401k Plan data: PENMAN & WINTON 401K PLAN plan

PENMAN & WINTON 401K PLAN 401k Plan overview

Plan Name	PENMAN & WINTON 401K PLAN
Plan identification number	001

PENMAN & WINTON 401K 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.
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

PENMAN & WINTON CONSULTING GROUP INC has sponsored the creation of one or more 401k plans.

Company Name: PENMAN & WINTON CONSULTING GROUP INC

Employer identification number (EIN): 431732207

NAIC Classification: 561490

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PENMAN & WINTON 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01 DAVID WINTON
001 2017-01-01
001 2016-01-01 DAVID WINTON
001 2015-01-01 DAVID WINTON
001 2014-01-01 DAVID WINTON
001 2013-01-01 DAVID WINTON
001 2012-01-01 DAVID WINTON 2013-10-11
001 2011-01-01 D. SCOTT PENMAN 2012-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01
001	2018-01-01	DAVID WINTON
001	2017-01-01
001	2016-01-01	DAVID WINTON
001	2015-01-01	DAVID WINTON
001	2014-01-01	DAVID WINTON
001	2013-01-01	DAVID WINTON
001	2012-01-01	DAVID WINTON	2013-10-11
001	2011-01-01	D. SCOTT PENMAN	2012-10-15

Plan Statistics for PENMAN & WINTON 401K PLAN

401k plan membership statisitcs for PENMAN & WINTON 401K PLAN

Measure Date Value
2019: PENMAN & WINTON 401K PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 5
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 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: PENMAN & WINTON 401K PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
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 5
Total of all active and inactive participants 2018-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 5
Number of participants with account balances 2018-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: PENMAN & WINTON 401K PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 8
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 2
Total of all active and inactive participants 2017-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 10
Number of participants with account balances 2017-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: PENMAN & WINTON 401K PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 8
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 1
Total of all active and inactive participants 2016-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 9
Number of participants with account balances 2016-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: PENMAN & WINTON 401K 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 5
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 1
Total of all active and inactive participants 2015-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 6
Number of participants with account balances 2015-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: PENMAN & WINTON 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 5
Number of retired or separated participants receiving benefits 2014-01-01 0
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 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 5
Number of participants with account balances 2014-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: PENMAN & WINTON 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 4
Number of retired or separated participants receiving benefits 2013-01-01 0
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 4
Number of participants with account balances 2013-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2019: PENMAN & WINTON 401K PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	5
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	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: PENMAN & WINTON 401K PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
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	5
Total of all active and inactive participants	2018-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	5
Number of participants with account balances	2018-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: PENMAN & WINTON 401K PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	8
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	2
Total of all active and inactive participants	2017-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	10
Number of participants with account balances	2017-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: PENMAN & WINTON 401K PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	8
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	1
Total of all active and inactive participants	2016-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	9
Number of participants with account balances	2016-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: PENMAN & WINTON 401K 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	5
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	1
Total of all active and inactive participants	2015-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	6
Number of participants with account balances	2015-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: PENMAN & WINTON 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	5
Number of retired or separated participants receiving benefits	2014-01-01	0
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	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	5
Number of participants with account balances	2014-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: PENMAN & WINTON 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	4
Number of retired or separated participants receiving benefits	2013-01-01	0
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	4
Number of participants with account balances	2013-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on PENMAN & WINTON 401K PLAN

Measure	Date	Value
2019 : PENMAN & WINTON 401K PLAN 2019 401k financial data
Total income from all sources	2019-10-31	$1,749
Expenses. Total of all expenses incurred	2019-10-31	$193,872
Benefits paid (including direct rollovers)	2019-10-31	$193,872
Total plan assets at end of year	2019-10-31	$0
Total plan assets at beginning of year	2019-10-31	$192,123
Value of fidelity bond covering the plan	2019-10-31	$100,000
Other income received	2019-10-31	$1,749
Net income (gross income less expenses)	2019-10-31	$-192,123
Net plan assets at end of year (total assets less liabilities)	2019-10-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-10-31	$192,123
Assets. Value of assets in partnership/joint-venture interests	2019-10-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-10-31	$0
2018 : PENMAN & WINTON 401K PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$68,141
Expenses. Total of all expenses incurred	2018-12-31	$399,692
Benefits paid (including direct rollovers)	2018-12-31	$398,370
Total plan assets at end of year	2018-12-31	$192,123
Total plan assets at beginning of year	2018-12-31	$523,674
Value of fidelity bond covering the plan	2018-12-31	$100,000
Total contributions received or receivable from participants	2018-12-31	$27,035
Other income received	2018-12-31	$31,764
Net income (gross income less expenses)	2018-12-31	$-331,551
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$192,123
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$523,674
Assets. Value of assets in partnership/joint-venture interests	2018-12-31	$143,612
Total contributions received or receivable from employer(s)	2018-12-31	$9,342
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$1,322
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : PENMAN & WINTON 401K PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$120,085
Expenses. Total of all expenses incurred	2017-12-31	$85
Total plan assets at end of year	2017-12-31	$523,674
Total plan assets at beginning of year	2017-12-31	$403,674
Value of fidelity bond covering the plan	2017-12-31	$100,000
Total contributions received or receivable from participants	2017-12-31	$50,673
Other income received	2017-12-31	$51,799
Net income (gross income less expenses)	2017-12-31	$120,000
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$523,674
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$403,674
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$125,091
Total contributions received or receivable from employer(s)	2017-12-31	$17,613
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$85
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : PENMAN & WINTON 401K PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$89,217
Expenses. Total of all expenses incurred	2016-12-31	$144
Total plan assets at end of year	2016-12-31	$403,674
Total plan assets at beginning of year	2016-12-31	$314,601
Value of fidelity bond covering the plan	2016-12-31	$100,000
Total contributions received or receivable from participants	2016-12-31	$49,347
Other income received	2016-12-31	$24,158
Net income (gross income less expenses)	2016-12-31	$89,073
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$403,674
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$314,601
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$65,074
Total contributions received or receivable from employer(s)	2016-12-31	$15,712
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$144
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : PENMAN & WINTON 401K PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$64,134
Expenses. Total of all expenses incurred	2015-12-31	$16
Total plan assets at end of year	2015-12-31	$314,601
Total plan assets at beginning of year	2015-12-31	$250,483
Value of fidelity bond covering the plan	2015-12-31	$100,000
Total contributions received or receivable from participants	2015-12-31	$41,148
Other income received	2015-12-31	$11,608
Net income (gross income less expenses)	2015-12-31	$64,118
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$314,601
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$250,483
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$53,708
Total contributions received or receivable from employer(s)	2015-12-31	$11,378
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$16
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : PENMAN & WINTON 401K PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$73,963
Expenses. Total of all expenses incurred	2014-12-31	$96
Total plan assets at end of year	2014-12-31	$250,483
Total plan assets at beginning of year	2014-12-31	$176,616
Value of fidelity bond covering the plan	2014-12-31	$100,000
Total contributions received or receivable from participants	2014-12-31	$41,752
Other income received	2014-12-31	$20,044
Net income (gross income less expenses)	2014-12-31	$73,867
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$250,483
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$176,616
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$37,524
Total contributions received or receivable from employer(s)	2014-12-31	$12,167
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$96
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : PENMAN & WINTON 401K PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$68,482
Expenses. Total of all expenses incurred	2013-12-31	$8,088
Benefits paid (including direct rollovers)	2013-12-31	$8,056
Total plan assets at end of year	2013-12-31	$176,616
Total plan assets at beginning of year	2013-12-31	$116,222
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$46,023
Other income received	2013-12-31	$11,413
Net income (gross income less expenses)	2013-12-31	$60,394
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$176,616
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$116,222
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$29,660
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2013-12-31	$476
Total contributions received or receivable from employer(s)	2013-12-31	$11,046
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$32
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0

Form 5500 Responses for PENMAN & WINTON 401K PLAN

2019: PENMAN & WINTON 401K 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	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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
2018: PENMAN & WINTON 401K 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 – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: PENMAN & WINTON 401K PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: PENMAN & WINTON 401K PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: PENMAN & WINTON 401K 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	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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: PENMAN & WINTON 401K 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: PENMAN & WINTON 401K 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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	PENMAN & WINTON CONSULTING GROUP INC
Employer identification number (EIN):	431732207
NAIC Classification:	561490