants entitled to future benefits2016-01-011,652
Total of all active and inactive participants2016-01-015,214
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-0111
Total participants2016-01-015,225
Number of participants with account balances2016-01-015,168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-015,423
Total number of active participants reported on line 7a of the Form 55002015-01-013,489
Number of retired or separated participants receiving benefits2015-01-01414
Number of other retired or separated participants entitled to future benefits2015-01-011,347
Total of all active and inactive participants2015-01-015,250
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0126
Total participants2015-01-015,276
Number of participants with account balances2015-01-015,217
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-015,429
Total number of active participants reported on line 7a of the Form 55002014-01-013,468
Number of retired or separated participants receiving benefits2014-01-01410
Number of other retired or separated participants entitled to future benefits2014-01-011,340
Total of all active and inactive participants2014-01-015,218
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-0123
Total participants2014-01-015,241
Number of participants with account balances2014-01-015,181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-015,678
Total number of active participants reported on line 7a of the Form 55002013-01-013,498
Number of retired or separated participants receiving benefits2013-01-01424
Number of other retired or separated participants entitled to future benefits2013-01-011,332
Total of all active and inactive participants2013-01-015,254
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-0120
Total participants2013-01-015,274
Number of participants with account balances2013-01-014,997
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2011: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-016,398
Total number of active participants reported on line 7a of the Form 55002011-01-013,944
Number of retired or separated participants receiving benefits2011-01-01431
Number of other retired or separated participants entitled to future benefits2011-01-011,378
Total of all active and inactive participants2011-01-015,753
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0129
Total participants2011-01-015,782
Number of participants with account balances2011-01-015,398
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0110,137
Total number of active participants reported on line 7a of the Form 55002009-01-015,393
Number of retired or separated participants receiving benefits2009-01-01430
Number of other retired or separated participants entitled to future benefits2009-01-011,797
Total of all active and inactive participants2009-01-017,620
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-0124
Total participants2009-01-017,644
Number of participants with account balances2009-01-015,827
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0179

Financial Data on THE ETHAN ALLEN RETIREMENT SAVINGS PLAN

Measure Date Value
2023 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2023 401k financial data
Unrealized appreciation/depreciation of real estate assets2023-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2023-12-31$1,380,888
Total unrealized appreciation/depreciation of assets2023-12-31$1,380,888
Total transfer of assets to this plan2023-12-31$0
Total transfer of assets from this plan2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Expenses. Interest paid2023-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022023-12-31$0
Total income from all sources (including contributions)2023-12-31$47,674,301
Total loss/gain on sale of assets2023-12-31$33,991
Total of all expenses incurred2023-12-31$23,748,185
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$23,337,854
Expenses. Certain deemed distributions of participant loans2023-12-31$-44,296
Value of total corrective distributions2023-12-31$85,712
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$12,046,152
Value of total assets at end of year2023-12-31$219,259,598
Value of total assets at beginning of year2023-12-31$195,333,482
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$368,915
Total income from rents2023-12-31$0
Total interest from all sources2023-12-31$793,219
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$9,371,984
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$9,041,190
Assets. Real estate other than employer real property at end of year2023-12-31$0
Assets. Real estate other than employer real property at beginning of year2023-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2023-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2023-12-31$0
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$1,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$9,049,968
Participant contributions at end of year2023-12-31$2,463,826
Participant contributions at beginning of year2023-12-31$2,429,838
Participant contributions at end of year2023-12-31$697
Participant contributions at beginning of year2023-12-31$616
Assets. Other investments not covered elsewhere at end of year2023-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2023-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$669,217
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2023-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2023-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2023-12-31$0
Assets. Loans (other than to participants) at end of year2023-12-31$0
Assets. Loans (other than to participants) at beginning of year2023-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2023-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2023-12-31$0
Other income not declared elsewhere2023-12-31$0
Administrative expenses (other) incurred2023-12-31$71,030
Liabilities. Value of operating payables at end of year2023-12-31$0
Liabilities. Value of operating payables at beginning of year2023-12-31$0
Total non interest bearing cash at end of year2023-12-31$0
Total non interest bearing cash at beginning of year2023-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Income. Non cash contributions2023-12-31$0
Value of net income/loss2023-12-31$23,926,116
Value of net assets at end of year (total assets less liabilities)2023-12-31$219,259,598
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$195,333,482
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Assets. partnership/joint venture interests at end of year2023-12-31$0
Assets. partnership/joint venture interests at beginning of year2023-12-31$0
Investment advisory and management fees2023-12-31$200,654
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$189,473,821
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$165,331,863
Value of interest in pooled separate accounts at end of year2023-12-31$0
Value of interest in pooled separate accounts at beginning of year2023-12-31$0
Interest on participant loans2023-12-31$170,342
Income. Interest from loans (other than to participants)2023-12-31$0
Interest earned on other investments2023-12-31$622,877
Income. Interest from US Government securities2023-12-31$0
Income. Interest from corporate debt instruments2023-12-31$0
Value of interest in master investment trust accounts at end of year2023-12-31$0
Value of interest in master investment trust accounts at beginning of year2023-12-31$0
Value of interest in common/collective trusts at end of year2023-12-31$18,782,686
Value of interest in common/collective trusts at beginning of year2023-12-31$18,600,293
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2023-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2023-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2023-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2023-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2023-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2023-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2023-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2023-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2023-12-31$0
Asset value of US Government securities at end of year2023-12-31$0
Asset value of US Government securities at beginning of year2023-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$24,048,067
Net investment gain/loss from pooled separate accounts2023-12-31$0
Net investment gain or loss from common/collective trusts2023-12-31$0
Net gain/loss from 103.12 investment entities2023-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Assets. Invements in employer securities at end of year2023-12-31$4,506,597
Assets. Invements in employer securities at beginning of year2023-12-31$4,066,030
Assets. Value of employer real property at end of year2023-12-31$0
Assets. Value of employer real property at beginning of year2023-12-31$0
Contributions received in cash from employer2023-12-31$2,326,967
Employer contributions (assets) at end of year2023-12-31$2,326,967
Employer contributions (assets) at beginning of year2023-12-31$2,701,987
Income. Dividends from common stock2023-12-31$330,794
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$23,337,854
Asset. Corporate debt instrument preferred debt at end of year2023-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2023-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2023-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2023-12-31$0
Contract administrator fees2023-12-31$0
Assets. Corporate common stocks other than exployer securities at end of year2023-12-31$1,705,004
Assets. Corporate common stocks other than exployer securities at beginning of year2023-12-31$2,202,855
Liabilities. Value of benefit claims payable at end of year2023-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2023-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2023-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2023-12-31$0
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Aggregate proceeds on sale of assets2023-12-31$728,054
Aggregate carrying amount (costs) on sale of assets2023-12-31$694,063
Liabilities. Value of acquisition indebtedness at end of year2023-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2023-12-31$0
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31COHN REZNICK LLP
Accountancy firm EIN2023-12-31221478099
2022 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2022-12-31$-760
Total unrealized appreciation/depreciation of assets2022-12-31$-760
Total transfer of assets from this plan2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-27,772,407
Total loss/gain on sale of assets2022-12-31$1,901
Total of all expenses incurred2022-12-31$22,303,126
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$21,221,561
Expenses. Certain deemed distributions of participant loans2022-12-31$796,751
Value of total corrective distributions2022-12-31$2,722
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$13,076,904
Value of total assets at end of year2022-12-31$195,333,482
Value of total assets at beginning of year2022-12-31$245,409,015
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$282,092
Total interest from all sources2022-12-31$571,434
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$10,416,938
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$10,136,658
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$1,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$9,944,673
Participant contributions at end of year2022-12-31$2,429,838
Participant contributions at beginning of year2022-12-31$3,160,182
Participant contributions at end of year2022-12-31$616
Participant contributions at beginning of year2022-12-31$0
Assets. Other investments not covered elsewhere at end of year2022-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$430,244
Other income not declared elsewhere2022-12-31$-1,036,377
Administrative expenses (other) incurred2022-12-31$47,750
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-50,075,533
Value of net assets at end of year (total assets less liabilities)2022-12-31$195,333,482
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$245,409,015
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$201,728
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$165,331,863
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$213,268,898
Interest on participant loans2022-12-31$142,544
Interest earned on other investments2022-12-31$428,890
Value of interest in common/collective trusts at end of year2022-12-31$18,600,293
Value of interest in common/collective trusts at beginning of year2022-12-31$3,348,978
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$15,733,921
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-50,802,447
Net investment gain or loss from common/collective trusts2022-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Assets. Invements in employer securities at end of year2022-12-31$4,066,030
Assets. Invements in employer securities at beginning of year2022-12-31$4,404,920
Contributions received in cash from employer2022-12-31$2,701,987
Employer contributions (assets) at end of year2022-12-31$2,701,987
Employer contributions (assets) at beginning of year2022-12-31$2,643,747
Income. Dividends from common stock2022-12-31$280,280
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$21,221,561
Contract administrator fees2022-12-31$32,614
Assets. Corporate common stocks other than exployer securities at end of year2022-12-31$2,202,855
Assets. Corporate common stocks other than exployer securities at beginning of year2022-12-31$2,848,369
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Aggregate proceeds on sale of assets2022-12-31$688,230
Aggregate carrying amount (costs) on sale of assets2022-12-31$686,329
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31COHN REZNICK LLP
Accountancy firm EIN2022-12-31221478099
2021 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2021-12-31$16,281,270
Total unrealized appreciation/depreciation of assets2021-12-31$16,281,270
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$47,237,912
Total of all expenses incurred2021-12-31$27,381,115
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$27,139,802
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$13,183,689
Value of total assets at end of year2021-12-31$245,409,015
Value of total assets at beginning of year2021-12-31$225,552,218
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$241,313
Total interest from all sources2021-12-31$173,522
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$17,599,431
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$16,711,166
Administrative expenses professional fees incurred2021-12-31$36,900
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$9,617,153
Participant contributions at end of year2021-12-31$3,160,182
Participant contributions at beginning of year2021-12-31$3,708,760
Participant contributions at end of year2021-12-31$0
Participant contributions at beginning of year2021-12-31$0
Assets. Other investments not covered elsewhere at end of year2021-12-31$3,348,978
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$3,515,482
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$922,789
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$0
Administrative expenses (other) incurred2021-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$19,856,797
Value of net assets at end of year (total assets less liabilities)2021-12-31$245,409,015
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$225,552,218
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$199,649
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$213,268,898
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$192,728,377
Income. Interest from loans (other than to participants)2021-12-31$173,522
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$15,733,921
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$16,270,860
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Assets. Invements in employer securities at end of year2021-12-31$4,404,920
Assets. Invements in employer securities at beginning of year2021-12-31$3,927,912
Contributions received in cash from employer2021-12-31$2,643,747
Employer contributions (assets) at end of year2021-12-31$2,643,747
Employer contributions (assets) at beginning of year2021-12-31$2,713,032
Income. Dividends from common stock2021-12-31$888,265
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$27,139,802
Contract administrator fees2021-12-31$4,764
Assets. Corporate common stocks other than exployer securities at end of year2021-12-31$2,848,369
Assets. Corporate common stocks other than exployer securities at beginning of year2021-12-31$2,687,795
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31COHN REZNICK LLP
Accountancy firm EIN2021-12-31221478099
2020 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets2020-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$24,883,600
Total unrealized appreciation/depreciation of assets2020-12-31$24,883,600
Total transfer of assets from this plan2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$5,375
Total income from all sources (including contributions)2020-12-31$43,432,267
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$39,708,536
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$39,351,438
Expenses. Certain deemed distributions of participant loans2020-12-31$0
Value of total corrective distributions2020-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$10,997,924
Value of total assets at end of year2020-12-31$225,552,218
Value of total assets at beginning of year2020-12-31$221,833,862
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$357,098
Total income from rents2020-12-31$0
Total interest from all sources2020-12-31$175,050
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$7,375,693
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$6,786,691
Administrative expenses professional fees incurred2020-12-31$54,780
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$7,648,405
Participant contributions at end of year2020-12-31$3,708,760
Participant contributions at beginning of year2020-12-31$4,590,947
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$0
Assets. Other investments not covered elsewhere at end of year2020-12-31$19,786,342
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$19,732,146
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$636,487
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$5,375
Other income not declared elsewhere2020-12-31$0
Administrative expenses (other) incurred2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$3,723,731
Value of net assets at end of year (total assets less liabilities)2020-12-31$225,552,218
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$221,828,487
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$190,483
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$192,728,377
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$187,787,163
Interest on participant loans2020-12-31$175,050
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$0
Net investment gain or loss from common/collective trusts2020-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Assets. Invements in employer securities at end of year2020-12-31$3,927,912
Assets. Invements in employer securities at beginning of year2020-12-31$4,438,051
Contributions received in cash from employer2020-12-31$2,713,032
Employer contributions (assets) at end of year2020-12-31$2,713,032
Employer contributions (assets) at beginning of year2020-12-31$3,224,641
Income. Dividends from common stock2020-12-31$589,002
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$39,351,438
Contract administrator fees2020-12-31$111,835
Assets. Corporate common stocks other than exployer securities at end of year2020-12-31$2,687,795
Assets. Corporate common stocks other than exployer securities at beginning of year2020-12-31$2,060,914
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Aggregate proceeds on sale of assets2020-12-31$0
Aggregate carrying amount (costs) on sale of assets2020-12-31$0
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31RSM US LLP
Accountancy firm EIN2020-12-31420714325
2019 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$30,993,738
Total unrealized appreciation/depreciation of assets2019-12-31$30,993,738
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$5,375
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$54,721,181
Total of all expenses incurred2019-12-31$23,236,342
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$22,819,564
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$13,834,236
Value of total assets at end of year2019-12-31$221,833,862
Value of total assets at beginning of year2019-12-31$190,343,648
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$416,778
Total interest from all sources2019-12-31$247,653
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$9,645,554
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$8,703,504
Assets. Real estate other than employer real property at beginning of year2019-12-31$0
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$9,175,050
Participant contributions at end of year2019-12-31$4,590,947
Participant contributions at beginning of year2019-12-31$4,974,162
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$7
Assets. Other investments not covered elsewhere at end of year2019-12-31$19,732,146
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$22,116,505
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,434,545
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$7,322
Assets. Loans (other than to participants) at beginning of year2019-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$5,375
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$31,484,839
Value of net assets at end of year (total assets less liabilities)2019-12-31$221,828,487
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$190,343,648
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$144,540
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$187,787,163
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$153,470,744
Income. Interest from loans (other than to participants)2019-12-31$247,653
Value of interest in common/collective trusts at beginning of year2019-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Assets. Invements in employer securities at end of year2019-12-31$4,438,051
Assets. Invements in employer securities at beginning of year2019-12-31$4,708,642
Contributions received in cash from employer2019-12-31$3,224,641
Employer contributions (assets) at end of year2019-12-31$3,224,641
Employer contributions (assets) at beginning of year2019-12-31$3,346,439
Income. Dividends from common stock2019-12-31$942,050
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$22,819,564
Contract administrator fees2019-12-31$272,238
Assets. Corporate common stocks other than exployer securities at end of year2019-12-31$2,060,914
Assets. Corporate common stocks other than exployer securities at beginning of year2019-12-31$1,719,827
Liabilities. Value of benefit claims payable at beginning of year2019-12-31$0
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31RSM US LLP
Accountancy firm EIN2019-12-31420714325
2018 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-23,188,049
Total unrealized appreciation/depreciation of assets2018-12-31$-23,188,049
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$296,966
Total income from all sources (including contributions)2018-12-31$4,449,530
Total of all expenses incurred2018-12-31$21,402,521
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$21,084,311
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$14,136,367
Value of total assets at end of year2018-12-31$190,343,648
Value of total assets at beginning of year2018-12-31$207,593,605
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$318,210
Total interest from all sources2018-12-31$215,443
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$13,285,769
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$12,911,992
Assets. Real estate other than employer real property at end of year2018-12-31$0
Assets. Real estate other than employer real property at beginning of year2018-12-31$0
Administrative expenses professional fees incurred2018-12-31$0
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$9,305,117
Participant contributions at end of year2018-12-31$4,974,162
Participant contributions at beginning of year2018-12-31$4,376,897
Participant contributions at end of year2018-12-31$7
Participant contributions at beginning of year2018-12-31$472
Assets. Other investments not covered elsewhere at end of year2018-12-31$22,116,505
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$23,021,835
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$1,484,811
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$7,322
Assets. Loans (other than to participants) at end of year2018-12-31$0
Assets. Loans (other than to participants) at beginning of year2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-16,952,991
Value of net assets at end of year (total assets less liabilities)2018-12-31$190,343,648
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$207,296,639
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
Investment advisory and management fees2018-12-31$141,243
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$153,470,744
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$166,086,480
Income. Interest from loans (other than to participants)2018-12-31$215,443
Value of interest in common/collective trusts at end of year2018-12-31$0
Value of interest in common/collective trusts at beginning of year2018-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$0
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$4,708,642
Assets. Invements in employer securities at beginning of year2018-12-31$8,672,299
Contributions received in cash from employer2018-12-31$3,346,439
Employer contributions (assets) at end of year2018-12-31$3,346,439
Employer contributions (assets) at beginning of year2018-12-31$3,362,705
Income. Dividends from preferred stock2018-12-31$0
Income. Dividends from common stock2018-12-31$373,777
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$21,084,311
Contract administrator fees2018-12-31$176,967
Assets. Corporate common stocks other than exployer securities at end of year2018-12-31$1,719,827
Assets. Corporate common stocks other than exployer securities at beginning of year2018-12-31$2,072,917
Liabilities. Value of benefit claims payable at end of year2018-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$296,966
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)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31RSM US LLP
Accountancy firm EIN2018-12-31420714325
2017 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$16,605,818
Total unrealized appreciation/depreciation of assets2017-12-31$16,605,818
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$296,966
Total income from all sources (including contributions)2017-12-31$40,610,878
Total of all expenses incurred2017-12-31$21,565,688
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$21,448,299
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$13,347,077
Value of total assets at end of year2017-12-31$207,593,605
Value of total assets at beginning of year2017-12-31$188,251,449
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$117,389
Total interest from all sources2017-12-31$178,756
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$10,479,227
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Assets. Real estate other than employer real property at end of year2017-12-31$0
Assets. Real estate other than employer real property at beginning of year2017-12-31$0
Administrative expenses professional fees incurred2017-12-31$117,389
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$9,984,372
Participant contributions at end of year2017-12-31$4,376,897
Participant contributions at beginning of year2017-12-31$4,049,308
Participant contributions at end of year2017-12-31$472
Participant contributions at beginning of year2017-12-31$264
Assets. Other investments not covered elsewhere at end of year2017-12-31$23,021,835
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$25,169,472
Assets. Loans (other than to participants) at end of year2017-12-31$0
Assets. Loans (other than to participants) at beginning of year2017-12-31$0
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$19,045,190
Value of net assets at end of year (total assets less liabilities)2017-12-31$207,296,639
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$188,251,449
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 registered invesment companies (eg mutual funds) at end of year2017-12-31$166,086,480
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$140,984,738
Interest on participant loans2017-12-31$178,756
Value of interest in common/collective trusts at end of year2017-12-31$0
Value of interest in common/collective trusts at beginning of year2017-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$0
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$8,672,299
Assets. Invements in employer securities at beginning of year2017-12-31$12,871,883
Contributions received in cash from employer2017-12-31$3,362,705
Employer contributions (assets) at end of year2017-12-31$3,362,705
Employer contributions (assets) at beginning of year2017-12-31$3,350,106
Income. Dividends from preferred stock2017-12-31$10,479,227
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$21,448,299
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$2,072,917
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$1,825,678
Liabilities. Value of benefit claims payable at end of year2017-12-31$296,966
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)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31RSM US LLP
Accountancy firm EIN2017-12-31420714325
2016 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$3,076,264
Total unrealized appreciation/depreciation of assets2016-12-31$3,076,264
Total income from all sources (including contributions)2016-12-31$24,339,430
Total of all expenses incurred2016-12-31$17,209,529
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$17,084,658
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$13,092,300
Value of total assets at end of year2016-12-31$188,251,449
Value of total assets at beginning of year2016-12-31$181,121,548
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$124,871
Total interest from all sources2016-12-31$176,396
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$7,994,470
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Assets. Real estate other than employer real property at end of year2016-12-31$0
Administrative expenses professional fees incurred2016-12-31$124,871
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$9,742,236
Participant contributions at end of year2016-12-31$4,049,308
Participant contributions at beginning of year2016-12-31$4,003,127
Participant contributions at end of year2016-12-31$264
Participant contributions at beginning of year2016-12-31$248,386
Assets. Other investments not covered elsewhere at end of year2016-12-31$25,169,472
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$24,746,126
Assets. Loans (other than to participants) at end of year2016-12-31$0
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$7,129,901
Value of net assets at end of year (total assets less liabilities)2016-12-31$188,251,449
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$181,121,548
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 registered invesment companies (eg mutual funds) at end of year2016-12-31$140,984,738
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$127,086,543
Income. Interest from loans (other than to participants)2016-12-31$176,396
Value of interest in common/collective trusts at end of year2016-12-31$0
Value of interest in common/collective trusts at beginning of year2016-12-31$9,610,912
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$147,875
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$147,875
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$12,871,883
Assets. Invements in employer securities at beginning of year2016-12-31$10,881,570
Contributions received in cash from employer2016-12-31$3,350,064
Employer contributions (assets) at end of year2016-12-31$3,350,106
Employer contributions (assets) at beginning of year2016-12-31$3,262,271
Income. Dividends from preferred stock2016-12-31$7,994,470
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$17,084,658
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$1,825,678
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$1,134,738
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31RSM US LLP
Accountancy firm EIN2016-12-31420714325
2015 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-10,250,006
Total unrealized appreciation/depreciation of assets2015-12-31$-10,250,006
Total income from all sources (including contributions)2015-12-31$12,333,481
Total of all expenses incurred2015-12-31$16,455,084
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$16,303,410
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$12,427,570
Value of total assets at end of year2015-12-31$181,121,548
Value of total assets at beginning of year2015-12-31$185,243,151
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$151,674
Total interest from all sources2015-12-31$172,132
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$9,983,785
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Administrative expenses professional fees incurred2015-12-31$151,674
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
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$9,165,299
Participant contributions at end of year2015-12-31$4,003,127
Participant contributions at beginning of year2015-12-31$4,129,075
Participant contributions at end of year2015-12-31$248,386
Participant contributions at beginning of year2015-12-31$231,573
Assets. Other investments not covered elsewhere at end of year2015-12-31$24,746,126
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$26,653,824
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-4,121,603
Value of net assets at end of year (total assets less liabilities)2015-12-31$181,121,548
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$185,243,151
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 end of year2015-12-31$127,086,543
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$127,547,083
Income. Interest from loans (other than to participants)2015-12-31$172,132
Value of interest in common/collective trusts at end of year2015-12-31$9,610,912
Value of interest in common/collective trusts at beginning of year2015-12-31$8,877,064
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$147,875
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$299,057
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$299,057
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$10,881,570
Assets. Invements in employer securities at beginning of year2015-12-31$13,268,998
Contributions received in cash from employer2015-12-31$3,262,271
Employer contributions (assets) at end of year2015-12-31$3,262,271
Employer contributions (assets) at beginning of year2015-12-31$3,130,203
Income. Dividends from preferred stock2015-12-31$9,983,785
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$16,303,410
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$1,134,738
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$1,106,274
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)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31RSM US LLP
Accountancy firm EIN2015-12-31420714325
2014 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$1,323,857
Total unrealized appreciation/depreciation of assets2014-12-31$1,323,857
Total income from all sources (including contributions)2014-12-31$21,929,733
Total of all expenses incurred2014-12-31$17,701,673
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$17,565,058
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$11,961,643
Value of total assets at end of year2014-12-31$185,243,151
Value of total assets at beginning of year2014-12-31$181,015,091
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$136,615
Total interest from all sources2014-12-31$177,028
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$8,467,205
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Administrative expenses professional fees incurred2014-12-31$136,615
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$8,831,440
Participant contributions at end of year2014-12-31$4,129,075
Participant contributions at beginning of year2014-12-31$4,104,630
Participant contributions at end of year2014-12-31$231,573
Assets. Other investments not covered elsewhere at end of year2014-12-31$26,653,824
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$27,502,055
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$4,228,060
Value of net assets at end of year (total assets less liabilities)2014-12-31$185,243,151
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$181,015,091
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$127,547,083
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$124,812,794
Interest on participant loans2014-12-31$177,028
Income. Interest from loans (other than to participants)2014-12-31$0
Value of interest in common/collective trusts at end of year2014-12-31$8,877,064
Value of interest in common/collective trusts at beginning of year2014-12-31$5,608,487
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$299,057
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$279,400
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$279,400
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Assets. Invements in employer securities at end of year2014-12-31$13,268,998
Assets. Invements in employer securities at beginning of year2014-12-31$14,729,924
Contributions received in cash from employer2014-12-31$3,130,203
Employer contributions (assets) at end of year2014-12-31$3,130,203
Employer contributions (assets) at beginning of year2014-12-31$2,970,749
Income. Dividends from preferred stock2014-12-31$0
Income. Dividends from common stock2014-12-31$8,467,205
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$17,565,058
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$1,106,274
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$1,007,052
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31KPMG
Accountancy firm EIN2014-12-31135565207
2013 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$2,954,299
Total unrealized appreciation/depreciation of assets2013-12-31$2,954,299
Total transfer of assets to this plan2013-12-31$0
Total transfer of assets from this plan2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$11,362
Total income from all sources (including contributions)2013-12-31$41,869,157
Total of all expenses incurred2013-12-31$16,557,928
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$16,487,159
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$10,544,360
Value of total assets at end of year2013-12-31$181,015,091
Value of total assets at beginning of year2013-12-31$155,715,224
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$70,769
Total interest from all sources2013-12-31$167,499
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$5,192,641
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$7,573,273
Participant contributions at end of year2013-12-31$4,104,630
Participant contributions at beginning of year2013-12-31$3,827,228
Assets. Other investments not covered elsewhere at end of year2013-12-31$27,502,055
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$27,977,634
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$11,362
Other income not declared elsewhere2013-12-31$-503,080
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$25,311,229
Value of net assets at end of year (total assets less liabilities)2013-12-31$181,015,091
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$155,703,862
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$124,812,794
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$103,266,466
Value of interest in common/collective trusts at end of year2013-12-31$5,608,487
Value of interest in common/collective trusts at beginning of year2013-12-31$2,173,868
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$279,400
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$318,551
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$318,551
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$167,499
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$22,642,199
Net investment gain or loss from common/collective trusts2013-12-31$871,239
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$14,729,924
Assets. Invements in employer securities at beginning of year2013-12-31$14,770,205
Contributions received in cash from employer2013-12-31$2,971,087
Employer contributions (assets) at end of year2013-12-31$2,970,749
Employer contributions (assets) at beginning of year2013-12-31$2,699,235
Income. Dividends from preferred stock2013-12-31$5,192,641
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$16,487,159
Contract administrator fees2013-12-31$70,769
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$1,007,052
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$682,037
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31KPMG
Accountancy firm EIN2013-12-31135565207
2011 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets2011-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$3,367,286
Total unrealized appreciation/depreciation of assets2011-12-31$3,367,286
Total transfer of assets to this plan2011-12-31$0
Total transfer of assets from this plan2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Expenses. Interest paid2011-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022011-12-31$0
Total income from all sources (including contributions)2011-12-31$11,112,251
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$16,494,957
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$16,434,727
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Value of total corrective distributions2011-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$9,771,671
Value of total assets at end of year2011-12-31$143,934,358
Value of total assets at beginning of year2011-12-31$149,317,064
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$60,230
Total income from rents2011-12-31$0
Total interest from all sources2011-12-31$180,898
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$2,049,343
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$0
Assets. Real estate other than employer real property at beginning of year2011-12-31$0
Administrative expenses professional fees incurred2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$7,292,884
Participant contributions at end of year2011-12-31$3,849,084
Participant contributions at beginning of year2011-12-31$3,813,557
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$26,602,192
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$26,056,520
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$0
Assets. Loans (other than to participants) at beginning of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$0
Other income not declared elsewhere2011-12-31$0
Administrative expenses (other) incurred2011-12-31$0
Liabilities. Value of operating payables at beginning of year2011-12-31$0
Total non interest bearing cash at end of year2011-12-31$0
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Income. Non cash contributions2011-12-31$0
Value of net income/loss2011-12-31$-5,382,706
Value of net assets at end of year (total assets less liabilities)2011-12-31$143,934,358
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$149,317,064
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at beginning of year2011-12-31$0
Investment advisory and management fees2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$92,882,122
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$101,357,969
Value of interest in pooled separate accounts at beginning of year2011-12-31$0
Interest on participant loans2011-12-31$0
Income. Interest from loans (other than to participants)2011-12-31$0
Interest earned on other investments2011-12-31$0
Income. Interest from US Government securities2011-12-31$0
Income. Interest from corporate debt instruments2011-12-31$0
Value of interest in master investment trust accounts at beginning of year2011-12-31$0
Value of interest in common/collective trusts at end of year2011-12-31$1,797,667
Value of interest in common/collective trusts at beginning of year2011-12-31$1,838,915
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$287,101
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$278,402
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$278,402
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$180,898
Assets. Value of investments in 103.12 investment entities at beginning of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$0
Asset value of US Government securities at end of year2011-12-31$0
Asset value of US Government securities at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-4,294,732
Net investment gain/loss from pooled separate accounts2011-12-31$0
Net investment gain or loss from common/collective trusts2011-12-31$37,785
Net gain/loss from 103.12 investment entities2011-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$15,261,688
Assets. Invements in employer securities at beginning of year2011-12-31$12,999,018
Assets. Value of employer real property at beginning of year2011-12-31$0
Contributions received in cash from employer2011-12-31$2,478,787
Employer contributions (assets) at end of year2011-12-31$2,478,790
Employer contributions (assets) at beginning of year2011-12-31$2,145,310
Income. Dividends from preferred stock2011-12-31$2,049,343
Income. Dividends from common stock2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$16,434,727
Asset. Corporate debt instrument preferred debt at end of year2011-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$0
Contract administrator fees2011-12-31$60,230
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$775,714
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$827,373
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2011-12-31$0
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$0
Aggregate carrying amount (costs) on sale of assets2011-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2011-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31KPMG
Accountancy firm EIN2011-12-31135565207
2010 : THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$6,115,795
Total unrealized appreciation/depreciation of assets2010-12-31$6,115,795
Total transfer of assets to this plan2010-12-31$0
Total transfer of assets from this plan2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$8,133
Expenses. Interest paid2010-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022010-12-31$0
Total income from all sources (including contributions)2010-12-31$30,016,612
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$16,896,540
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$16,825,605
Expenses. Certain deemed distributions of participant loans2010-12-31$0
Value of total corrective distributions2010-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$8,920,509
Value of total assets at end of year2010-12-31$149,317,064
Value of total assets at beginning of year2010-12-31$136,205,125
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$70,935
Total income from rents2010-12-31$0
Total interest from all sources2010-12-31$218,153
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$1,700,000
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$0
Assets. Real estate other than employer real property at end of year2010-12-31$0
Assets. Real estate other than employer real property at beginning of year2010-12-31$0
Administrative expenses professional fees incurred2010-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2010-12-31$0
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$6,775,199
Participant contributions at end of year2010-12-31$3,813,557
Participant contributions at beginning of year2010-12-31$3,653,945
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$0
Assets. Other investments not covered elsewhere at end of year2010-12-31$26,056,520
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$26,211,995
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$0
Assets. Loans (other than to participants) at end of year2010-12-31$0
Assets. Loans (other than to participants) at beginning of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$0
Other income not declared elsewhere2010-12-31$0
Administrative expenses (other) incurred2010-12-31$0
Liabilities. Value of operating payables at end of year2010-12-31$0
Liabilities. Value of operating payables at beginning of year2010-12-31$8,133
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Income. Non cash contributions2010-12-31$1,081,988
Value of net income/loss2010-12-31$13,120,072
Value of net assets at end of year (total assets less liabilities)2010-12-31$149,317,064
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$136,196,992
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at end of year2010-12-31$0
Assets. partnership/joint venture interests at beginning of year2010-12-31$0
Investment advisory and management fees2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$101,357,969
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$93,939,688
Value of interest in pooled separate accounts at end of year2010-12-31$0
Value of interest in pooled separate accounts at beginning of year2010-12-31$0
Interest on participant loans2010-12-31$0
Income. Interest from loans (other than to participants)2010-12-31$0
Interest earned on other investments2010-12-31$0
Income. Interest from US Government securities2010-12-31$0
Income. Interest from corporate debt instruments2010-12-31$0
Value of interest in master investment trust accounts at end of year2010-12-31$0
Value of interest in master investment trust accounts at beginning of year2010-12-31$0
Value of interest in common/collective trusts at end of year2010-12-31$1,838,915
Value of interest in common/collective trusts at beginning of year2010-12-31$1,470,898
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$278,402
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$262,767
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$262,767
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$218,153
Assets. Value of investments in 103.12 investment entities at end of year2010-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$0
Asset value of US Government securities at end of year2010-12-31$0
Asset value of US Government securities at beginning of year2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$12,835,845
Net investment gain/loss from pooled separate accounts2010-12-31$0
Net investment gain or loss from common/collective trusts2010-12-31$226,310
Net gain/loss from 103.12 investment entities2010-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$12,999,018
Assets. Invements in employer securities at beginning of year2010-12-31$7,801,655
Assets. Value of employer real property at end of year2010-12-31$0
Assets. Value of employer real property at beginning of year2010-12-31$0
Contributions received in cash from employer2010-12-31$1,063,322
Employer contributions (assets) at end of year2010-12-31$2,145,310
Employer contributions (assets) at beginning of year2010-12-31$2,202,166
Income. Dividends from preferred stock2010-12-31$1,700,000
Income. Dividends from common stock2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$16,825,605
Asset. Corporate debt instrument preferred debt at end of year2010-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$0
Contract administrator fees2010-12-31$70,935
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$827,373
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$662,011
Liabilities. Value of benefit claims payable at end of year2010-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2010-12-31$0
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$0
Aggregate carrying amount (costs) on sale of assets2010-12-31$0
Liabilities. Value of acquisition indebtedness at end of year2010-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2010-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31KPMG
Accountancy firm EIN2010-12-31135565207

Form 5500 Responses for THE ETHAN ALLEN RETIREMENT SAVINGS PLAN

2023: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: THE ETHAN ALLEN RETIREMENT SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: THE ETHAN ALLEN RETIREMENT SAVINGS 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 filingNo
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 – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: THE ETHAN ALLEN RETIREMENT SAVINGS 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 – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: THE ETHAN ALLEN RETIREMENT SAVINGS 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 – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: THE ETHAN ALLEN RETIREMENT SAVINGS 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 – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: THE ETHAN ALLEN RETIREMENT SAVINGS 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 – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: THE ETHAN ALLEN RETIREMENT SAVINGS 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 – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2011: THE ETHAN ALLEN RETIREMENT SAVINGS 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 – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: THE ETHAN ALLEN RETIREMENT SAVINGS 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 – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

GREAT WEST RETIREMENT SERVICES (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number150148-01
Policy instance 1
Insurance contract or identification number150148-01
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0

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