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TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan NameTRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST
Plan identification number 001

TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST Benefits

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

TRI-TECHNOLOGIES INC. has sponsored the creation of one or more 401k plans.

Company Name:TRI-TECHNOLOGIES INC.
Employer identification number (EIN):223439148
NAIC Classification:333200

Additional information about TRI-TECHNOLOGIES INC.

Jurisdiction of Incorporation: New York Department of State
Incorporation Date: 1996-04-24
Company Identification Number: 2022806
Legal Registered Office Address: Tri-Technologies Inc
40 Hartford Ave
Mount Vernon
United States of America (USA)
10553

More information about TRI-TECHNOLOGIES INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01LISA BERTUZZI2023-09-08
0012021-01-01LISA BERTUZZI2022-06-14
0012020-01-01LISA BERTUZZI2021-06-02
0012019-01-01LISA BERTUZZI2020-07-08
0012018-01-01LISA BERTUZZI2019-06-21
0012017-01-01LISA BERTUZZI2018-06-14
0012016-01-01LISA BERTUZZI2017-09-21
0012015-01-01LISA BERTUZZI2016-07-18
0012014-01-01DAVID HIRSCH
0012013-01-01LISA BERTUZZI
0012012-01-01LISA BERTUZZI
0012011-01-01LISA BERTUZZI
0012010-01-01TRI-TECHNOLOGIES INC2011-07-25

Plan Statistics for TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Measure Date Value
2014: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year2014-01-0134
Total number of active participants reported on line 7a of the Form 55002014-01-0126
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-015
Total of all active and inactive participants2014-01-0131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0131
Number of participants with account balances2014-01-0115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year2013-01-0135
Total number of active participants reported on line 7a of the Form 55002013-01-0132
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-013
Total of all active and inactive participants2013-01-0135
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0135
Number of participants with account balances2013-01-0116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year2012-01-0138
Total number of active participants reported on line 7a of the Form 55002012-01-0136
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-012
Total of all active and inactive participants2012-01-0138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0138
Number of participants with account balances2012-01-0136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year2011-01-0140
Total number of active participants reported on line 7a of the Form 55002011-01-0139
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-0139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0139
Number of participants with account balances2011-01-0118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010

Financial Data on TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Measure Date Value
2014 : TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k financial data
Transfers to/from the plan2014-12-31$0
Total income from all sources2014-12-31$73,011
Expenses. Total of all expenses incurred2014-12-31$63,458
Benefits paid (including direct rollovers)2014-12-31$63,273
Total plan assets at end of year2014-12-31$783,872
Total plan assets at beginning of year2014-12-31$774,319
Value of fidelity bond covering the plan2014-12-31$25,000
Total contributions received or receivable from participants2014-12-31$36,136
Expenses. Other expenses not covered elsewhere2014-12-31$185
Contributions received from other sources (not participants or employers)2014-12-31$0
Other income received2014-12-31$20,275
Net income (gross income less expenses)2014-12-31$9,553
Net plan assets at end of year (total assets less liabilities)2014-12-31$783,872
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$774,319
Assets. Value of participant loans2014-12-31$248
Total contributions received or receivable from employer(s)2014-12-31$16,600
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$0
Funding deficiency by the employer to the plan for this plan year2014-12-31$0
Minimum employer required contribution for this plan year2014-12-31$0
Amount contributed by the employer to the plan for this plan year2014-12-31$0
2013 : TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k financial data
Transfers to/from the plan2013-12-31$0
Total income from all sources2013-12-31$177,502
Expenses. Total of all expenses incurred2013-12-31$2,111
Benefits paid (including direct rollovers)2013-12-31$2,000
Total plan assets at end of year2013-12-31$774,319
Total plan assets at beginning of year2013-12-31$598,928
Value of fidelity bond covering the plan2013-12-31$25,000
Total contributions received or receivable from participants2013-12-31$57,724
Expenses. Other expenses not covered elsewhere2013-12-31$111
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$89,339
Net income (gross income less expenses)2013-12-31$175,391
Net plan assets at end of year (total assets less liabilities)2013-12-31$774,319
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$598,928
Assets. Value of participant loans2013-12-31$8,217
Total contributions received or receivable from employer(s)2013-12-31$30,439
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Funding deficiency by the employer to the plan for this plan year2013-12-31$0
Minimum employer required contribution for this plan year2013-12-31$0
Amount contributed by the employer to the plan for this plan year2013-12-31$0
2012 : TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total income from all sources2012-12-31$135,995
Expenses. Total of all expenses incurred2012-12-31$272,109
Benefits paid (including direct rollovers)2012-12-31$272,011
Total plan assets at end of year2012-12-31$598,928
Total plan assets at beginning of year2012-12-31$735,042
Value of fidelity bond covering the plan2012-12-31$25,000
Total contributions received or receivable from participants2012-12-31$53,374
Expenses. Other expenses not covered elsewhere2012-12-31$98
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$53,980
Net income (gross income less expenses)2012-12-31$-136,114
Net plan assets at end of year (total assets less liabilities)2012-12-31$598,928
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$735,042
Assets. Value of participant loans2012-12-31$9,487
Total contributions received or receivable from employer(s)2012-12-31$28,641
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Funding deficiency by the employer to the plan for this plan year2012-12-31$0
Minimum employer required contribution for this plan year2012-12-31$0
Amount contributed by the employer to the plan for this plan year2012-12-31$0
2011 : TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total income from all sources2011-12-31$76,801
Expenses. Total of all expenses incurred2011-12-31$2,523
Benefits paid (including direct rollovers)2011-12-31$2,412
Total plan assets at end of year2011-12-31$735,042
Total plan assets at beginning of year2011-12-31$660,764
Value of fidelity bond covering the plan2011-12-31$25,000
Total contributions received or receivable from participants2011-12-31$63,135
Expenses. Other expenses not covered elsewhere2011-12-31$111
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-22,792
Net income (gross income less expenses)2011-12-31$74,278
Net plan assets at end of year (total assets less liabilities)2011-12-31$735,042
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$660,764
Assets. Value of participant loans2011-12-31$14,491
Total contributions received or receivable from employer(s)2011-12-31$36,458
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Funding deficiency by the employer to the plan for this plan year2011-12-31$0
Minimum employer required contribution for this plan year2011-12-31$0
Amount contributed by the employer to the plan for this plan year2011-12-31$0

Form 5500 Responses for TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST

2014: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2013: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2012: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: TRI-TECHNOLOGIES, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-824099
Policy instance 1
Insurance contract or identification numberGA-824099
Number of Individuals Covered15
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $1,778
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 $1,778
Insurance broker organization code?3
Insurance broker namePARK AVENUE SECURITIES LLC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-824099
Policy instance 1
Insurance contract or identification numberGA-824099
Number of Individuals Covered16
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $1,610
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 $1,610
Insurance broker organization code?3
Insurance broker namePARK AVENUE SECURITIES, LLC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-824099
Policy instance 1
Insurance contract or identification numberGA-824099
Number of Individuals Covered36
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,218
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 $1,218
Insurance broker organization code?3
Insurance broker namePARK AVENUE SECURITIES, LLC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-824099
Policy instance 1
Insurance contract or identification numberGA-824099
Number of Individuals Covered18
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $7,532
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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

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