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SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 401k Plan overview

Plan NameSWT ARIZONA INVESTMENTS LLC 401(K) PLAN
Plan identification number 001

SWT ARIZONA INVESTMENTS LLC 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • 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

SWT ARIZONA INVESTMENTS LLC has sponsored the creation of one or more 401k plans.

Company Name:SWT ARIZONA INVESTMENTS LLC
Employer identification number (EIN):208656457
NAIC Classification:722511
NAIC Description:Full-Service Restaurants

Additional information about SWT ARIZONA INVESTMENTS LLC

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2007-03-14
Company Identification Number: 0800787398
Legal Registered Office Address: 17154 BUTTE CREEK RD STE 200

HOUSTON
United States of America (USA)
77090

More information about SWT ARIZONA INVESTMENTS LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SWT ARIZONA INVESTMENTS LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012021-01-01
0012020-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01PHIL TISUE
0012017-01-01
0012016-01-01PHIL TISUE

Plan Statistics for SWT ARIZONA INVESTMENTS LLC 401(K) PLAN

401k plan membership statisitcs for SWT ARIZONA INVESTMENTS LLC 401(K) PLAN

Measure Date Value
2021: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-012,208
Total number of active participants reported on line 7a of the Form 55002021-01-012,871
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0127
Total of all active and inactive participants2021-01-012,898
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-012,898
Number of participants with account balances2021-01-0176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,800
Total number of active participants reported on line 7a of the Form 55002020-01-011,535
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-010
Total of all active and inactive participants2020-01-011,535
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-011,535
Number of participants with account balances2020-01-0175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,518
Total number of active participants reported on line 7a of the Form 55002019-01-011,765
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-0134
Total of all active and inactive participants2019-01-011,800
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-011,800
Number of participants with account balances2019-01-0186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,874
Total number of active participants reported on line 7a of the Form 55002018-01-012,501
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-0135
Total of all active and inactive participants2018-01-012,537
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-012,537
Number of participants with account balances2018-01-0191
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-011,843
Total number of active participants reported on line 7a of the Form 55002017-01-012,735
Number of retired or separated participants receiving benefits2017-01-011
Number of other retired or separated participants entitled to future benefits2017-01-01106
Total of all active and inactive participants2017-01-012,842
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-012,842
Number of participants with account balances2017-01-01163
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,449
Total number of active participants reported on line 7a of the Form 55002016-01-011,825
Number of retired or separated participants receiving benefits2016-01-013
Number of other retired or separated participants entitled to future benefits2016-01-0198
Total of all active and inactive participants2016-01-011,926
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-011,926
Number of participants with account balances2016-01-01170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010

Financial Data on SWT ARIZONA INVESTMENTS LLC 401(K) PLAN

Measure Date Value
2022 : SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$2,080
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$2,080
Total income from all sources (including contributions)2022-12-31$-52,795
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$26,958
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$19,813
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$30,920
Value of total assets at end of year2022-12-31$428,943
Value of total assets at beginning of year2022-12-31$508,696
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$7,145
Total interest from all sources2022-12-31$829
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
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$30,920
Participant contributions at end of year2022-12-31$18,784
Participant contributions at beginning of year2022-12-31$15,238
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$2,080
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$2,080
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-79,753
Value of net assets at end of year (total assets less liabilities)2022-12-31$426,863
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$506,616
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
Value of interest in pooled separate accounts at end of year2022-12-31$393,173
Value of interest in pooled separate accounts at beginning of year2022-12-31$489,837
Interest on participant loans2022-12-31$733
Interest earned on other investments2022-12-31$96
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$16,986
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$3,621
Net investment gain/loss from pooled separate accounts2022-12-31$-84,544
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 contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$19,813
Contract administrator fees2022-12-31$7,145
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
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31COULTER & JUSTUS
Accountancy firm EIN2022-12-31621532536
2021 : SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
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$94,105
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$13,505
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$1,593
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$35,347
Value of total assets at end of year2021-12-31$508,696
Value of total assets at beginning of year2021-12-31$429,097
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$11,912
Total interest from all sources2021-12-31$132
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$35,347
Participant contributions at end of year2021-12-31$15,238
Participant contributions at beginning of year2021-12-31$641
Participant contributions at end of year2021-12-31$0
Participant contributions at beginning of year2021-12-31$1,383
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$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$80,600
Value of net assets at end of year (total assets less liabilities)2021-12-31$508,696
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$429,097
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
Value of interest in pooled separate accounts at end of year2021-12-31$489,837
Value of interest in pooled separate accounts at beginning of year2021-12-31$423,426
Interest on participant loans2021-12-31$60
Interest earned on other investments2021-12-31$72
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$3,621
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$3,647
Net investment gain/loss from pooled separate accounts2021-12-31$58,626
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$1,593
Contract administrator fees2021-12-31$11,912
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 name2021-12-31COULTER & JUSTUS
Accountancy firm EIN2021-12-31621532536
2020 : SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$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$7,242
Total income from all sources (including contributions)2020-12-31$92,641
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$14,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$8,188
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$34,147
Value of total assets at end of year2020-12-31$427,715
Value of total assets at beginning of year2020-12-31$357,019
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$6,515
Total interest from all sources2020-12-31$443
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$34,147
Participant contributions at end of year2020-12-31$642
Participant contributions at beginning of year2020-12-31$9,826
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$1,188
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$7,242
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$77,938
Value of net assets at end of year (total assets less liabilities)2020-12-31$427,715
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$349,777
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
Value of interest in pooled separate accounts at end of year2020-12-31$423,426
Value of interest in pooled separate accounts at beginning of year2020-12-31$340,101
Interest on participant loans2020-12-31$429
Interest earned on other investments2020-12-31$14
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$3,647
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$5,904
Net investment gain/loss from pooled separate accounts2020-12-31$58,051
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$8,188
Contract administrator fees2020-12-31$6,515
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
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31COULTER & JUSTUS
Accountancy firm EIN2020-12-31621532536
2019 : SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$7,242
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$423
Total income from all sources (including contributions)2019-12-31$82,601
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$24,180
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$16,094
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$22,624
Value of total assets at end of year2019-12-31$357,019
Value of total assets at beginning of year2019-12-31$291,779
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$8,086
Total interest from all sources2019-12-31$982
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
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$22,624
Participant contributions at end of year2019-12-31$9,826
Participant contributions at beginning of year2019-12-31$18,526
Participant contributions at end of year2019-12-31$1,188
Participant contributions at beginning of year2019-12-31$1,510
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$7,242
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$423
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$58,421
Value of net assets at end of year (total assets less liabilities)2019-12-31$349,777
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$291,356
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
Value of interest in pooled separate accounts at end of year2019-12-31$340,101
Value of interest in pooled separate accounts at beginning of year2019-12-31$267,075
Interest on participant loans2019-12-31$884
Interest earned on other investments2019-12-31$98
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$5,904
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$4,668
Net investment gain/loss from pooled separate accounts2019-12-31$58,995
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 contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$16,094
Contract administrator fees2019-12-31$8,086
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)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31COULTER & JUSTUS
Accountancy firm EIN2019-12-31621532536
2018 : SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$423
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$8,802
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$79,652
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$63,038
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$32,481
Value of total assets at end of year2018-12-31$291,779
Value of total assets at beginning of year2018-12-31$362,206
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$16,614
Total interest from all sources2018-12-31$1,123
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Administrative expenses professional fees incurred2018-12-31$2,000
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$32,481
Participant contributions at end of year2018-12-31$18,526
Participant contributions at beginning of year2018-12-31$26,825
Participant contributions at end of year2018-12-31$1,510
Participant contributions at beginning of year2018-12-31$1,284
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$423
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-70,850
Value of net assets at end of year (total assets less liabilities)2018-12-31$291,356
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$362,206
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in pooled separate accounts at end of year2018-12-31$267,075
Value of interest in pooled separate accounts at beginning of year2018-12-31$330,766
Interest on participant loans2018-12-31$1,069
Interest earned on other investments2018-12-31$54
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$4,668
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$3,331
Net investment gain/loss from pooled separate accounts2018-12-31$-24,802
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 contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$63,038
Contract administrator fees2018-12-31$14,614
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31COULTER & JUSTUS
Accountancy firm EIN2018-12-31621532536
2017 : SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$95,417
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$57,931
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$51,638
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$44,211
Value of total assets at end of year2017-12-31$362,206
Value of total assets at beginning of year2017-12-31$324,720
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$6,293
Total interest from all sources2017-12-31$1,227
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$44,211
Participant contributions at end of year2017-12-31$26,825
Participant contributions at beginning of year2017-12-31$40,900
Participant contributions at end of year2017-12-31$1,284
Participant contributions at beginning of year2017-12-31$1,646
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$37,486
Value of net assets at end of year (total assets less liabilities)2017-12-31$362,206
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$324,720
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in pooled separate accounts at end of year2017-12-31$330,766
Value of interest in pooled separate accounts at beginning of year2017-12-31$281,196
Interest on participant loans2017-12-31$1,201
Interest earned on other investments2017-12-31$26
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$3,331
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$978
Net investment gain/loss from pooled separate accounts2017-12-31$49,979
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 contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$51,638
Contract administrator fees2017-12-31$6,293
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31COULTER & JUSTUS
Accountancy firm EIN2017-12-31621532536
2016 : SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$138,749
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$23,923
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$10,677
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$121,996
Value of total assets at end of year2016-12-31$324,720
Value of total assets at beginning of year2016-12-31$209,894
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$13,246
Total interest from all sources2016-12-31$1,892
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$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$49,407
Participant contributions at end of year2016-12-31$40,900
Participant contributions at beginning of year2016-12-31$31,895
Participant contributions at end of year2016-12-31$1,646
Participant contributions at beginning of year2016-12-31$3,974
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$72,589
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$114,826
Value of net assets at end of year (total assets less liabilities)2016-12-31$324,720
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$209,894
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in pooled separate accounts at end of year2016-12-31$281,196
Value of interest in pooled separate accounts at beginning of year2016-12-31$173,269
Interest on participant loans2016-12-31$1,861
Interest earned on other investments2016-12-31$31
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$978
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$756
Net investment gain/loss from pooled separate accounts2016-12-31$14,861
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 contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$10,677
Contract administrator fees2016-12-31$13,246
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31COULTER & JUSTUS
Accountancy firm EIN2016-12-31621532536

Form 5500 Responses for SWT ARIZONA INVESTMENTS LLC 401(K) PLAN

2021: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedYes
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 – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: SWT ARIZONA INVESTMENTS LLC 401(K) 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 – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: SWT ARIZONA INVESTMENTS LLC 401(K) 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 – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final 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 – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: SWT ARIZONA INVESTMENTS LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00657
Policy instance 1
Insurance contract or identification number931061-00657
Number of Individuals Covered2559
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00657
Policy instance 1
Insurance contract or identification number931061-00657
Number of Individuals Covered1608
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00657
Policy instance 1
Insurance contract or identification number931061-00657
Number of Individuals Covered1535
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00657
Policy instance 1
Insurance contract or identification number931061-00657
Number of Individuals Covered1800
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $1,136
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,136
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00657
Policy instance 1
Insurance contract or identification number931061-00657
Number of Individuals Covered91
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $1,253
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,253
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-657
Policy instance 1
Insurance contract or identification number931061-657
Number of Individuals Covered163
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $1,190
Total amount of fees paid to insurance companyUSD $119
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,190
Amount paid for insurance broker fees0
Additional information about fees paid to insurance broker0.00
Insurance broker organization code?3
Insurance broker nameTAG RESOURCES, LLC

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