401k Plan data: SM&K HOLDINGS CORPORATION 401(K) PLAN plan

SM&K HOLDINGS CORPORATION 401(K) PLAN 401k Plan overview

Plan Name	SM&K HOLDINGS CORPORATION 401(K) PLAN
Plan identification number	001

SM&K HOLDINGS CORPORATION 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.
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

SM&K HOLDINGS CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: SM&K HOLDINGS CORPORATION

Employer identification number (EIN): 464349092

NAIC Classification: 713900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SM&K HOLDINGS CORPORATION 401(K) 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 ANDREW S CHUNG ANDREW S CHUNG 2019-02-20
001 2017-01-01 ANDREW CHUNG ANDREW CHUNG 2018-10-05
001 2017-01-01 ANDREW S CHUNG ANDREW S CHUNG 2019-02-20
001 2016-01-01 ANDREW S. CHUNG 2019-01-15
001 2015-01-01 ANDREW S. CHUNG ANDREW S. CHUNG 2016-10-16
001 2015-01-01 ANDREW S. CHUNG ANDREW S. CHUNG 2016-11-21
001 2014-01-01 ANDREW S CHUNG ANDREW S CHUNG 2015-09-18

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01	ANDREW S CHUNG	ANDREW S CHUNG	2019-02-20
001	2017-01-01	ANDREW CHUNG	ANDREW CHUNG	2018-10-05
001	2017-01-01	ANDREW S CHUNG	ANDREW S CHUNG	2019-02-20
001	2016-01-01		ANDREW S. CHUNG	2019-01-15
001	2015-01-01	ANDREW S. CHUNG	ANDREW S. CHUNG	2016-10-16
001	2015-01-01	ANDREW S. CHUNG	ANDREW S. CHUNG	2016-11-21
001	2014-01-01	ANDREW S CHUNG	ANDREW S CHUNG	2015-09-18

Plan Statistics for SM&K HOLDINGS CORPORATION 401(K) PLAN

401k plan membership statisitcs for SM&K HOLDINGS CORPORATION 401(K) PLAN

Measure Date Value
2019: SM&K HOLDINGS CORPORATION 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 1
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: SM&K HOLDINGS CORPORATION 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 9
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 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 1
Number of participants with account balances 2018-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: SM&K HOLDINGS CORPORATION 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 7
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 0
Total of all active and inactive participants 2017-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 7
Number of participants with account balances 2017-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: SM&K HOLDINGS CORPORATION 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 6
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 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 7
Number of participants with account balances 2016-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: SM&K HOLDINGS CORPORATION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 4
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 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 5
Number of participants with account balances 2015-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SM&K HOLDINGS CORPORATION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 3
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 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 3
Number of participants with account balances 2014-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2019: SM&K HOLDINGS CORPORATION 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	1
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: SM&K HOLDINGS CORPORATION 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	9
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	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	1
Number of participants with account balances	2018-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: SM&K HOLDINGS CORPORATION 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	7
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	0
Total of all active and inactive participants	2017-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	7
Number of participants with account balances	2017-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: SM&K HOLDINGS CORPORATION 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	6
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	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	7
Number of participants with account balances	2016-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: SM&K HOLDINGS CORPORATION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	4
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	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	5
Number of participants with account balances	2015-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SM&K HOLDINGS CORPORATION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	3
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	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	3
Number of participants with account balances	2014-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on SM&K HOLDINGS CORPORATION 401(K) PLAN

Measure	Date	Value
2019 : SM&K HOLDINGS CORPORATION 401(K) PLAN 2019 401k financial data
Transfers to/from the plan	2019-08-10	$0
Total plan liabilities at end of year	2019-08-10	$0
Total plan liabilities at beginning of year	2019-08-10	$0
Total income from all sources	2019-08-10	$233
Expenses. Total of all expenses incurred	2019-08-10	$1,319
Benefits paid (including direct rollovers)	2019-08-10	$1,319
Total plan assets at end of year	2019-08-10	$0
Total plan assets at beginning of year	2019-08-10	$1,086
Total contributions received or receivable from participants	2019-08-10	$0
Expenses. Other expenses not covered elsewhere	2019-08-10	$0
Contributions received from other sources (not participants or employers)	2019-08-10	$0
Other income received	2019-08-10	$233
Noncash contributions received	2019-08-10	$0
Net income (gross income less expenses)	2019-08-10	$-1,086
Net plan assets at end of year (total assets less liabilities)	2019-08-10	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-08-10	$1,086
Total contributions received or receivable from employer(s)	2019-08-10	$0
Value of certain deemed distributions of participant loans	2019-08-10	$0
Value of corrective distributions	2019-08-10	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-08-10	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-08-10	$0
2018 : SM&K HOLDINGS CORPORATION 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$1,238
Expenses. Total of all expenses incurred	2018-12-31	$62,247
Benefits paid (including direct rollovers)	2018-12-31	$61,564
Total plan assets at end of year	2018-12-31	$1,086
Total plan assets at beginning of year	2018-12-31	$62,095
Total contributions received or receivable from participants	2018-12-31	$0
Expenses. Other expenses not covered elsewhere	2018-12-31	$683
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$1,238
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$-61,009
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$1,086
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$62,095
Total contributions received or receivable from employer(s)	2018-12-31	$0
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : SM&K HOLDINGS CORPORATION 401(K) PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$-36,451
Expenses. Total of all expenses incurred	2017-12-31	$2,500
Benefits paid (including direct rollovers)	2017-12-31	$2,475
Total plan assets at end of year	2017-12-31	$61,050
Total plan assets at beginning of year	2017-12-31	$100,001
Total contributions received or receivable from participants	2017-12-31	$0
Expenses. Other expenses not covered elsewhere	2017-12-31	$25
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$-36,451
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$-38,951
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$61,050
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$100,001
Assets. Value of employer securities	2017-12-31	$0
Total contributions received or receivable from employer(s)	2017-12-31	$0
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : SM&K HOLDINGS CORPORATION 401(K) PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$41,804
Expenses. Total of all expenses incurred	2016-12-31	$11,136
Benefits paid (including direct rollovers)	2016-12-31	$11,111
Total plan assets at end of year	2016-12-31	$99,963
Total plan assets at beginning of year	2016-12-31	$69,295
Total contributions received or receivable from participants	2016-12-31	$0
Expenses. Other expenses not covered elsewhere	2016-12-31	$25
Contributions received from other sources (not participants or employers)	2016-12-31	$52,034
Other income received	2016-12-31	$-10,230
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$30,668
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$99,963
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$69,295
Assets. Value of employer securities	2016-12-31	$36,605
Total contributions received or receivable from employer(s)	2016-12-31	$0
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$0
2015 : SM&K HOLDINGS CORPORATION 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$-7
Expenses. Total of all expenses incurred	2015-12-31	$0
Benefits paid (including direct rollovers)	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$69,336
Total plan assets at beginning of year	2015-12-31	$69,343
Total contributions received or receivable from participants	2015-12-31	$1,038
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$16,566
Other income received	2015-12-31	$-18,448
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$-7
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$69,336
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$69,343
Assets. Value of employer securities	2015-12-31	$50,151
Total contributions received or receivable from employer(s)	2015-12-31	$837
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$0
2014 : SM&K HOLDINGS CORPORATION 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$69,343
Expenses. Total of all expenses incurred	2014-12-31	$0
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$69,343
Total plan assets at beginning of year	2014-12-31	$0
Total contributions received or receivable from participants	2014-12-31	$200
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$100,000
Other income received	2014-12-31	$-31,057
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$69,343
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$69,343
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$0
Assets. Value of employer securities	2014-12-31	$68,943
Total contributions received or receivable from employer(s)	2014-12-31	$200
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0

Form 5500 Responses for SM&K HOLDINGS CORPORATION 401(K) PLAN

2019: SM&K HOLDINGS CORPORATION 401(K) 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: SM&K HOLDINGS CORPORATION 401(K) 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: SM&K HOLDINGS CORPORATION 401(K) 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: SM&K HOLDINGS CORPORATION 401(K) 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: SM&K HOLDINGS CORPORATION 401(K) 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: SM&K HOLDINGS CORPORATION 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	First time form 5500 has been submitted	Yes
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

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Company Name:	SM&K HOLDINGS CORPORATION
Employer identification number (EIN):	464349092
NAIC Classification:	713900