401k Plan data: ALEX C. FERGUSSON, LLC 401(K) PLAN plan

ALEX C. FERGUSSON, LLC 401(K) PLAN 401k Plan overview

Plan Name	ALEX C. FERGUSSON, LLC 401(K) PLAN
Plan identification number	101

ALEX C. FERGUSSON, LLC 401(K) 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.
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

ALEX C. FERGUSSON, LLC has sponsored the creation of one or more 401k plans.

Company Name: ALEX C. FERGUSSON, LLC

Employer identification number (EIN): 263725121

NAIC Classification: 325100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALEX C. FERGUSSON, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
101 2018-01-01 LISA SZPINDOR 2019-10-14
101 2018-01-01 LISA SZPINDOR 2020-01-16
101 2018-01-01 LISA SZPINDOR 2020-01-21
101 2018-01-01 LISA SZPINDOR 2020-09-01
101 2017-01-01 LISA SZPINDOR
101 2017-01-01 LISA SZPINDOR 2019-08-22
101 2017-01-01
101 2016-01-01 LISA SZPINDOR
101 2015-01-01 DANNIELLE PARSLEY
101 2015-01-01
101 2014-01-01 PHIL TISUE
101 2014-01-01 PHIL TISUE
101 2013-01-01 PHIL TISUE 2015-11-09
101 2012-01-01 PHIL TISUE 2015-11-09

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
101	2018-01-01	LISA SZPINDOR	2019-10-14
101	2018-01-01	LISA SZPINDOR	2020-01-16
101	2018-01-01	LISA SZPINDOR	2020-01-21
101	2018-01-01	LISA SZPINDOR	2020-09-01
101	2017-01-01	LISA SZPINDOR
101	2017-01-01	LISA SZPINDOR	2019-08-22
101	2017-01-01
101	2016-01-01	LISA SZPINDOR
101	2015-01-01	DANNIELLE PARSLEY
101	2015-01-01
101	2014-01-01	PHIL TISUE
101	2014-01-01	PHIL TISUE
101	2013-01-01	PHIL TISUE	2015-11-09
101	2012-01-01	PHIL TISUE	2015-11-09

Plan Statistics for ALEX C. FERGUSSON, LLC 401(K) PLAN

401k plan membership statisitcs for ALEX C. FERGUSSON, LLC 401(K) PLAN

Measure Date Value
2018: ALEX C. FERGUSSON, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 167
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: ALEX C. FERGUSSON, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 184
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 167
Number of retired or separated participants receiving benefits 2017-01-01 2
Number of other retired or separated participants entitled to future benefits 2017-01-01 11
Total of all active and inactive participants 2017-01-01 180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 180
Number of participants with account balances 2017-01-01 136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 8
2016: ALEX C. FERGUSSON, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 173
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 166
Number of retired or separated participants receiving benefits 2016-01-01 2
Number of other retired or separated participants entitled to future benefits 2016-01-01 9
Total of all active and inactive participants 2016-01-01 177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 177
Number of participants with account balances 2016-01-01 115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 12
2015: ALEX C. FERGUSSON, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 174
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 169
Number of retired or separated participants receiving benefits 2015-01-01 5
Number of other retired or separated participants entitled to future benefits 2015-01-01 5
Total of all active and inactive participants 2015-01-01 179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 179
Number of participants with account balances 2015-01-01 117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 8
2014: ALEX C. FERGUSSON, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 548
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 109
Number of retired or separated participants receiving benefits 2014-01-01 2
Number of other retired or separated participants entitled to future benefits 2014-01-01 10
Total of all active and inactive participants 2014-01-01 121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 121
Number of participants with account balances 2014-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1

Measure	Date	Value
2018: ALEX C. FERGUSSON, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	167
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: ALEX C. FERGUSSON, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	184
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	167
Number of retired or separated participants receiving benefits	2017-01-01	2
Number of other retired or separated participants entitled to future benefits	2017-01-01	11
Total of all active and inactive participants	2017-01-01	180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	180
Number of participants with account balances	2017-01-01	136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	8
2016: ALEX C. FERGUSSON, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	173
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	166
Number of retired or separated participants receiving benefits	2016-01-01	2
Number of other retired or separated participants entitled to future benefits	2016-01-01	9
Total of all active and inactive participants	2016-01-01	177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	177
Number of participants with account balances	2016-01-01	115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	12
2015: ALEX C. FERGUSSON, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	174
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	169
Number of retired or separated participants receiving benefits	2015-01-01	5
Number of other retired or separated participants entitled to future benefits	2015-01-01	5
Total of all active and inactive participants	2015-01-01	179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	179
Number of participants with account balances	2015-01-01	117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	8
2014: ALEX C. FERGUSSON, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	548
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	109
Number of retired or separated participants receiving benefits	2014-01-01	2
Number of other retired or separated participants entitled to future benefits	2014-01-01	10
Total of all active and inactive participants	2014-01-01	121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	121
Number of participants with account balances	2014-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1

Financial Data on ALEX C. FERGUSSON, LLC 401(K) PLAN

Measure	Date	Value
2018 : ALEX C. FERGUSSON, LLC 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$6,142,137
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$254,714
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$662,596
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$655,534
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$273,646
Value of total assets at end of year	2018-12-31	$0
Value of total assets at beginning of year	2018-12-31	$6,550,019
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$7,062
Total interest from all sources	2018-12-31	$879
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,976
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,976
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$197,207
Participant contributions at beginning of year	2018-12-31	$74,670
Participant contributions at beginning of year	2018-12-31	$45,905
Administrative expenses (other) incurred	2018-12-31	$453
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-407,882
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$6,550,019
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$6,409
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$5,633,051
Interest on participant loans	2018-12-31	$879
Value of interest in common/collective trusts at beginning of year	2018-12-31	$769,749
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$5,846
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$5,846
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-21,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$76,439
Employer contributions (assets) at beginning of year	2018-12-31	$20,798
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$655,534
Contract administrator fees	2018-12-31	$200
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	RKL LLP
Accountancy firm EIN	2018-12-31	232108173
2017 : ALEX C. FERGUSSON, LLC 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$1,848,809
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$426,716
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$384,845
Expenses. Certain deemed distributions of participant loans	2017-12-31	$6,598
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,151,880
Value of total assets at end of year	2017-12-31	$6,550,019
Value of total assets at beginning of year	2017-12-31	$5,127,926
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$35,273
Total interest from all sources	2017-12-31	$2,142
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$176,278
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$176,278
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$706,476
Participant contributions at end of year	2017-12-31	$74,670
Participant contributions at beginning of year	2017-12-31	$64,005
Participant contributions at end of year	2017-12-31	$45,905
Participant contributions at beginning of year	2017-12-31	$42,884
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$148,213
Administrative expenses (other) incurred	2017-12-31	$5,148
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,422,093
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$6,550,019
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$5,127,926
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$26,019
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$5,633,051
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$4,121,656
Interest on participant loans	2017-12-31	$2,059
Value of interest in common/collective trusts at end of year	2017-12-31	$769,749
Value of interest in common/collective trusts at beginning of year	2017-12-31	$879,883
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$5,846
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$83
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$502,949
Net investment gain or loss from common/collective trusts	2017-12-31	$15,560
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$297,191
Employer contributions (assets) at end of year	2017-12-31	$20,798
Employer contributions (assets) at beginning of year	2017-12-31	$19,498
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$384,845
Contract administrator fees	2017-12-31	$4,106
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	LARSON, KELLETT & ASSOCIATES, PC
Accountancy firm EIN	2017-12-31	232723863
2016 : ALEX C. FERGUSSON, LLC 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,176,673
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$198,175
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$140,734
Expenses. Certain deemed distributions of participant loans	2016-12-31	$20,392
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$869,732
Value of total assets at end of year	2016-12-31	$5,127,926
Value of total assets at beginning of year	2016-12-31	$4,149,428
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$37,049
Total interest from all sources	2016-12-31	$3,692
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$99,907
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$99,907
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$555,850
Participant contributions at end of year	2016-12-31	$64,005
Participant contributions at beginning of year	2016-12-31	$102,343
Participant contributions at end of year	2016-12-31	$42,884
Participant contributions at beginning of year	2016-12-31	$38,245
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$75,391
Administrative expenses (other) incurred	2016-12-31	$3,920
Total non interest bearing cash at beginning of year	2016-12-31	$44,132
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$978,498
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$5,127,926
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$4,149,428
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$23,157
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$4,121,656
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$3,445,324
Interest on participant loans	2016-12-31	$3,658
Value of interest in common/collective trusts at end of year	2016-12-31	$879,883
Value of interest in common/collective trusts at beginning of year	2016-12-31	$325,863
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$174,421
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$174,421
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$34
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$203,342
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$238,491
Employer contributions (assets) at end of year	2016-12-31	$19,498
Employer contributions (assets) at beginning of year	2016-12-31	$19,100
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$140,734
Contract administrator fees	2016-12-31	$9,972
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	LARSON, KELLETT & ASSOCIATES, PC
Accountancy firm EIN	2016-12-31	232723863
2015 : ALEX C. FERGUSSON, LLC 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$342,797
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$635,368
Value of total assets at end of year	2015-12-31	$4,146,903
Value of total assets at beginning of year	2015-12-31	$3,804,106
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$28,072
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$459,113
Participant contributions at end of year	2015-12-31	$102,343
Participant contributions at beginning of year	2015-12-31	$82,759
Participant contributions at end of year	2015-12-31	$38,245
Participant contributions at beginning of year	2015-12-31	$14,454
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$18,716
Administrative expenses (other) incurred	2015-12-31	$34,965
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$342,797
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$4,146,903
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$3,804,106
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$3,815,319
Value of interest in pooled separate accounts at end of year	2015-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$2,962,381
Interest on participant loans	2015-12-31	$2,797
Interest earned on other investments	2015-12-31	$12,795
Income. Interest from corporate debt instruments	2015-12-31	$28,072
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$174,421
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$738,809
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-320,643
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$176,255
Employer contributions (assets) at end of year	2015-12-31	$16,575
Employer contributions (assets) at beginning of year	2015-12-31	$5,703
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$283,942
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	COULTER & JUSTUS
Accountancy firm EIN	2015-12-31	621532536
2014 : ALEX C. FERGUSSON, LLC 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$638,645
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$229,103
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$201,219
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$440,606
Value of total assets at end of year	2014-12-31	$3,804,106
Value of total assets at beginning of year	2014-12-31	$3,394,564
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$27,884
Total interest from all sources	2014-12-31	$14,500
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$324,059
Participant contributions at end of year	2014-12-31	$82,759
Participant contributions at beginning of year	2014-12-31	$74,508
Participant contributions at end of year	2014-12-31	$14,454
Participant contributions at beginning of year	2014-12-31	$29,353
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$409,542
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$3,804,106
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$3,394,564
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$2,962,381
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,623,451
Interest on participant loans	2014-12-31	$3,418
Interest earned on other investments	2014-12-31	$11,082
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$738,809
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$667,177
Net investment gain/loss from pooled separate accounts	2014-12-31	$183,539
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$116,547
Employer contributions (assets) at end of year	2014-12-31	$5,703
Employer contributions (assets) at beginning of year	2014-12-31	$75
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$201,219
Contract administrator fees	2014-12-31	$27,884
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	COULTER & JUSTUS
Accountancy firm EIN	2014-12-31	621532536

Form 5500 Responses for ALEX C. FERGUSSON, LLC 401(K) PLAN

2018: ALEX C. FERGUSSON, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: ALEX C. FERGUSSON, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ALEX C. FERGUSSON, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ALEX C. FERGUSSON, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ALEX C. FERGUSSON, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

931061-537

Policy instance

Insurance contract or identification number	931061-537
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
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?	No
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

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

931061-537

Policy instance

Insurance contract or identification number	931061-537
Number of Individuals Covered	121
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $13,989
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 $13,989
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	0.00
Insurance broker organization code?	3
Insurance broker name	CORECAP INVESTMENTS INC

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Company Name:	ALEX C. FERGUSSON, LLC
Employer identification number (EIN):	263725121
NAIC Classification:	325100