401k Plan data: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN plan

THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 401k Plan overview

Plan Name	THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN
Plan identification number	006

THE ANDERSON-DUBOSE ROCHESTER 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ANDERSON DUBOSE, INC has sponsored the creation of one or more 401k plans.

Company Name: ANDERSON DUBOSE, INC

Employer identification number (EIN): 341690243

NAIC Classification: 484110
NAIC Description: General Freight Trucking, Local

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
006 2016-01-01 DAR REARDON DAR REARDON 2017-09-06
006 2015-01-01 MATT LIEGL MATT LIEGL 2016-10-03
006 2014-01-01 MATT LIEGL 2015-07-06 MATT LIEGL 2015-07-06
006 2013-05-19 MATT LIEGL MATT LIEGL 2014-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
006	2016-01-01	DAR REARDON		DAR REARDON	2017-09-06
006	2015-01-01	MATT LIEGL		MATT LIEGL	2016-10-03
006	2014-01-01	MATT LIEGL	2015-07-06	MATT LIEGL	2015-07-06
006	2013-05-19	MATT LIEGL		MATT LIEGL	2014-10-15

Plan Statistics for THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN

401k plan membership statisitcs for THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN

Measure Date Value
2016: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 82
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 74
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 5
Total of all active and inactive participants 2016-01-01 79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 80
Number of participants with account balances 2016-01-01 70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 4
2015: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 88
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 79
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 2
Total of all active and inactive participants 2015-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 81
Number of participants with account balances 2015-01-01 78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2013: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-05-19 125
Total number of active participants reported on line 7a of the Form 5500 2013-05-19 86
Number of retired or separated participants receiving benefits 2013-05-19 0
Number of other retired or separated participants entitled to future benefits 2013-05-19 2
Total of all active and inactive participants 2013-05-19 88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-05-19 0
Total participants 2013-05-19 88
Number of participants with account balances 2013-05-19 86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-05-19 4

Measure	Date	Value
2016: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	82
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	74
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	5
Total of all active and inactive participants	2016-01-01	79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	80
Number of participants with account balances	2016-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	4
2015: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	88
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	79
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	2
Total of all active and inactive participants	2015-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	81
Number of participants with account balances	2015-01-01	78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2013: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-05-19	125
Total number of active participants reported on line 7a of the Form 5500	2013-05-19	86
Number of retired or separated participants receiving benefits	2013-05-19	0
Number of other retired or separated participants entitled to future benefits	2013-05-19	2
Total of all active and inactive participants	2013-05-19	88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-05-19	0
Total participants	2013-05-19	88
Number of participants with account balances	2013-05-19	86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-05-19	4

Financial Data on THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN

Measure	Date	Value
2016 : THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$749,837
Expenses. Total of all expenses incurred	2016-12-31	$336,095
Benefits paid (including direct rollovers)	2016-12-31	$331,412
Total plan assets at end of year	2016-12-31	$3,199,896
Total plan assets at beginning of year	2016-12-31	$2,786,154
Value of fidelity bond covering the plan	2016-12-31	$1,000,000
Total contributions received or receivable from participants	2016-12-31	$247,531
Expenses. Other expenses not covered elsewhere	2016-12-31	$75
Contributions received from other sources (not participants or employers)	2016-12-31	$36,813
Other income received	2016-12-31	$231,463
Net income (gross income less expenses)	2016-12-31	$413,742
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$3,199,896
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,786,154
Assets. Value of participant loans	2016-12-31	$112,269
Total contributions received or receivable from employer(s)	2016-12-31	$234,030
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$140
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$4,468
2015 : THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$540,937
Expenses. Total of all expenses incurred	2015-12-31	$123,882
Benefits paid (including direct rollovers)	2015-12-31	$111,644
Total plan assets at end of year	2015-12-31	$2,785,910
Total plan assets at beginning of year	2015-12-31	$2,368,855
Value of fidelity bond covering the plan	2015-12-31	$1,000,000
Total contributions received or receivable from participants	2015-12-31	$271,009
Expenses. Other expenses not covered elsewhere	2015-12-31	$844
Contributions received from other sources (not participants or employers)	2015-12-31	$17,003
Other income received	2015-12-31	$-44,665
Net income (gross income less expenses)	2015-12-31	$417,055
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,785,910
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,368,855
Assets. Value of participant loans	2015-12-31	$156,661
Total contributions received or receivable from employer(s)	2015-12-31	$297,590
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$11,394
2013 : THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$89,607
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$1,886,639
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$92,756
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$91,741
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,723,337
Value of total assets at end of year	2013-12-31	$1,883,490
Value of total assets at beginning of year	2013-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,015
Total interest from all sources	2013-12-31	$2,252
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$41,561
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$41,561
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000
If this is an individual account plan, was there a blackout period	2013-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$154,167
Participant contributions at end of year	2013-12-31	$128,981
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,363,708
Administrative expenses (other) incurred	2013-12-31	$1,015
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,793,883
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$1,883,490
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$1,754,509
Interest on participant loans	2013-12-31	$2,252
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$119,489
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$205,462
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$91,741
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	2013-12-31	Yes
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CORRIGAN KRAUSE
Accountancy firm EIN	2013-12-31	371574855

Form 5500 Responses for THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN

2016: THE ANDERSON-DUBOSE ROCHESTER 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 – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THE ANDERSON-DUBOSE ROCHESTER 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
2013: THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN 2013 form 5500 responses
2013-05-19	Type of plan entity	Single employer plan
2013-05-19	First time form 5500 has been submitted	Yes
2013-05-19	Submission has been amended	Yes
2013-05-19	This submission is the final filing	No
2013-05-19	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-05-19	Plan is a collectively bargained plan	No
2013-05-19	Plan funding arrangement – Trust	Yes
2013-05-19	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 61822

Policy instance

Insurance contract or identification number	MR 61822
Number of Individuals Covered	81
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?	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

Potentially related plans

THE ANDERSON-DUBOSE ROCHESTER 401(K) PLAN [EIN = 462468172]

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Company Name:	ANDERSON DUBOSE, INC
Employer identification number (EIN):	341690243
NAIC Classification:	484110
NAIC Description:	General Freight Trucking, Local