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HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 401k Plan overview

Plan NameHEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN
Plan identification number 001

HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN Benefits

401k Plan TypeDefined 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.

401k Sponsoring company profile

HEI has sponsored the creation of one or more 401k plans.

Company Name:HEI
Employer identification number (EIN):410944876
NAIC Classification:339110

Additional information about HEI

Jurisdiction of Incorporation: Washington Secretary of State Corporations Division
Incorporation Date: 1997-03-21
Company Identification Number: 601778540
Legal Registered Office Address: 1235 N POST ST STE. 100

SPOKANE
United States of America (USA)
992012529

More information about HEI

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012015-01-01MARK THOMAS MARK THOMAS2016-01-25
0012014-01-01MARK THOMAS MARK THOMAS2015-06-01
0012013-01-01MARK THOMAS MARK THOMAS2014-09-26
0012010-01-01MARK THOMAS MARK THOMAS2011-07-29
0012009-01-01MARK THOMAS MARK THOMAS2010-10-14
0012009-01-01MARK THOMAS MARK THOMAS2010-10-17
0012009-01-01MARK THOMAS MARK THOMAS2010-10-20

Plan Statistics for HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN

401k plan membership statisitcs for HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN

Measure Date Value
2015: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01272
Total number of active participants reported on line 7a of the Form 55002015-01-010
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-010
Total of all active and inactive participants2015-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-010
Number of participants with account balances2015-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01257
Total number of active participants reported on line 7a of the Form 55002014-01-01108
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01163
Total of all active and inactive participants2014-01-01271
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01272
Number of participants with account balances2014-01-01263
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01280
Total number of active participants reported on line 7a of the Form 55002013-01-01168
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0184
Total of all active and inactive participants2013-01-01252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01253
Number of participants with account balances2013-01-01240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-015
2010: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01241
Total number of active participants reported on line 7a of the Form 55002010-01-01170
Number of retired or separated participants receiving benefits2010-01-011
Number of other retired or separated participants entitled to future benefits2010-01-0183
Total of all active and inactive participants2010-01-01254
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-011
Total participants2010-01-01255
Number of participants with account balances2010-01-01238
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0112
2009: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01312
Total number of active participants reported on line 7a of the Form 55002009-01-01160
Number of retired or separated participants receiving benefits2009-01-011
Number of other retired or separated participants entitled to future benefits2009-01-0174
Total of all active and inactive participants2009-01-01235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01236
Number of participants with account balances2009-01-01215
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0110

Financial Data on HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN

Measure Date Value
2015 : HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-07-17$127,649
Total of all expenses incurred2015-07-17$4,957,287
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-07-17$4,916,422
Value of total assets at end of year2015-07-17$0
Value of total assets at beginning of year2015-07-17$4,829,638
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-07-17$40,865
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-07-17Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2015-07-17$0
Administrative expenses professional fees incurred2015-07-17$40,865
Was this plan covered by a fidelity bond2015-07-17Yes
Value of fidelity bond cover2015-07-17$482,964
If this is an individual account plan, was there a blackout period2015-07-17No
Were there any nonexempt tranactions with any party-in-interest2015-07-17No
Participant contributions at end of year2015-07-17$0
Participant contributions at beginning of year2015-07-17$129,243
Participant contributions at end of year2015-07-17$0
Participant contributions at beginning of year2015-07-17$462
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-07-17No
Value of net income/loss2015-07-17$-4,829,638
Value of net assets at end of year (total assets less liabilities)2015-07-17$0
Value of net assets at beginning of year (total assets less liabilities)2015-07-17$4,829,638
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-07-17No
Were any loans by the plan or fixed income obligations due to the plan in default2015-07-17No
Were any leases to which the plan was party in default or uncollectible2015-07-17No
Value of interest in pooled separate accounts at end of year2015-07-17$0
Value of interest in pooled separate accounts at beginning of year2015-07-17$4,699,933
Value of interest in common/collective trusts at end of year2015-07-17$0
Value of interest in common/collective trusts at beginning of year2015-07-17$0
Net investment gain/loss from pooled separate accounts2015-07-17$127,649
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-07-17No
Was there a failure to transmit to the plan any participant contributions2015-07-17No
Has the plan failed to provide any benefit when due under the plan2015-07-17No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-07-17$4,916,422
Did the plan have assets held for investment2015-07-17No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-07-17No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-07-17Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-07-17Yes
Opinion of an independent qualified public accountant for this plan2015-07-17Disclaimer
Accountancy firm name2015-07-17WIPFLI LLP
Accountancy firm EIN2015-07-17390758449
2014 : HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2014 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$693,999
Total of all expenses incurred2014-12-31$1,175,031
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,142,420
Value of total corrective distributions2014-12-31$5,914
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$407,781
Value of total assets at end of year2014-12-31$4,829,638
Value of total assets at beginning of year2014-12-31$5,310,670
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$26,697
Total interest from all sources2014-12-31$5,263
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2014-12-31$0
Administrative expenses professional fees incurred2014-12-31$26,697
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$482,964
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$376,206
Participant contributions at end of year2014-12-31$129,243
Participant contributions at beginning of year2014-12-31$140,638
Participant contributions at end of year2014-12-31$462
Participant contributions at beginning of year2014-12-31$69
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$31,575
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Total non interest bearing cash at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-481,032
Value of net assets at end of year (total assets less liabilities)2014-12-31$4,829,638
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$5,310,670
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in pooled separate accounts at end of year2014-12-31$4,699,933
Value of interest in pooled separate accounts at beginning of year2014-12-31$5,000,978
Interest on participant loans2014-12-31$5,263
Value of interest in common/collective trusts at end of year2014-12-31$0
Value of interest in common/collective trusts at beginning of year2014-12-31$168,985
Net investment gain/loss from pooled separate accounts2014-12-31$280,955
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,142,420
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31WIPFLI LLP
Accountancy firm EIN2014-12-31390758449
2013 : HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2013 401k financial data
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$24
Total income from all sources (including contributions)2013-12-31$1,190,923
Total of all expenses incurred2013-12-31$827,900
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$783,965
Expenses. Certain deemed distributions of participant loans2013-12-31$11,891
Value of total corrective distributions2013-12-31$13,686
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$518,615
Value of total assets at end of year2013-12-31$5,310,670
Value of total assets at beginning of year2013-12-31$4,947,671
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$18,358
Total interest from all sources2013-12-31$4,141
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Administrative expenses professional fees incurred2013-12-31$11,274
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,500,000
If this is an individual account plan, was there a blackout period2013-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$481,221
Participant contributions at end of year2013-12-31$140,638
Participant contributions at beginning of year2013-12-31$104,584
Participant contributions at end of year2013-12-31$69
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$37,394
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$24
Administrative expenses (other) incurred2013-12-31$7,084
Total non interest bearing cash at end of year2013-12-31$0
Total non interest bearing cash at beginning of year2013-12-31$4,843,087
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$363,023
Value of net assets at end of year (total assets less liabilities)2013-12-31$5,310,670
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$4,947,647
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$5,000,978
Value of interest in pooled separate accounts at beginning of year2013-12-31$0
Income. Interest from loans (other than to participants)2013-12-31$4,141
Value of interest in common/collective trusts at end of year2013-12-31$168,985
Net investment gain/loss from pooled separate accounts2013-12-31$668,167
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$783,965
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31Yes
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31WIPFLI LLP
Accountancy firm EIN2013-12-31390758449
2012 : HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$24
Total income from all sources (including contributions)2012-12-31$1,324,157
Total of all expenses incurred2012-12-31$1,222,234
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,184,551
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$701,369
Value of total assets at end of year2012-12-31$4,947,671
Value of total assets at beginning of year2012-12-31$4,845,724
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$37,683
Total interest from all sources2012-12-31$5,028
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Administrative expenses professional fees incurred2012-12-31$9,381
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,500,000
If this is an individual account plan, was there a blackout period2012-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$538,258
Participant contributions at end of year2012-12-31$104,584
Participant contributions at beginning of year2012-12-31$139,470
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$51,838
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$24
Administrative expenses (other) incurred2012-12-31$7,634
Total non interest bearing cash at end of year2012-12-31$4,843,087
Total non interest bearing cash at beginning of year2012-12-31$909
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$101,923
Value of net assets at end of year (total assets less liabilities)2012-12-31$4,947,647
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$4,845,724
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in pooled separate accounts at end of year2012-12-31$0
Value of interest in pooled separate accounts at beginning of year2012-12-31$4,702,382
Interest on participant loans2012-12-31$5,028
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$617,760
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$111,273
Employer contributions (assets) at beginning of year2012-12-31$2,963
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,184,551
Contract administrator fees2012-12-31$20,668
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31Yes
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2012-12-31390859910
2011 : HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2011 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$1,160
Total income from all sources (including contributions)2011-12-31$806,969
Total of all expenses incurred2011-12-31$1,110,980
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,080,948
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$931,230
Value of total assets at end of year2011-12-31$4,845,724
Value of total assets at beginning of year2011-12-31$5,150,895
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$30,032
Total interest from all sources2011-12-31$5,036
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$517,531
Participant contributions at end of year2011-12-31$139,470
Participant contributions at beginning of year2011-12-31$77,534
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$199,362
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$1,160
Administrative expenses (other) incurred2011-12-31$9,610
Total non interest bearing cash at end of year2011-12-31$909
Total non interest bearing cash at beginning of year2011-12-31$1,285
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-304,011
Value of net assets at end of year (total assets less liabilities)2011-12-31$4,845,724
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$5,149,735
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in pooled separate accounts at end of year2011-12-31$4,702,382
Value of interest in pooled separate accounts at beginning of year2011-12-31$5,072,076
Interest on participant loans2011-12-31$5,036
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-129,297
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$214,337
Employer contributions (assets) at end of year2011-12-31$2,963
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,080,948
Contract administrator fees2011-12-31$20,422
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2011-12-31390859910
2010 : HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$1,160
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$16,797
Total income from all sources (including contributions)2010-12-31$1,300,857
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$385,282
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$0
Value of total corrective distributions2010-12-31$359,605
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$720,774
Value of total assets at end of year2010-12-31$5,150,895
Value of total assets at beginning of year2010-12-31$4,250,957
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$25,677
Total interest from all sources2010-12-31$5,281
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$488,811
Participant contributions at end of year2010-12-31$77,534
Participant contributions at beginning of year2010-12-31$90,206
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$1,160
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$16,797
Administrative expenses (other) incurred2010-12-31$7,226
Total non interest bearing cash at end of year2010-12-31$1,285
Total non interest bearing cash at beginning of year2010-12-31$45,574
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$915,575
Value of net assets at end of year (total assets less liabilities)2010-12-31$5,149,735
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$4,234,160
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in pooled separate accounts at end of year2010-12-31$5,072,076
Value of interest in pooled separate accounts at beginning of year2010-12-31$4,115,177
Interest on participant loans2010-12-31$5,281
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$574,802
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$231,963
Contract administrator fees2010-12-31$18,451
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2010-12-31390859910

Form 5500 Responses for HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN

2015: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingYes
2015-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2010: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: HEI, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number803933-000
Policy instance 1
Insurance contract or identification number803933-000
Number of Individuals Covered0
Insurance policy start date2015-01-01
Insurance policy end date2015-07-17
Total amount of commissions paid to insurance brokerUSD $4,123
Total amount of fees paid to insurance companyUSD $2,770
Commission paid to Insurance BrokerUSD $4,123
Insurance broker organization code?3
Amount paid for insurance broker fees2770
Insurance broker nameTAX SHELTERED COMPENSATION, INC.
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number803933-000
Policy instance 1
Insurance contract or identification number803933-000
Number of Individuals Covered263
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $14,069
Total amount of fees paid to insurance companyUSD $7,826
Commission paid to Insurance BrokerUSD $14,069
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameTAX SHELTERED COMPENSATION, INC.
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number803933-000
Policy instance 1
Insurance contract or identification number803933-000
Number of Individuals Covered240
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $53,460
Total amount of fees paid to insurance companyUSD $13,510
Commission paid to Insurance BrokerUSD $53,460
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameTAX SHELTERED COMPENSATION, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number90485
Policy instance 1
Insurance contract or identification number90485
Number of Individuals Covered266
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $19,921
Total amount of fees paid to insurance companyUSD $7,504
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number90485
Policy instance 1
Insurance contract or identification number90485
Number of Individuals Covered237
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $24,225
Total amount of fees paid to insurance companyUSD $7,226
Commission paid to Insurance BrokerUSD $22,158
Insurance broker organization code?4
Amount paid for insurance broker fees7226
Additional information about fees paid to insurance brokerDISTRIBUTION AND LOAN FEES
Insurance broker nameTAX SHELTERED COMPENSATION, INC.

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