401k Plan data: PRUSAK & WINNE LTD PROFIT SHARING PLAN plan

PRUSAK & WINNE LTD PROFIT SHARING PLAN 401k Plan overview

Plan Name	PRUSAK & WINNE LTD PROFIT SHARING PLAN
Plan identification number	001

PRUSAK & WINNE LTD PROFIT SHARING 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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

PRUSAK, WINNE, MCKINELY & DUNN, LTD has sponsored the creation of one or more 401k plans.

Company Name: PRUSAK, WINNE, MCKINELY & DUNN, LTD

Employer identification number (EIN): 371134113

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PRUSAK & WINNE LTD PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 JOSEPH WINNE JOSEPH WINNE 2015-06-18
001 2014-01-01 JOSEPH WINNE JOSEPH WINNE 2015-06-18
001 2013-01-01 JOSEPH WINNE JOSEPH WINNE 2014-07-25
001 2012-01-01 JOSEPH WINNE 2013-07-26 JOSEPH WINNE 2013-07-26
001 2011-01-01 MAXIMILIAN PRUSAK 2012-10-03 MAXIMILIAN PRUSAK 2012-10-03
001 2009-01-01 2010-07-20
001 2009-01-01 MAXIMILLIAN PRUSAK MAXIMILLIAN PRUSAK 2010-07-22

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	JOSEPH WINNE		JOSEPH WINNE	2015-06-18
001	2014-01-01	JOSEPH WINNE		JOSEPH WINNE	2015-06-18
001	2013-01-01	JOSEPH WINNE		JOSEPH WINNE	2014-07-25
001	2012-01-01	JOSEPH WINNE	2013-07-26	JOSEPH WINNE	2013-07-26
001	2011-01-01	MAXIMILIAN PRUSAK	2012-10-03	MAXIMILIAN PRUSAK	2012-10-03
001	2009-01-01		2010-07-20
001	2009-01-01	MAXIMILLIAN PRUSAK		MAXIMILLIAN PRUSAK	2010-07-22

Plan Statistics for PRUSAK & WINNE LTD PROFIT SHARING PLAN

401k plan membership statisitcs for PRUSAK & WINNE LTD PROFIT SHARING PLAN

Measure Date Value
2015: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 9
Number of retired or separated participants receiving benefits 2014-01-01 2
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 11
Number of participants with account balances 2014-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 9
Number of retired or separated participants receiving benefits 2013-01-01 1
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 10
Number of participants with account balances 2013-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 2
2009: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 8
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 0
Total of all active and inactive participants 2009-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 8
Number of participants with account balances 2009-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	9
Number of retired or separated participants receiving benefits	2014-01-01	2
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	11
Number of participants with account balances	2014-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	9
Number of retired or separated participants receiving benefits	2013-01-01	1
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	10
Number of participants with account balances	2013-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	2
2009: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	8
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	0
Total of all active and inactive participants	2009-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	8
Number of participants with account balances	2009-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on PRUSAK & WINNE LTD PROFIT SHARING PLAN

Measure	Date	Value
2015 : PRUSAK & WINNE LTD PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources	2015-03-31	$721
Expenses. Total of all expenses incurred	2015-03-31	$40,773
Benefits paid (including direct rollovers)	2015-03-31	$40,723
Total plan assets at end of year	2015-03-31	$0
Total plan assets at beginning of year	2015-03-31	$40,052
Value of fidelity bond covering the plan	2015-03-31	$500,000
Expenses. Other expenses not covered elsewhere	2015-03-31	$50
Other income received	2015-03-31	$721
Net income (gross income less expenses)	2015-03-31	$-40,052
Net plan assets at end of year (total assets less liabilities)	2015-03-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-03-31	$40,052
2014 : PRUSAK & WINNE LTD PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$151,112
Expenses. Total of all expenses incurred	2014-12-31	$1,098,651
Benefits paid (including direct rollovers)	2014-12-31	$1,084,590
Total plan assets at end of year	2014-12-31	$40,052
Total plan assets at beginning of year	2014-12-31	$987,591
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$24,585
Expenses. Other expenses not covered elsewhere	2014-12-31	$14,061
Other income received	2014-12-31	$115,299
Net income (gross income less expenses)	2014-12-31	$-947,539
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$40,052
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$987,591
Total contributions received or receivable from employer(s)	2014-12-31	$11,228
2013 : PRUSAK & WINNE LTD PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$248,515
Expenses. Total of all expenses incurred	2013-12-31	$786,113
Benefits paid (including direct rollovers)	2013-12-31	$782,820
Total plan assets at end of year	2013-12-31	$987,591
Total plan assets at beginning of year	2013-12-31	$1,525,189
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$44,818
Other income received	2013-12-31	$184,427
Net income (gross income less expenses)	2013-12-31	$-537,598
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$987,591
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,525,189
Total contributions received or receivable from employer(s)	2013-12-31	$19,270
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$3,293

Form 5500 Responses for PRUSAK & WINNE LTD PROFIT SHARING PLAN

2015: PRUSAK & WINNE LTD PROFIT SHARING 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	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: PRUSAK & WINNE LTD PROFIT SHARING 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
2013: PRUSAK & WINNE LTD PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2009: PRUSAK & WINNE LTD PROFIT SHARING 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 – 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

JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )

Policy contract number

1005328388

Policy instance

Insurance contract or identification number	1005328388
Number of Individuals Covered	1
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-09
Total amount of commissions paid to insurance broker	USD $10,998
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	Yes
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
Commission paid to Insurance Broker	USD $10,998
Insurance broker organization code?	7
Insurance broker name	MERRILL LYNCH LIFE AGENCY INC

PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )

Policy contract number

SP09409117

Policy instance

Insurance contract or identification number	SP09409117
Number of Individuals Covered	1
Insurance policy start date	2013-01-01
Insurance policy end date	2013-04-30
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?	Yes
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
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Insurance broker organization code?	7
Insurance broker name	MERRILL LYNCH PIERCE FENNER & SMITH

JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )

Policy contract number

1005328388

Policy instance

Insurance contract or identification number	1005328388
Number of Individuals Covered	1
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $6,826
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	Yes
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
Commission paid to Insurance Broker	USD $6,826
Insurance broker organization code?	7
Insurance broker name	MERRILL LYNCH LIFE AGENCY INC

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Company Name:	PRUSAK, WINNE, MCKINELY & DUNN, LTD
Employer identification number (EIN):	371134113
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers