401k Plan data: CIS 401(K) PLAN plan

CIS 401(K) PLAN 401k Plan overview

Plan Name	CIS 401(K) PLAN
Plan identification number	001

CIS 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.
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

COMPLIANCE IMPLEMENTATION SERVICES, LLC has sponsored the creation of one or more 401k plans.

Company Name: COMPLIANCE IMPLEMENTATION SERVICES, LLC

Employer identification number (EIN): 300224508

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

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01
001 2015-01-01
001 2014-01-01 JAMES J. COLLINS JR.
001 2013-01-01 JAMES J. COLLINS JR. 2014-10-14
001 2012-01-01 JAMES J. COLLINS JR. 2013-10-01
001 2011-01-01 THOMAS GOGOJ 2012-10-09
001 2010-01-01 THOMAS GOGOJ 2011-10-07

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2016-01-01
001	2015-01-01
001	2014-01-01	JAMES J. COLLINS JR.
001	2013-01-01	JAMES J. COLLINS JR.	2014-10-14
001	2012-01-01	JAMES J. COLLINS JR.	2013-10-01
001	2011-01-01	THOMAS GOGOJ	2012-10-09
001	2010-01-01	THOMAS GOGOJ	2011-10-07

Plan Statistics for CIS 401(K) PLAN

401k plan membership statisitcs for CIS 401(K) PLAN

Measure Date Value
2015: CIS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 192
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 13
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 81
Total of all active and inactive participants 2015-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 94
Number of participants with account balances 2015-01-01 94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: CIS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 128
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 161
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 31
Total of all active and inactive participants 2014-01-01 192
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 192
Number of participants with account balances 2014-01-01 126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2015: CIS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	192
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	13
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	81
Total of all active and inactive participants	2015-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	94
Number of participants with account balances	2015-01-01	94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: CIS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	128
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	161
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	31
Total of all active and inactive participants	2014-01-01	192
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	192
Number of participants with account balances	2014-01-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on CIS 401(K) PLAN

Measure	Date	Value
2015 : CIS 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	$577,847
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,195,366
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,187,921
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$586,421
Value of total assets at end of year	2015-12-31	$1,369,620
Value of total assets at beginning of year	2015-12-31	$2,987,139
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$7,445
Total interest from all sources	2015-12-31	$2,078
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	No
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$531,184
Participant contributions at end of year	2015-12-31	$64,309
Participant contributions at beginning of year	2015-12-31	$87,091
Participant contributions at end of year	2015-12-31	$6,807
Participant contributions at beginning of year	2015-12-31	$63,772
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$55,237
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	$-1,617,519
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$1,369,620
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$2,987,139
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
Investment advisory and management fees	2015-12-31	$7,445
Value of interest in pooled separate accounts at end of year	2015-12-31	$1,285,060
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$2,816,483
Interest on participant loans	2015-12-31	$2,078
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$13,444
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$19,793
Net investment gain/loss from pooled separate accounts	2015-12-31	$-10,652
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,187,921
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	DONNELLY, BOYCE & ASSOCIATES, LLC
Accountancy firm EIN	2015-12-31	453794042
2014 : CIS 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	$837,785
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$150,727
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$139,264
Value of total corrective distributions	2014-12-31	$10,913
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$692,865
Value of total assets at end of year	2014-12-31	$2,923,367
Value of total assets at beginning of year	2014-12-31	$2,236,309
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$550
Total interest from all sources	2014-12-31	$4,424
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	No
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	$670,146
Participant contributions at end of year	2014-12-31	$87,091
Participant contributions at beginning of year	2014-12-31	$91,577
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$22,719
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	$687,058
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,923,367
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$2,236,309
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
Investment advisory and management fees	2014-12-31	$550
Value of interest in pooled separate accounts at end of year	2014-12-31	$2,816,483
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,125,891
Interest on participant loans	2014-12-31	$4,424
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$19,793
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$18,841
Net investment gain/loss from pooled separate accounts	2014-12-31	$140,496
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	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$139,264
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	DONNELLY, BOYCE & ASSOCIATES, LLC
Accountancy firm EIN	2014-12-31	453794042

Form 5500 Responses for CIS 401(K) PLAN

2015: CIS 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
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: CIS 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

GH2611

Policy instance

Insurance contract or identification number	GH2611
Number of Individuals Covered	94
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 $1,408
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1408
Additional information about fees paid to insurance broker	TPA COMPENSATION
Insurance broker organization code?	5
Insurance broker name	CONTINENTAL BENEFITS GROUP, INC

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

GH2611

Policy instance

Insurance contract or identification number	GH2611
Number of Individuals Covered	126
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,143
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1143
Additional information about fees paid to insurance broker	TPA COMPENSATION
Insurance broker organization code?	5
Insurance broker name	CONTINENTAL BENEFITS GROUP, INC

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Company Name:	COMPLIANCE IMPLEMENTATION SERVICES, LLC
Employer identification number (EIN):	300224508
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services