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SHEPLERS SAVINGS AND INVESTMENT PLAN 401k Plan overview

Plan NameSHEPLERS SAVINGS AND INVESTMENT PLAN
Plan identification number 001

SHEPLERS SAVINGS AND INVESTMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Plan covering Self-Employed individuals.
  • 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

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

Company Name:SHEPLERS, INC.
Employer identification number (EIN):260604311
NAIC Classification:448150
NAIC Description:Clothing Accessories Stores

Additional information about SHEPLERS, INC.

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2010-01-08
Company Identification Number: 0801215713
Legal Registered Office Address: 15345 BARRANCA PKWY

IRVINE
United States of America (USA)
92618

More information about SHEPLERS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SHEPLERS SAVINGS AND INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012016-01-01MARK ROSEWELL
0012015-01-01MARK ROSEWELL MARK ROSEWELL2016-10-17
0012014-01-01CHRIS ROGERS
0012013-01-01CHRIS ROGERS
0012012-01-01CHRIS ROGERS MARY KENNEDY2013-09-23
0012011-01-01DAVID FABER
0012010-01-01DAVID FABER

Plan Statistics for SHEPLERS SAVINGS AND INVESTMENT PLAN

401k plan membership statisitcs for SHEPLERS SAVINGS AND INVESTMENT PLAN

Measure Date Value
2016: SHEPLERS SAVINGS AND INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01365
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Number of participants with account balances2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: SHEPLERS SAVINGS AND INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01392
Total number of active participants reported on line 7a of the Form 55002015-01-01264
Number of retired or separated participants receiving benefits2015-01-014
Number of other retired or separated participants entitled to future benefits2015-01-0197
Total of all active and inactive participants2015-01-01365
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01365
Number of participants with account balances2015-01-01101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-014
2014: SHEPLERS SAVINGS AND INVESTMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01350
Total number of active participants reported on line 7a of the Form 55002014-01-01345
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-0139
Total of all active and inactive participants2014-01-01385
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01385
Number of participants with account balances2014-01-01137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-015
2013: SHEPLERS SAVINGS AND INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01329
Total number of active participants reported on line 7a of the Form 55002013-01-01316
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0120
Total of all active and inactive participants2013-01-01336
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01336
Number of participants with account balances2013-01-01147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-013
2012: SHEPLERS SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01305
Total number of active participants reported on line 7a of the Form 55002012-01-01285
Number of retired or separated participants receiving benefits2012-01-011
Number of other retired or separated participants entitled to future benefits2012-01-0121
Total of all active and inactive participants2012-01-01307
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01307
Number of participants with account balances2012-01-01149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-016
2011: SHEPLERS SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01318
Total number of active participants reported on line 7a of the Form 55002011-01-01266
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0123
Total of all active and inactive participants2011-01-01289
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01290
Number of participants with account balances2011-01-01148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2010: SHEPLERS SAVINGS AND INVESTMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01299
Total number of active participants reported on line 7a of the Form 55002010-01-01262
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0143
Total of all active and inactive participants2010-01-01305
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01305
Number of participants with account balances2010-01-01151
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-018

Financial Data on SHEPLERS SAVINGS AND INVESTMENT PLAN

Measure Date Value
2016 : SHEPLERS SAVINGS AND INVESTMENT PLAN 2016 401k financial data
Total income from all sources (including contributions)2016-02-22$-23,573
Total of all expenses incurred2016-02-22$411,988
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-02-22$410,525
Value of total assets at end of year2016-02-22$0
Value of total assets at beginning of year2016-02-22$435,561
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-02-22$1,463
Total interest from all sources2016-02-22$74
Total dividends received (eg from common stock, registered investment company shares)2016-02-22$19
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-02-22Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-02-22$0
Total dividends received from registered investment company shares (eg mutual funds)2016-02-22$19
Was this plan covered by a fidelity bond2016-02-22Yes
Value of fidelity bond cover2016-02-22$500,000
If this is an individual account plan, was there a blackout period2016-02-22No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-02-22$0
Were there any nonexempt tranactions with any party-in-interest2016-02-22No
Administrative expenses (other) incurred2016-02-22$1,463
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-02-22No
Value of net income/loss2016-02-22$-435,561
Value of net assets at end of year (total assets less liabilities)2016-02-22$0
Value of net assets at beginning of year (total assets less liabilities)2016-02-22$435,561
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-02-22No
Were any loans by the plan or fixed income obligations due to the plan in default2016-02-22No
Were any leases to which the plan was party in default or uncollectible2016-02-22No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-02-22$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-02-22$265,198
Value of interest in pooled separate accounts at end of year2016-02-22$0
Value of interest in pooled separate accounts at beginning of year2016-02-22$89,991
Interest earned on other investments2016-02-22$74
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-02-22$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-02-22$80,372
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-02-22$-23,722
Net investment gain/loss from pooled separate accounts2016-02-22$56
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-02-22No
Was there a failure to transmit to the plan any participant contributions2016-02-22No
Has the plan failed to provide any benefit when due under the plan2016-02-22No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-02-22$410,525
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-02-22No
Did the plan have assets held for investment2016-02-22No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-02-22No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-02-22Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-02-22Yes
Opinion of an independent qualified public accountant for this plan2016-02-22Disclaimer
Accountancy firm name2016-02-22KUSHNER, SMITH, JOANOU & GREGSON
Accountancy firm EIN2016-02-22953322166
2015 : SHEPLERS SAVINGS AND INVESTMENT PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$58,639
Total of all expenses incurred2015-12-31$4,824,267
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$4,810,382
Value of total corrective distributions2015-12-31$6,855
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$162,959
Value of total assets at end of year2015-12-31$435,561
Value of total assets at beginning of year2015-12-31$5,201,189
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$7,030
Total interest from all sources2015-12-31$4,860
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$20,087
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2015-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$20,087
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$138,953
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$322,234
Other income not declared elsewhere2015-12-31$7
Administrative expenses (other) incurred2015-12-31$7,030
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-4,765,628
Value of net assets at end of year (total assets less liabilities)2015-12-31$435,561
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$5,201,189
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$265,198
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$4,163,068
Value of interest in pooled separate accounts at end of year2015-12-31$89,991
Value of interest in pooled separate accounts at beginning of year2015-12-31$276,949
Interest earned on other investments2015-12-31$4,860
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$80,372
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$438,938
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-131,221
Net investment gain/loss from pooled separate accounts2015-12-31$1,947
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$24,006
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$4,810,382
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
2014 : SHEPLERS SAVINGS AND INVESTMENT PLAN 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$592,472
Total of all expenses incurred2014-12-31$482,375
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$476,018
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$301,173
Value of total assets at end of year2014-12-31$5,201,189
Value of total assets at beginning of year2014-12-31$5,091,092
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$6,357
Total interest from all sources2014-12-31$5,345
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$82,906
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$82,906
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$255,216
Assets. Other investments not covered elsewhere at end of year2014-12-31$322,234
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$322,201
Other income not declared elsewhere2014-12-31$33
Administrative expenses (other) incurred2014-12-31$6,357
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$110,097
Value of net assets at end of year (total assets less liabilities)2014-12-31$5,201,189
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$5,091,092
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$4,163,068
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$4,033,639
Value of interest in pooled separate accounts at end of year2014-12-31$276,949
Value of interest in pooled separate accounts at beginning of year2014-12-31$287,828
Interest earned on other investments2014-12-31$5,345
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$438,938
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$447,424
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$200,421
Net investment gain/loss from pooled separate accounts2014-12-31$2,594
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$45,957
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$476,018
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31No
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31ALLEN, GIBBS & HOULIK L.C.
Accountancy firm EIN2014-12-31481032601
2013 : SHEPLERS SAVINGS AND INVESTMENT PLAN 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$1,208,549
Total of all expenses incurred2013-12-31$1,405,349
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,402,662
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$340,517
Value of total assets at end of year2013-12-31$5,091,092
Value of total assets at beginning of year2013-12-31$5,287,892
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,687
Total interest from all sources2013-12-31$6,760
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$97,470
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$97,470
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$226,236
Assets. Other investments not covered elsewhere at end of year2013-12-31$322,201
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$322,168
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$75,491
Other income not declared elsewhere2013-12-31$33
Administrative expenses (other) incurred2013-12-31$2,687
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$-196,800
Value of net assets at end of year (total assets less liabilities)2013-12-31$5,091,092
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$5,287,892
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$4,033,639
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$4,007,701
Value of interest in pooled separate accounts at end of year2013-12-31$287,828
Value of interest in pooled separate accounts at beginning of year2013-12-31$293,631
Interest earned on other investments2013-12-31$6,760
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$447,424
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$664,392
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$760,580
Net investment gain/loss from pooled separate accounts2013-12-31$3,189
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$38,790
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,402,662
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31ALLEN, GIBBS & HOULIK L.C.
Accountancy firm EIN2013-12-31481032601
2012 : SHEPLERS SAVINGS AND INVESTMENT PLAN 2012 401k financial data
Total income from all sources (including contributions)2012-12-31$856,074
Total of all expenses incurred2012-12-31$1,770,677
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,770,346
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$290,113
Value of total assets at end of year2012-12-31$5,287,892
Value of total assets at beginning of year2012-12-31$6,202,495
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$331
Total interest from all sources2012-12-31$17,769
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$80,113
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$80,113
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$243,645
Assets. Other investments not covered elsewhere at end of year2012-12-31$322,168
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$311,257
Other income not declared elsewhere2012-12-31$10,911
Administrative expenses (other) incurred2012-12-31$331
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$-914,603
Value of net assets at end of year (total assets less liabilities)2012-12-31$5,287,892
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$6,202,495
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$4,007,701
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$4,437,699
Value of interest in pooled separate accounts at end of year2012-12-31$293,631
Value of interest in pooled separate accounts at beginning of year2012-12-31$401,150
Interest earned on other investments2012-12-31$17,769
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$664,392
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,052,389
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$452,743
Net investment gain/loss from pooled separate accounts2012-12-31$4,425
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$46,468
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,770,346
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31ALLEN, GIBBS & HOULIK L.C.
Accountancy firm EIN2012-12-31481032601
2011 : SHEPLERS SAVINGS AND INVESTMENT PLAN 2011 401k financial data
Total income from all sources (including contributions)2011-12-31$334,174
Total of all expenses incurred2011-12-31$636,647
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$636,497
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$369,834
Value of total assets at end of year2011-12-31$6,202,495
Value of total assets at beginning of year2011-12-31$6,504,968
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$150
Total interest from all sources2011-12-31$30,184
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$49,292
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$49,292
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$306,553
Assets. Other investments not covered elsewhere at end of year2011-12-31$311,257
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$336,932
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$4,743
Other income not declared elsewhere2011-12-31$-24,988
Administrative expenses (other) incurred2011-12-31$150
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-302,473
Value of net assets at end of year (total assets less liabilities)2011-12-31$6,202,495
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$6,504,968
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$4,437,699
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$4,392,399
Value of interest in pooled separate accounts at end of year2011-12-31$401,150
Value of interest in pooled separate accounts at beginning of year2011-12-31$526,767
Interest earned on other investments2011-12-31$30,184
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,052,389
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$1,248,870
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-97,663
Net investment gain/loss from pooled separate accounts2011-12-31$7,515
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$58,538
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$636,497
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31ALLEN, GIBBS & HOULIK, L.C.
Accountancy firm EIN2011-12-31481032601
2010 : SHEPLERS SAVINGS AND INVESTMENT PLAN 2010 401k financial data
Total income from all sources (including contributions)2010-12-31$1,012,811
Total of all expenses incurred2010-12-31$449,710
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$446,260
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$398,649
Value of total assets at end of year2010-12-31$6,504,968
Value of total assets at beginning of year2010-12-31$5,941,867
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$3,450
Total interest from all sources2010-12-31$37,341
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$42,471
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$42,471
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$5,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$310,450
Assets. Other investments not covered elsewhere at end of year2010-12-31$336,932
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$193,152
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$88,199
Other income not declared elsewhere2010-12-31$38,341
Administrative expenses (other) incurred2010-12-31$3,450
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$563,101
Value of net assets at end of year (total assets less liabilities)2010-12-31$6,504,968
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$5,941,867
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$4,392,399
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$3,969,595
Value of interest in pooled separate accounts at end of year2010-12-31$526,767
Value of interest in pooled separate accounts at beginning of year2010-12-31$599,018
Interest earned on other investments2010-12-31$37,341
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$1,248,870
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$1,180,102
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$482,239
Net investment gain/loss from pooled separate accounts2010-12-31$13,770
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$446,260
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31ALLEN, GIBBS & HOULIK, L.C.
Accountancy firm EIN2010-12-31481032601

Form 5500 Responses for SHEPLERS SAVINGS AND INVESTMENT PLAN

2016: SHEPLERS SAVINGS AND INVESTMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01This submission is the final filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: SHEPLERS SAVINGS AND INVESTMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: SHEPLERS SAVINGS AND INVESTMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: SHEPLERS SAVINGS AND INVESTMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: SHEPLERS SAVINGS AND INVESTMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: SHEPLERS SAVINGS AND INVESTMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: SHEPLERS SAVINGS AND INVESTMENT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberJK60611
Policy instance 1
Insurance contract or identification numberJK60611
Number of Individuals Covered0
Insurance policy start date2016-01-01
Insurance policy end date2016-02-22
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberJK60611
Policy instance 1
Insurance contract or identification numberJK60611
Number of Individuals Covered101
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberJK60611
Policy instance 1
Insurance contract or identification numberJK60611
Number of Individuals Covered137
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberJK60611
Policy instance 1
Insurance contract or identification numberJK60611
Number of Individuals Covered147
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $407
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $407
Insurance broker organization code?3
Insurance broker nameM H LEBLANG, INC.
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberJK60611
Policy instance 1
Insurance contract or identification numberJK60611
Number of Individuals Covered149
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $2,336
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,336
Insurance broker organization code?3
Insurance broker nameAXA ADVISORS, LLC
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberJK60611
Policy instance 1
Insurance contract or identification numberJK60611
Number of Individuals Covered148
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $2,754
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberJK60611
Policy instance 1
Insurance contract or identification numberJK60611
Number of Individuals Covered151
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $3,048
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,048
Insurance broker organization code?3
Insurance broker nameEHNERT ASSOCIATES

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