401k Plan data: A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN plan

A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	003

A.C.E. RESTAURANT GROUP, INC. 401(K) 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.
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

HOULIHAN'S RESTAURANTS, INC. has sponsored the creation of one or more 401k plans.

Company Name: HOULIHAN'S RESTAURANTS, INC.

Employer identification number (EIN): 431618489

NAIC Classification: 722511
NAIC Description: Full-Service Restaurants

Additional information about HOULIHAN'S RESTAURANTS, INC.

Jurisdiction of Incorporation: Georgia Department of States Corporations Division

Incorporation Date: 1992-09-24

Company Identification Number: 858992

Legal Registered Office Address: 8700 STATE LINE ROAD SUITE 100

LEAWOOD
United States of America (USA)
66206

More information about HOULIHAN'S RESTAURANTS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2020-01-01
003 2019-01-01 JULIE COPELAND 2020-09-09
003 2018-01-01 PATRICIA HUGG 2019-10-01

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
003	2020-01-01
003	2019-01-01	JULIE COPELAND	2020-09-09
003	2018-01-01	PATRICIA HUGG	2019-10-01

Plan Statistics for A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2019: A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 121
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
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 87
Total of all active and inactive participants 2019-01-01 87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 87
Number of participants with account balances 2019-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 111
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 102
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 19
Total of all active and inactive participants 2018-01-01 121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 121
Number of participants with account balances 2018-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0

Measure	Date	Value
2019: A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	121
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
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	87
Total of all active and inactive participants	2019-01-01	87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	87
Number of participants with account balances	2019-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	111
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	102
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	19
Total of all active and inactive participants	2018-01-01	121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	121
Number of participants with account balances	2018-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0

Financial Data on A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2019 : A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	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 income from all sources (including contributions)	2019-12-31	$570,013
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$163,021
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$159,895
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$166,281
Value of total assets at end of year	2019-12-31	$2,293,927
Value of total assets at beginning of year	2019-12-31	$1,886,935
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$3,126
Total interest from all sources	2019-12-31	$5,120
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$188,694
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
Participant contributions at end of year	2019-12-31	$97,216
Participant contributions at beginning of year	2019-12-31	$101,506
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$3,307
Administrative expenses (other) incurred	2019-12-31	$3,126
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	$406,992
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$2,293,927
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,886,935
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 leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in pooled separate accounts at end of year	2019-12-31	$2,160,105
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$1,736,895
Interest on participant loans	2019-12-31	$3,675
Interest earned on other investments	2019-12-31	$1,445
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$36,606
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$48,534
Net investment gain/loss from pooled separate accounts	2019-12-31	$398,612
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
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	$162,974
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$159,895
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
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
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	MAYER HOFFMAN MCCANN PC
Accountancy firm EIN	2019-12-31	431947695
2018 : A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$101,956
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$131,106
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$128,194
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$194,514
Value of total assets at end of year	2018-12-31	$1,886,935
Value of total assets at beginning of year	2018-12-31	$1,916,085
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,912
Total interest from all sources	2018-12-31	$5,423
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$191,609
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$194,514
Participant contributions at end of year	2018-12-31	$101,506
Participant contributions at beginning of year	2018-12-31	$105,450
Administrative expenses (other) incurred	2018-12-31	$2,912
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-29,150
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$1,886,935
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$1,916,085
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in pooled separate accounts at end of year	2018-12-31	$1,736,895
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$1,767,912
Interest on participant loans	2018-12-31	$3,868
Interest earned on other investments	2018-12-31	$1,555
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$48,534
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$42,723
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$0
Net investment gain/loss from pooled separate accounts	2018-12-31	$-97,981
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$128,194
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	MAYER HOFFMAN MCCANN PC
Accountancy firm EIN	2018-12-31	431947695

Form 5500 Responses for A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN

2019: A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING 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 – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: A.C.E. RESTAURANT GROUP, INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

828158

Policy instance

Insurance contract or identification number	828158
Number of Individuals Covered	84
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $987
Are there contracts with allocated funds for individual policies?	0
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
Amount paid for insurance broker fees	987
Additional information about fees paid to insurance broker	TPA ADMINISTRATOR ALLOWANCE
Insurance broker organization code?	5

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

828158

Policy instance

Insurance contract or identification number	828158
Number of Individuals Covered	82
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $1,881
Total amount of fees paid to insurance company	USD $720
Are there contracts with allocated funds for individual policies?	0
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
Commission paid to Insurance Broker	USD $1,881
Insurance broker organization code?	3
Amount paid for insurance broker fees	720
Additional information about fees paid to insurance broker	TPA ADMINISTRATOR ALLOWANCE

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Company Name:	HOULIHAN'S RESTAURANTS, INC.
Employer identification number (EIN):	431618489
NAIC Classification:	722511
NAIC Description:	Full-Service Restaurants

Jurisdiction of Incorporation:	Georgia Department of States Corporations Division
Incorporation Date:	1992-09-24
Company Identification Number:	858992
Legal Registered Office Address:	8700 STATE LINE ROAD SUITE 100 LEAWOOD United States of America (USA) 66206