401k Plan data: FILICE ENTERPRISES 401(K) PLAN plan

FILICE ENTERPRISES 401(K) PLAN 401k Plan overview

Plan Name	FILICE ENTERPRISES 401(K) PLAN
Plan identification number	001

FILICE ENTERPRISES 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

FILICE ENTERPRISES, INC. has sponsored the creation of one or more 401k plans.

Company Name: FILICE ENTERPRISES, INC.

Employer identification number (EIN): 203823662

NAIC Classification: 453990

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FILICE ENTERPRISES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 LISA FILICE 2013-11-07
001 2012-01-01 LISA FILICE
001 2011-01-01 LISA FILICE
001 2009-01-01 ROBERT FILICE ROBERT FILICE 2010-08-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2013-01-01	LISA FILICE	2013-11-07
001	2012-01-01	LISA FILICE
001	2011-01-01	LISA FILICE
001	2009-01-01	ROBERT FILICE		ROBERT FILICE	2010-08-16

Plan Statistics for FILICE ENTERPRISES 401(K) PLAN

401k plan membership statisitcs for FILICE ENTERPRISES 401(K) PLAN

Measure Date Value
2012: FILICE ENTERPRISES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 15
Number of other retired or separated participants entitled to future benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 18
Total participants 2012-01-01 18
Number of participants with account balances 2012-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: FILICE ENTERPRISES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 18
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 21
Number of participants with account balances 2011-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: FILICE ENTERPRISES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 30
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 23
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 3
Total of all active and inactive participants 2009-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 26
Number of participants with account balances 2009-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: FILICE ENTERPRISES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	15
Number of other retired or separated participants entitled to future benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	18
Total participants	2012-01-01	18
Number of participants with account balances	2012-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: FILICE ENTERPRISES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	18
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	21
Number of participants with account balances	2011-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: FILICE ENTERPRISES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	30
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	23
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	3
Total of all active and inactive participants	2009-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	26
Number of participants with account balances	2009-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on FILICE ENTERPRISES 401(K) PLAN

Measure	Date	Value
2012 : FILICE ENTERPRISES 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$16,220
Expenses. Total of all expenses incurred	2012-12-31	$1,216
Total plan assets at end of year	2012-12-31	$680,134
Total plan assets at beginning of year	2012-12-31	$665,130
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$3,204
Other income received	2012-12-31	$13,016
Net income (gross income less expenses)	2012-12-31	$15,004
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$680,134
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$665,130
Assets. Value of employer securities	2012-12-31	$572,682
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$1,216
2011 : FILICE ENTERPRISES 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$3,081
Expenses. Total of all expenses incurred	2011-12-31	$2,204
Benefits paid (including direct rollovers)	2011-12-31	$1,103
Total plan assets at end of year	2011-12-31	$665,130
Total plan assets at beginning of year	2011-12-31	$664,253
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$5,080
Other income received	2011-12-31	$-1,999
Net income (gross income less expenses)	2011-12-31	$877
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$665,130
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$664,253
Assets. Value of employer securities	2011-12-31	$572,682
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$1,101
2010 : FILICE ENTERPRISES 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$22,517
Expenses. Total of all expenses incurred	2010-12-31	$30,213
Benefits paid (including direct rollovers)	2010-12-31	$29,257
Total plan assets at end of year	2010-12-31	$664,253
Total plan assets at beginning of year	2010-12-31	$671,949
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$9,350
Other income received	2010-12-31	$10,909
Net income (gross income less expenses)	2010-12-31	$-7,696
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$664,253
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$671,949
Assets. Value of employer securities	2010-12-31	$572,682
Total contributions received or receivable from employer(s)	2010-12-31	$2,258
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$956

Form 5500 Responses for FILICE ENTERPRISES 401(K) PLAN

2012: FILICE ENTERPRISES 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: FILICE ENTERPRISES 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: FILICE ENTERPRISES 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Mulitple employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

81942

Policy instance

Insurance contract or identification number	81942
Number of Individuals Covered	7
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $501
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $501
Insurance broker organization code?	3
Insurance broker name	CYPRESS FINANCIAL ADVISORS

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

Policy contract number

81942

Policy instance

Insurance contract or identification number	81942
Number of Individuals Covered	7
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $456
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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

Policy contract number

81942

Policy instance

Insurance contract or identification number	81942
Number of Individuals Covered	9
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $398
Total amount of fees paid to insurance company	USD $25

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Company Name:	FILICE ENTERPRISES, INC.
Employer identification number (EIN):	203823662
NAIC Classification:	453990