401k Plan data: ROI DNA 401(K) PLAN plan

ROI DNA 401(K) PLAN 401k Plan overview

Plan Name	ROI DNA 401(K) PLAN
Plan identification number	001

ROI DNA 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

ROI DNA has sponsored the creation of one or more 401k plans.

Company Name: ROI DNA

Employer identification number (EIN): 271203715

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROI DNA 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 JEANENNE DEORSEY 2024-10-11
001 2022-01-01 JEANENNE DEORSEY 2023-10-12
001 2021-01-01
001 2020-01-01
001 2019-01-01 ASHLEY MORROW 2020-03-27
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 BECKY BARTON 2015-04-29

Plan Statistics for ROI DNA 401(K) PLAN

401k plan membership statisitcs for ROI DNA 401(K) PLAN

Measure Date Value
2023: ROI DNA 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 170
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 66
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 82
Total of all active and inactive participants 2023-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 148
Number of participants with account balances 2023-01-01 144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: ROI DNA 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 144
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 101
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 67
Total of all active and inactive participants 2022-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 168
Number of participants with account balances 2022-01-01 156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 3

Measure	Date	Value
2023: ROI DNA 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	170
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	66
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	82
Total of all active and inactive participants	2023-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	148
Number of participants with account balances	2023-01-01	144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: ROI DNA 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	144
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	101
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	67
Total of all active and inactive participants	2022-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	168
Number of participants with account balances	2022-01-01	156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	3

Financial Data on ROI DNA 401(K) PLAN

Measure	Date	Value
2023 : ROI DNA 401(K) PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets	2023-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total income from all sources (including contributions)	2023-12-31	$1,485,135
Total loss/gain on sale of assets	2023-12-31	$0
Total of all expenses incurred	2023-12-31	$432,062
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2023-12-31	$415,527
Value of total corrective distributions	2023-12-31	$975
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2023-12-31	$913,623
Value of total assets at end of year	2023-12-31	$3,974,941
Value of total assets at beginning of year	2023-12-31	$2,921,868
Total of administrative expenses incurred including professional, contract, advisory and management fees	2023-12-31	$15,560
Total interest from all sources	2023-12-31	$1,560
Total dividends received (eg from common stock, registered investment company shares)	2023-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2023-12-31	No
Was this plan covered by a fidelity bond	2023-12-31	Yes
Value of fidelity bond cover	2023-12-31	$250,000
If this is an individual account plan, was there a blackout period	2023-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2023-12-31	No
Contributions received from participants	2023-12-31	$685,623
Participant contributions at end of year	2023-12-31	$0
Participant contributions at beginning of year	2023-12-31	$44,432
Participant contributions at end of year	2023-12-31	$22,453
Participant contributions at beginning of year	2023-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2023-12-31	$98,708
Total non interest bearing cash at end of year	2023-12-31	$0
Total non interest bearing cash at beginning of year	2023-12-31	$2,201
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-12-31	No
Value of net income/loss	2023-12-31	$1,053,073
Value of net assets at end of year (total assets less liabilities)	2023-12-31	$3,974,941
Value of net assets at beginning of year (total assets less liabilities)	2023-12-31	$2,921,868
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2023-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2023-12-31	No
Were any leases to which the plan was party in default or uncollectible	2023-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2023-12-31	$3,948,128
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2023-12-31	$2,875,235
Interest on participant loans	2023-12-31	$1,560
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2023-12-31	$568,235
Net investment gain or loss from common/collective trusts	2023-12-31	$1,717
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2023-12-31	No
Was there a failure to transmit to the plan any participant contributions	2023-12-31	No
Has the plan failed to provide any benefit when due under the plan	2023-12-31	No
Contributions received in cash from employer	2023-12-31	$129,292
Employer contributions (assets) at end of year	2023-12-31	$4,360
Employer contributions (assets) at beginning of year	2023-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2023-12-31	$415,527
Contract administrator fees	2023-12-31	$15,560
Did the plan have assets held for investment	2023-12-31	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	2023-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2023-12-31	No
Opinion of an independent qualified public accountant for this plan	2023-12-31	Unqualified
Accountancy firm name	2023-12-31	JONES & MALHOTRA, CPA'S
Accountancy firm EIN	2023-12-31	954668647
2022 : ROI DNA 401(K) PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$598,282
Total of all expenses incurred	2022-12-31	$242,196
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$233,038
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,035,834
Value of total assets at end of year	2022-12-31	$2,921,868
Value of total assets at beginning of year	2022-12-31	$2,565,782
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$9,158
Total interest from all sources	2022-12-31	$51,079
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$250,000
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	$834,261
Participant contributions at end of year	2022-12-31	$44,432
Participant contributions at beginning of year	2022-12-31	$18,844
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$102,933
Total non interest bearing cash at end of year	2022-12-31	$2,201
Total non interest bearing cash at beginning of year	2022-12-31	$377
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	$356,086
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$2,921,868
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$2,565,782
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$2,875,235
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$2,546,561
Interest on participant loans	2022-12-31	$2,338
Interest earned on other investments	2022-12-31	$48,741
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-488,631
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	$98,640
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$233,038
Contract administrator fees	2022-12-31	$9,158
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	JONES & MALHOTRA, CPA'S
Accountancy firm EIN	2022-12-31	954668647

Form 5500 Responses for ROI DNA 401(K) PLAN

2023: ROI DNA 401(K) PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Insurance	Yes
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement – Insurance	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: ROI DNA 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	Yes
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	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

805761-000

Policy instance

Insurance contract or identification number	805761-000
Number of Individuals Covered	0
Insurance policy start date	2023-01-01
Insurance policy end date	2023-12-31
Total amount of commissions paid to insurance broker	USD $16,308
Total amount of fees paid to insurance company	USD $1,655
Are there contracts with allocated funds for individual policies?	0
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

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

Policy contract number

805761-000

Policy instance

Insurance contract or identification number	805761-000
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $12,815
Total amount of fees paid to insurance company	USD $1,276
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $12,815
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

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See full terms and conditions

Company Name:	ROI DNA
Employer identification number (EIN):	271203715
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	JEANENNE DEORSEY	2024-10-11
001	2022-01-01			JEANENNE DEORSEY	2023-10-12
001	2021-01-01
001	2020-01-01
001	2019-01-01	ASHLEY MORROW	2020-03-27
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	BECKY BARTON	2015-04-29