401k Plan data: CAPASSO & ASSOCIATES LLC 401(K) PLAN plan

CAPASSO & ASSOCIATES LLC 401(K) PLAN 401k Plan overview

Plan Name	CAPASSO & ASSOCIATES LLC 401(K) PLAN
Plan identification number	001

CAPASSO & ASSOCIATES LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

CAPASSO & ASSOCIATES LLC has sponsored the creation of one or more 401k plans.

Company Name: CAPASSO & ASSOCIATES LLC

Employer identification number (EIN): 461214076

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPASSO & ASSOCIATES LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 DONNA SCHULTZ 2023-09-29
001 2021-01-01 DONNA SCHULTZ 2022-10-04
001 2020-01-01 DONNA SCHULTZ 2021-10-08
001 2019-01-01 DONNA SCHULTZ 2020-04-27
001 2018-01-01 DONNA SCHULTZ 2019-10-03
001 2017-01-01 DONNA SCHULTZ 2018-05-21
001 2016-01-01 DONNA SCHULTZ 2017-04-12
001 2015-01-01 DONNA SCHULTZ 2017-04-12
001 2015-01-01 DONNA SCHULTZ 2016-08-03
001 2014-01-01 DONNA SCHULTZ 2015-07-14
001 2013-01-15 VINCENT CAPASSO JR

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	DONNA SCHULTZ	2023-09-29
001	2021-01-01	DONNA SCHULTZ	2022-10-04
001	2020-01-01	DONNA SCHULTZ	2021-10-08
001	2019-01-01	DONNA SCHULTZ	2020-04-27
001	2018-01-01	DONNA SCHULTZ	2019-10-03
001	2017-01-01	DONNA SCHULTZ	2018-05-21
001	2016-01-01	DONNA SCHULTZ	2017-04-12
001	2015-01-01	DONNA SCHULTZ	2017-04-12
001	2015-01-01	DONNA SCHULTZ	2016-08-03
001	2014-01-01	DONNA SCHULTZ	2015-07-14
001	2013-01-15	VINCENT CAPASSO JR

Plan Statistics for CAPASSO & ASSOCIATES LLC 401(K) PLAN

401k plan membership statisitcs for CAPASSO & ASSOCIATES LLC 401(K) PLAN

Measure Date Value
2013: CAPASSO & ASSOCIATES LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-15 0
Total number of active participants reported on line 7a of the Form 5500 2013-01-15 6
Number of retired or separated participants receiving benefits 2013-01-15 0
Number of other retired or separated participants entitled to future benefits 2013-01-15 0
Total of all active and inactive participants 2013-01-15 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-15 0
Total participants 2013-01-15 6
Number of participants with account balances 2013-01-15 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-15 0

Measure	Date	Value
2013: CAPASSO & ASSOCIATES LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-15	0
Total number of active participants reported on line 7a of the Form 5500	2013-01-15	6
Number of retired or separated participants receiving benefits	2013-01-15	0
Number of other retired or separated participants entitled to future benefits	2013-01-15	0
Total of all active and inactive participants	2013-01-15	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-15	0
Total participants	2013-01-15	6
Number of participants with account balances	2013-01-15	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-15	0

Financial Data on CAPASSO & ASSOCIATES LLC 401(K) PLAN

Measure	Date	Value
2013 : CAPASSO & ASSOCIATES LLC 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$557,487
Total income from all sources	2013-12-31	$90,361
Expenses. Total of all expenses incurred	2013-12-31	$0
Benefits paid (including direct rollovers)	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$647,848
Total plan assets at beginning of year	2013-12-31	$0
Value of fidelity bond covering the plan	2013-12-31	$41,500
Total contributions received or receivable from participants	2013-12-31	$32,570
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$57,791
Net income (gross income less expenses)	2013-12-31	$90,361
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$647,848
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$0
Assets. Value of participant loans	2013-12-31	$0
Total contributions received or receivable from employer(s)	2013-12-31	$0
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0

Form 5500 Responses for CAPASSO & ASSOCIATES LLC 401(K) PLAN

2013: CAPASSO & ASSOCIATES LLC 401(K) PLAN 2013 form 5500 responses
2013-01-15	Type of plan entity	Single employer plan
2013-01-15	First time form 5500 has been submitted	Yes
2013-01-15	Submission has been amended	No
2013-01-15	This submission is the final filing	No
2013-01-15	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-01-15	Plan is a collectively bargained plan	No
2013-01-15	Plan funding arrangement – Insurance	Yes
2013-01-15	Plan funding arrangement – Trust	Yes
2013-01-15	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

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

Policy contract number

GA-832544

Policy instance

Insurance contract or identification number	GA-832544
Number of Individuals Covered	4
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $5,899
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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 $5,899
Insurance broker organization code?	3
Insurance broker name	SBHU LIFE AGCY INC

Potentially related plans

CAPASSO & MASSARONI LLP 401(K) PLAN [EIN = 141700238]

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Company Name:	CAPASSO & ASSOCIATES LLC
Employer identification number (EIN):	461214076
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers