401k Plan data: ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST plan

ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 401k Plan overview

Plan Name	ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST
Plan identification number	001

ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

Company Name: ELLIS BROTHERS, INC.

Employer identification number (EIN): 314424482

NAIC Classification: 327300

Additional information about ELLIS BROTHERS, INC.

Jurisdiction of Incorporation: Ohio Secretary of State Business Services Division

Incorporation Date:

Company Identification Number: 269994

Legal Registered Office Address: P O BOX 870
-
MT VERNN
United States of America (USA)
43050

More information about ELLIS BROTHERS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 ELIZABETH KERR 2023-07-31
001 2021-01-01 BETH KERR 2022-09-16
001 2020-01-01 BETH KERR 2021-07-06
001 2019-01-01 BETH KERR 2020-06-19
001 2018-01-01 BETH KERR 2019-06-20
001 2017-01-01 BETH KERR 2018-04-06
001 2016-01-01 BETH KERR 2017-06-01
001 2015-01-01 BETH KERR 2016-07-28
001 2014-01-01 BETH KERR 2015-07-20
001 2013-01-01 BETH KERR 2014-07-25
001 2012-01-01 BETH KERR 2013-06-18
001 2011-01-01 BETH KERR
001 2009-01-01 ED O'CONNEL

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	ELIZABETH KERR	2023-07-31
001	2021-01-01	BETH KERR	2022-09-16
001	2020-01-01	BETH KERR	2021-07-06
001	2019-01-01	BETH KERR	2020-06-19
001	2018-01-01	BETH KERR	2019-06-20
001	2017-01-01	BETH KERR	2018-04-06
001	2016-01-01	BETH KERR	2017-06-01
001	2015-01-01	BETH KERR	2016-07-28
001	2014-01-01	BETH KERR	2015-07-20
001	2013-01-01	BETH KERR	2014-07-25
001	2012-01-01	BETH KERR	2013-06-18
001	2011-01-01	BETH KERR
001	2009-01-01	ED O'CONNEL

Plan Statistics for ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST

401k plan membership statisitcs for ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST

Measure Date Value
2011: ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 199
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 33
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 36
Total of all active and inactive participants 2011-01-01 69
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 69
Number of participants with account balances 2011-01-01 60
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 4
2009: ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 235
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 174
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 47
Total of all active and inactive participants 2009-01-01 221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 221
Number of participants with account balances 2009-01-01 205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 4

Measure	Date	Value
2011: ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	199
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	33
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	36
Total of all active and inactive participants	2011-01-01	69
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	69
Number of participants with account balances	2011-01-01	60
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	4
2009: ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	235
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	174
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	47
Total of all active and inactive participants	2009-01-01	221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	221
Number of participants with account balances	2009-01-01	205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	4

Financial Data on ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST

Measure	Date	Value
2011 : ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$82,089
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$4,791,142
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$4,768,712
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$244,330
Value of total assets at end of year	2011-12-31	$1,338,542
Value of total assets at beginning of year	2011-12-31	$6,047,595
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$22,430
Total interest from all sources	2011-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$25,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$142,513
Participant contributions at end of year	2011-12-31	$1,332
Participant contributions at beginning of year	2011-12-31	$4,283
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-4,709,053
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,338,542
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$6,047,595
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$22,430
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$1,232,480
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$5,743,009
Value of interest in common/collective trusts at end of year	2011-12-31	$103,593
Value of interest in common/collective trusts at beginning of year	2011-12-31	$297,357
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-162,241
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$101,817
Employer contributions (assets) at end of year	2011-12-31	$1,137
Employer contributions (assets) at beginning of year	2011-12-31	$2,946
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$4,768,712
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	WILSON, SHANNON & SNOW, INC.
Accountancy firm EIN	2011-12-31	310829879
2010 : ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$1,279,980
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$557,302
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$537,647
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$589,488
Value of total assets at end of year	2010-12-31	$6,047,595
Value of total assets at beginning of year	2010-12-31	$5,324,917
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$19,655
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$348,240
Participant contributions at end of year	2010-12-31	$4,283
Participant contributions at beginning of year	2010-12-31	$86
Administrative expenses (other) incurred	2010-12-31	$19,655
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$722,678
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$6,047,595
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$5,324,917
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$5,743,009
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$5,324,785
Value of interest in common/collective trusts at end of year	2010-12-31	$297,357
Value of interest in common/collective trusts at beginning of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$690,492
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$241,248
Employer contributions (assets) at end of year	2010-12-31	$2,946
Employer contributions (assets) at beginning of year	2010-12-31	$46
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$537,647
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	WILSON, SHANNON & SNOW INC.
Accountancy firm EIN	2010-12-31	310829879
2009 : ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST

2011: ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ELLIS BROTHERS, INC. 401(K) RETIREMENT PLAN AND TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-802742

Policy instance

Insurance contract or identification number	GA-802742
Number of Individuals Covered	0
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	ELLIS BROTHERS, INC.
Employer identification number (EIN):	314424482
NAIC Classification:	327300

Jurisdiction of Incorporation:	Ohio Secretary of State Business Services Division
Incorporation Date:
Company Identification Number:	269994
Legal Registered Office Address:	P O BOX 870 - MT VERNN United States of America (USA) 43050