401k Plan data: DUKE & ASSOCIATES 401K PLAN plan

DUKE & ASSOCIATES 401K PLAN 401k Plan overview

Plan Name	DUKE & ASSOCIATES 401K PLAN
Plan identification number	001

DUKE & ASSOCIATES 401K 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

DUKE & ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name: DUKE & ASSOCIATES

Employer identification number (EIN): 330562977

NAIC Classification: 424400

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DUKE & ASSOCIATES 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 WENDELL DUKE 2017-01-30 WENDELL DUKE 2017-01-30
001 2015-01-01 WENDELL DUKE 2016-06-10 WENDELL DUKE 2016-06-10
001 2014-01-01 WENDELL DUKE 2015-06-30 WENDELL DUKE 2015-06-30
001 2013-01-01 WENDELL DUKE 2014-05-11 WENDELL DUKE 2014-05-11
001 2012-01-01 WENDELL DUKE WENDELL DUKE 2013-03-05
001 2011-01-01 WENDELL DUKE
001 2009-01-01 WENDELL DUKE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01	WENDELL DUKE	2017-01-30	WENDELL DUKE	2017-01-30
001	2015-01-01	WENDELL DUKE	2016-06-10	WENDELL DUKE	2016-06-10
001	2014-01-01	WENDELL DUKE	2015-06-30	WENDELL DUKE	2015-06-30
001	2013-01-01	WENDELL DUKE	2014-05-11	WENDELL DUKE	2014-05-11
001	2012-01-01	WENDELL DUKE		WENDELL DUKE	2013-03-05
001	2011-01-01	WENDELL DUKE
001	2009-01-01	WENDELL DUKE

Plan Statistics for DUKE & ASSOCIATES 401K PLAN

401k plan membership statisitcs for DUKE & ASSOCIATES 401K PLAN

Measure Date Value
2012: DUKE & ASSOCIATES 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 11
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 11
Number of participants with account balances 2012-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: DUKE & ASSOCIATES 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 7
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 6
Total of all active and inactive participants 2011-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 13
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: DUKE & ASSOCIATES 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 14
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 2
Total of all active and inactive participants 2009-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 16
Number of participants with account balances 2009-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: DUKE & ASSOCIATES 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	11
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	11
Number of participants with account balances	2012-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: DUKE & ASSOCIATES 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	7
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	6
Total of all active and inactive participants	2011-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	13
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: DUKE & ASSOCIATES 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	14
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	2
Total of all active and inactive participants	2009-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	16
Number of participants with account balances	2009-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on DUKE & ASSOCIATES 401K PLAN

Measure	Date	Value
2012 : DUKE & ASSOCIATES 401K PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$115,368
Expenses. Total of all expenses incurred	2012-12-31	$44,568
Benefits paid (including direct rollovers)	2012-12-31	$44,434
Total plan assets at end of year	2012-12-31	$523,287
Total plan assets at beginning of year	2012-12-31	$452,487
Value of fidelity bond covering the plan	2012-12-31	$50,000
Total contributions received or receivable from participants	2012-12-31	$26,868
Expenses. Other expenses not covered elsewhere	2012-12-31	$134
Other income received	2012-12-31	$79,804
Net income (gross income less expenses)	2012-12-31	$70,800
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$523,287
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$452,487
Total contributions received or receivable from employer(s)	2012-12-31	$8,696
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : DUKE & ASSOCIATES 401K PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$36,486
Expenses. Total of all expenses incurred	2011-12-31	$112,204
Benefits paid (including direct rollovers)	2011-12-31	$70,401
Total plan assets at end of year	2011-12-31	$452,487
Total plan assets at beginning of year	2011-12-31	$528,205
Value of fidelity bond covering the plan	2011-12-31	$50,000
Total contributions received or receivable from participants	2011-12-31	$29,189
Expenses. Other expenses not covered elsewhere	2011-12-31	$41,803
Net income (gross income less expenses)	2011-12-31	$-75,718
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$452,487
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$528,205
Total contributions received or receivable from employer(s)	2011-12-31	$7,297
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : DUKE & ASSOCIATES 401K PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$104,919
Total plan assets at end of year	2010-12-31	$528,205
Total plan assets at beginning of year	2010-12-31	$423,286
Value of fidelity bond covering the plan	2010-12-31	$50,000
Total contributions received or receivable from participants	2010-12-31	$44,575
Other income received	2010-12-31	$49,200
Net income (gross income less expenses)	2010-12-31	$104,919
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$528,205
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$423,286
Total contributions received or receivable from employer(s)	2010-12-31	$11,144
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : DUKE & ASSOCIATES 401K PLAN 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 DUKE & ASSOCIATES 401K PLAN

2012: DUKE & ASSOCIATES 401K PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DUKE & ASSOCIATES 401K PLAN 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: DUKE & ASSOCIATES 401K PLAN 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DUKE & ASSOCIATES
Employer identification number (EIN):	330562977
NAIC Classification:	424400