401k Plan data: THE ELEVATOR GROUP 401(K) SAVINGS PLAN plan

THE ELEVATOR GROUP 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	THE ELEVATOR GROUP 401(K) SAVINGS PLAN
Plan identification number	001

THE ELEVATOR GROUP 401(K) SAVINGS 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

WAUPACA ELEVATOR, INC. has sponsored the creation of one or more 401k plans.

Company Name: WAUPACA ELEVATOR, INC.

Employer identification number (EIN): 391797587

NAIC Classification: 333900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ELEVATOR GROUP 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2019-01-01
001 2018-01-01 TOM GILLING 2019-07-23
001 2017-01-01 TOM GILLING 2018-07-19
001 2016-01-01 TOM GILLING 2017-05-24
001 2015-01-01 TOM GILLING 2016-10-17
001 2014-01-01 MILADA RICE 2015-07-20 MILADA RICE 2015-07-20
001 2013-01-01 ROBERT PARKINS 2014-10-08 ROBERT PARKINS 2014-10-08
001 2012-01-01 ROBERT PARKINS 2013-09-27 ROBERT PARKINS 2013-09-27
001 2011-01-01 ROBERT PARKINS 2012-09-25 ROBERT PARKINS 2012-09-25
001 2010-01-01 ROBERT PARKINS 2011-09-19 ROBERT PARKINS 2011-09-19

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01
001	2019-01-01
001	2018-01-01	TOM GILLING	2019-07-23
001	2017-01-01	TOM GILLING	2018-07-19
001	2016-01-01	TOM GILLING	2017-05-24
001	2015-01-01	TOM GILLING	2016-10-17
001	2014-01-01	MILADA RICE	2015-07-20	MILADA RICE	2015-07-20
001	2013-01-01	ROBERT PARKINS	2014-10-08	ROBERT PARKINS	2014-10-08
001	2012-01-01	ROBERT PARKINS	2013-09-27	ROBERT PARKINS	2013-09-27
001	2011-01-01	ROBERT PARKINS	2012-09-25	ROBERT PARKINS	2012-09-25
001	2010-01-01	ROBERT PARKINS	2011-09-19	ROBERT PARKINS	2011-09-19

Plan Statistics for THE ELEVATOR GROUP 401(K) SAVINGS PLAN

401k plan membership statisitcs for THE ELEVATOR GROUP 401(K) SAVINGS PLAN

Measure Date Value
2020: THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 128
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 108
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 19
Total of all active and inactive participants 2020-01-01 127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 127
Number of participants with account balances 2020-01-01 62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 100
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 21
Total of all active and inactive participants 2019-01-01 121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 121
Number of participants with account balances 2019-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 3

Measure	Date	Value
2020: THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	128
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	108
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	19
Total of all active and inactive participants	2020-01-01	127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	127
Number of participants with account balances	2020-01-01	62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	100
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	21
Total of all active and inactive participants	2019-01-01	121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	121
Number of participants with account balances	2019-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	3

Financial Data on THE ELEVATOR GROUP 401(K) SAVINGS PLAN

Measure	Date	Value
2020 : THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets to this plan	2020-12-31	$0
Total transfer of assets from this plan	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$634,568
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$118,409
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$108,649
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$215,412
Value of total assets at end of year	2020-12-31	$3,221,944
Value of total assets at beginning of year	2020-12-31	$2,705,785
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$9,760
Total interest from all sources	2020-12-31	$1,534
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$170,466
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$170,466
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$271,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$189,781
Participant contributions at end of year	2020-12-31	$54,721
Administrative expenses (other) incurred	2020-12-31	$9,760
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$516,159
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$3,221,944
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$2,705,785
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$2,899,937
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$2,443,644
Interest on participant loans	2020-12-31	$1,060
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$267,286
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$262,141
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$262,141
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$474
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$247,156
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$25,631
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$108,649
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	KERBERROSE S.C.
Accountancy firm EIN	2020-12-31	391658423
2019 : THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$0
Total transfer of assets from this plan	2019-12-31	$0
Total transfer of assets from this plan	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$668,484
Total income from all sources (including contributions)	2019-12-31	$668,484
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$139,545
Total of all expenses incurred	2019-12-31	$139,545
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$138,940
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$138,940
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$213,628
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$213,628
Value of total assets at end of year	2019-12-31	$2,705,785
Value of total assets at end of year	2019-12-31	$2,705,785
Value of total assets at beginning of year	2019-12-31	$2,176,846
Value of total assets at beginning of year	2019-12-31	$2,176,846
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$605
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$605
Total interest from all sources	2019-12-31	$4,113
Total interest from all sources	2019-12-31	$4,113
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$163,198
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$163,198
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$163,198
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$163,198
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$218,000
Value of fidelity bond cover	2019-12-31	$218,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$164,417
Contributions received from participants	2019-12-31	$164,417
Administrative expenses (other) incurred	2019-12-31	$605
Administrative expenses (other) incurred	2019-12-31	$605
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$528,939
Value of net income/loss	2019-12-31	$528,939
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$2,705,785
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$2,705,785
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$2,176,846
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$2,176,846
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$2,443,644
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$2,443,644
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$1,906,500
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$1,906,500
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$262,141
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$262,141
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$270,346
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$270,346
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$270,346
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$270,346
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$4,113
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$4,113
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$287,545
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$287,545
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$49,211
Contributions received in cash from employer	2019-12-31	$49,211
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$138,940
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$138,940
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	KERBERROSE S.C.
Accountancy firm name	2019-12-31	KERBERROSE S.C.
Accountancy firm EIN	2019-12-31	391658423
Accountancy firm EIN	2019-12-31	391658423

Form 5500 Responses for THE ELEVATOR GROUP 401(K) SAVINGS PLAN

2020: THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: THE ELEVATOR GROUP 401(K) SAVINGS PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

THE ELEVATOR COMPANY 401(K) PLAN [EIN = 320415800]

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Company Name:	WAUPACA ELEVATOR, INC.
Employer identification number (EIN):	391797587
NAIC Classification:	333900