401k Plan data: L.M. BECKER & CO., INC.401(K) PLAN plan

L.M. BECKER & CO., INC.401(K) PLAN 401k Plan overview

Plan Name	L.M. BECKER & CO., INC.401(K) PLAN
Plan identification number	001

L.M. BECKER & CO., INC.401(K) 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.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

L.M. BECKER & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name: L.M. BECKER & CO., INC.

Employer identification number (EIN): 391331039

NAIC Classification: 423920
NAIC Description: Toy and Hobby Goods and Supplies Merchant Wholesalers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan L.M. BECKER & CO., INC.401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-12-01 JONATHAN BECKER 2013-10-01
001 2011-12-01 JONATHAN BECKER 2013-06-28
001 2010-12-01 JONATHAN BECKER 2012-06-27
001 2008-12-01 JONATHAN BECKER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2012-12-01	JONATHAN BECKER	2013-10-01
001	2011-12-01	JONATHAN BECKER	2013-06-28
001	2010-12-01	JONATHAN BECKER	2012-06-27
001	2008-12-01	JONATHAN BECKER

Plan Statistics for L.M. BECKER & CO., INC.401(K) PLAN

401k plan membership statisitcs for L.M. BECKER & CO., INC.401(K) PLAN

Measure Date Value
2008: L.M. BECKER & CO., INC.401(K) PLAN 2008 401k membership
Total participants, beginning-of-year 2008-12-01 22
Total number of active participants reported on line 7a of the Form 5500 2008-12-01 18
Number of retired or separated participants receiving benefits 2008-12-01 0
Number of other retired or separated participants entitled to future benefits 2008-12-01 3
Total of all active and inactive participants 2008-12-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-12-01 0
Total participants 2008-12-01 21
Number of participants with account balances 2008-12-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-12-01 0

Measure	Date	Value
2008: L.M. BECKER & CO., INC.401(K) PLAN 2008 401k membership
Total participants, beginning-of-year	2008-12-01	22
Total number of active participants reported on line 7a of the Form 5500	2008-12-01	18
Number of retired or separated participants receiving benefits	2008-12-01	0
Number of other retired or separated participants entitled to future benefits	2008-12-01	3
Total of all active and inactive participants	2008-12-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-12-01	0
Total participants	2008-12-01	21
Number of participants with account balances	2008-12-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-12-01	0

Financial Data on L.M. BECKER & CO., INC.401(K) PLAN

Measure	Date	Value
2009 : L.M. BECKER & CO., INC.401(K) PLAN 2009 401k financial data
Total income from all sources	2009-11-30	$100,744
Expenses. Total of all expenses incurred	2009-11-30	$139,870
Benefits paid (including direct rollovers)	2009-11-30	$134,886
Total plan assets at end of year	2009-11-30	$469,962
Total plan assets at beginning of year	2009-11-30	$509,088
Value of fidelity bond covering the plan	2009-11-30	$100,000
Total contributions received or receivable from participants	2009-11-30	$24,734
Expenses. Other expenses not covered elsewhere	2009-11-30	$4,984
Other income received	2009-11-30	$66,308
Net income (gross income less expenses)	2009-11-30	$-39,126
Net plan assets at end of year (total assets less liabilities)	2009-11-30	$469,962
Net plan assets at beginning of year (total assets less liabilities)	2009-11-30	$509,088
Assets. Value of participant loans	2009-11-30	$8,599
Total contributions received or receivable from employer(s)	2009-11-30	$9,702

Form 5500 Responses for L.M. BECKER & CO., INC.401(K) PLAN

2008: L.M. BECKER & CO., INC.401(K) PLAN 2008 form 5500 responses
2008-12-01	Type of plan entity	Single employer plan
2008-12-01	Submission has been amended	Yes
2008-12-01	This submission is the final filing	No
2008-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-12-01	Plan is a collectively bargained plan	No
2008-12-01	Plan funding arrangement – Insurance	Yes
2008-12-01	Plan funding arrangement – Trust	Yes
2008-12-01	Plan benefit arrangement – Insurance	Yes
2008-12-01	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

FL 6563

Policy instance

Insurance contract or identification number	FL 6563
Number of Individuals Covered	0
Insurance policy start date	2008-12-01
Insurance policy end date	2009-05-12
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

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65675 )

Policy contract number

GP 76331

Policy instance

Insurance contract or identification number	GP 76331
Number of Individuals Covered	10
Insurance policy start date	2009-05-13
Insurance policy end date	2009-11-30
Total amount of commissions paid to insurance broker	USD $5,545
Total amount of fees paid to insurance company	USD $1,854
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
Commission paid to Insurance Broker	USD $5,545
Insurance broker organization code?	4
Amount paid for insurance broker fees	954
Additional information about fees paid to insurance broker	TPA AWARDS
Insurance broker name	THE RETIREMENT ADVANTAGE INC

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Company Name:	L.M. BECKER & CO., INC.
Employer identification number (EIN):	391331039
NAIC Classification:	423920
NAIC Description:	Toy and Hobby Goods and Supplies Merchant Wholesalers