401k Plan data: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN plan

O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 401k Plan overview

Plan Name	O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN
Plan identification number	002

O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN Benefits

401k Plan Type

Defined 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

O.P. SCHUMAN & SONS, INC. has sponsored the creation of one or more 401k plans.

Company Name: O.P. SCHUMAN & SONS, INC.

Employer identification number (EIN): 231623747

NAIC Classification: 333200

Form 5500 Filing Information

Submission information for form 5500 for 401k plan O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01 WILLIAM SCHUMAN 2018-10-09 WILLIAM SCHUMAN 2018-10-09
002 2017-01-01 WILLIAM T. SCHUMAN 2018-07-12
002 2016-01-01 WILLIAM SCHUMAN 2017-05-24 WILLIAM SCHUMAN 2017-05-24
002 2015-01-01 WILLAIM SCHUMAN 2016-07-11 WILLIAM SCHUMAN 2016-07-11
002 2014-01-01 WILLIAM SCHUMAN 2015-06-12
002 2013-01-01 WILLIAM T SCHUMAN 2014-06-09 WILLIAM T SCHUMAN 2014-06-09
002 2012-01-01 WILLAIM T. SCHUMAN
002 2011-01-01 WILLIAM T. SCHUMAN WILLIAM T. SCHUMAN 2012-07-09
002 2009-01-01 WILLIAM T SCHUMAN WILLIAM T. SCHUMAN 2010-07-29

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2018-01-01	WILLIAM SCHUMAN	2018-10-09	WILLIAM SCHUMAN	2018-10-09
002	2017-01-01	WILLIAM T. SCHUMAN	2018-07-12
002	2016-01-01	WILLIAM SCHUMAN	2017-05-24	WILLIAM SCHUMAN	2017-05-24
002	2015-01-01	WILLAIM SCHUMAN	2016-07-11	WILLIAM SCHUMAN	2016-07-11
002	2014-01-01	WILLIAM SCHUMAN	2015-06-12
002	2013-01-01	WILLIAM T SCHUMAN	2014-06-09	WILLIAM T SCHUMAN	2014-06-09
002	2012-01-01	WILLAIM T. SCHUMAN
002	2011-01-01	WILLIAM T. SCHUMAN		WILLIAM T. SCHUMAN	2012-07-09
002	2009-01-01	WILLIAM T SCHUMAN		WILLIAM T. SCHUMAN	2010-07-29

Plan Statistics for O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN

401k plan membership statisitcs for O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN

Measure Date Value
2012: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 21
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 5
Total of all active and inactive participants 2012-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 26
Number of participants with account balances 2012-01-01 25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 21
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 4
Total of all active and inactive participants 2011-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 26
Number of participants with account balances 2011-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 25
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 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 28
Number of participants with account balances 2009-01-01 28
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: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	21
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	5
Total of all active and inactive participants	2012-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	26
Number of participants with account balances	2012-01-01	25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	21
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	4
Total of all active and inactive participants	2011-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	26
Number of participants with account balances	2011-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	25
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	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	28
Number of participants with account balances	2009-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN

Measure	Date	Value
2012 : O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,478,669
Expenses. Total of all expenses incurred	2012-12-31	$1,464,065
Benefits paid (including direct rollovers)	2012-12-31	$1,461,610
Total plan assets at end of year	2012-12-31	$8,444,186
Total plan assets at beginning of year	2012-12-31	$8,429,582
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$131,175
Other income received	2012-12-31	$1,308,562
Net income (gross income less expenses)	2012-12-31	$14,604
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$8,444,186
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$8,429,582
Assets. Value of participant loans	2012-12-31	$88,877
Total contributions received or receivable from employer(s)	2012-12-31	$38,932
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$2,455
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$117,451
Expenses. Total of all expenses incurred	2011-12-31	$560,605
Benefits paid (including direct rollovers)	2011-12-31	$560,286
Total plan assets at end of year	2011-12-31	$8,429,582
Total plan assets at beginning of year	2011-12-31	$8,872,736
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$108,506
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-19,202
Net income (gross income less expenses)	2011-12-31	$-443,154
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$8,429,582
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$8,872,736
Assets. Value of participant loans	2011-12-31	$93,250
Total contributions received or receivable from employer(s)	2011-12-31	$28,147
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$319
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$1,096,385
Expenses. Total of all expenses incurred	2010-12-31	$759,136
Benefits paid (including direct rollovers)	2010-12-31	$759,016
Total plan assets at end of year	2010-12-31	$8,872,736
Total plan assets at beginning of year	2010-12-31	$8,535,487
Value of fidelity bond covering the plan	2010-12-31	$50,000
Total contributions received or receivable from participants	2010-12-31	$128,694
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$933,378
Net income (gross income less expenses)	2010-12-31	$337,249
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$8,872,736
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$8,535,487
Assets. Value of participant loans	2010-12-31	$97,720
Total contributions received or receivable from employer(s)	2010-12-31	$34,313
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$120
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN

2012: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
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: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
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: O. P. SCHUMAN & SONS, INC. SAVINGS AND INVESTMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single 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

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

FL 51761

Policy instance

Insurance contract or identification number	FL 51761
Number of Individuals Covered	0
Insurance policy start date	2012-01-01
Insurance policy end date	2012-04-05
Total amount of commissions paid to insurance broker	USD $5,723
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $5,723
Insurance broker organization code?	1
Insurance broker name	SECURIAN FINANCIAL SERVICES, INC.

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )

Policy contract number

67910

Policy instance

Insurance contract or identification number	67910
Number of Individuals Covered	26
Insurance policy start date	2012-04-06
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $23,597
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $23,597
Insurance broker organization code?	3
Insurance broker name	SECURIAN FINANCIAL SERVICES

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

FL 51761

Policy instance

Insurance contract or identification number	FL 51761
Number of Individuals Covered	26
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $17,495
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

FL 51761

Policy instance

Insurance contract or identification number	FL 51761
Number of Individuals Covered	27
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $6,140
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $6,140
Insurance broker organization code?	1
Insurance broker name	SECURIAN FINANCIAL SERVICES INC

Potentially related plans

O. P. JENKINS FURNITURE COMPANY, INC. 401(K) PLAN [EIN = 621103026]

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Company Name:	O.P. SCHUMAN & SONS, INC.
Employer identification number (EIN):	231623747
NAIC Classification:	333200