401k Plan data: EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN plan

EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	002

EQUISCRIPT, LLC 401(K) PROFIT SHARING 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.
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

EQUISCRIPT, LLC has sponsored the creation of one or more 401k plans.

Company Name: EQUISCRIPT, LLC

Employer identification number (EIN): 263501098

NAIC Classification: 624100
NAIC Description: Individual and Family Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01 CARL HOBURG 2024-07-16
002 2022-01-01
002 2021-01-01
002 2020-01-01 MICHAEL BURKHOLD 2021-06-01
002 2019-01-01 STEVEN KERR 2020-10-10

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2023-01-01	CARL HOBURG	2024-07-16
002	2022-01-01
002	2021-01-01
002	2020-01-01	MICHAEL BURKHOLD	2021-06-01
002	2019-01-01	STEVEN KERR	2020-10-10

Plan Statistics for EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2022: EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 130
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 72
Number of retired or separated participants receiving benefits 2022-01-01 1
Number of other retired or separated participants entitled to future benefits 2022-01-01 29
Total of all active and inactive participants 2022-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 102
Number of participants with account balances 2022-01-01 67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 19
2021: EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 156
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 93
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 32
Total of all active and inactive participants 2021-01-01 125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 125
Number of participants with account balances 2021-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 23

Measure	Date	Value
2022: EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	130
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	72
Number of retired or separated participants receiving benefits	2022-01-01	1
Number of other retired or separated participants entitled to future benefits	2022-01-01	29
Total of all active and inactive participants	2022-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	102
Number of participants with account balances	2022-01-01	67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	19
2021: EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	156
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	93
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	32
Total of all active and inactive participants	2021-01-01	125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	125
Number of participants with account balances	2021-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	23

Financial Data on EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2022 : EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$54,805
Total of all expenses incurred	2022-12-31	$734,591
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$713,916
Expenses. Certain deemed distributions of participant loans	2022-12-31	$0
Value of total corrective distributions	2022-12-31	$3,838
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$377,221
Value of total assets at end of year	2022-12-31	$1,246,297
Value of total assets at beginning of year	2022-12-31	$1,926,083
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$16,837
Total interest from all sources	2022-12-31	$288
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$2,408
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$2,408
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$170,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$193,564
Participant contributions at end of year	2022-12-31	$0
Participant contributions at beginning of year	2022-12-31	$0
Participant contributions at end of year	2022-12-31	$0
Participant contributions at beginning of year	2022-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$17,218
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-679,786
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$1,246,297
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$1,926,083
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$16,837
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$180,466
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$0
Value of interest in pooled separate accounts at end of year	2022-12-31	$90,855
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$1,878,009
Interest on participant loans	2022-12-31	$0
Interest earned on other investments	2022-12-31	$288
Value of interest in common/collective trusts at end of year	2022-12-31	$968,746
Value of interest in common/collective trusts at beginning of year	2022-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$6,230
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$48,074
Expenses. Payments to insurance carriers foe the provision of benefits	2022-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-81,134
Net investment gain/loss from pooled separate accounts	2022-12-31	$-35,550
Net investment gain or loss from common/collective trusts	2022-12-31	$-208,428
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$166,439
Employer contributions (assets) at end of year	2022-12-31	$0
Employer contributions (assets) at beginning of year	2022-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$713,916
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	POWDERLY VUCHNICH PLLC
Accountancy firm EIN	2022-12-31	463705845
2021 : EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$1,044,786
Total of all expenses incurred	2021-12-31	$508,543
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$490,881
Expenses. Certain deemed distributions of participant loans	2021-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$810,369
Value of total assets at end of year	2021-12-31	$1,926,083
Value of total assets at beginning of year	2021-12-31	$1,389,840
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$17,662
Total interest from all sources	2021-12-31	$0
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 year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$0
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$140,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$274,131
Participant contributions at end of year	2021-12-31	$0
Participant contributions at end of year	2021-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$492,084
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$536,243
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$1,926,083
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$1,389,840
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in pooled separate accounts at end of year	2021-12-31	$1,878,009
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$1,343,926
Interest on participant loans	2021-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$48,074
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$45,914
Expenses. Payments to insurance carriers foe the provision of benefits	2021-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$234,417
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$44,154
Employer contributions (assets) at end of year	2021-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$490,881
Contract administrator fees	2021-12-31	$17,662
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	POWDERLY VUCHNICH & GOOD CPAS, PLLC
Accountancy firm EIN	2021-12-31	463705845

Form 5500 Responses for EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN

2022: EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: EQUISCRIPT, LLC 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	122
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $805
Total amount of fees paid to insurance company	USD $89
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 Broker	USD $805
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	ADVISOR COMMISSION
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	138
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $229
Total amount of fees paid to insurance company	USD $24
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 Broker	USD $229
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE

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Company Name:	EQUISCRIPT, LLC
Employer identification number (EIN):	263501098
NAIC Classification:	624100
NAIC Description:	Individual and Family Services