401k Plan data: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN plan

HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	003

HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Profit-sharing Stock bonus Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP. The employer maintaining this ESOP is an S Corporation

401k Sponsoring company profile

HC YU & ASSOCIATES CONSULTING ENGINEERS, INC. has sponsored the creation of one or more 401k plans.

Company Name: HC YU & ASSOCIATES CONSULTING ENGINEERS, INC.

Employer identification number (EIN): 541150516

NAIC Classification: 812990
NAIC Description: All Other Personal Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2015-01-01
003 2014-01-01 HSING YU
003 2013-01-01 HSING YU
003 2012-01-01 MARILYN SMALL MARILYN SMALL 2013-08-28
003 2011-01-01 MARILYN SMALL
003 2009-01-01 MARILYN SMALL

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2015-01-01
003	2014-01-01	HSING YU
003	2013-01-01	HSING YU
003	2012-01-01	MARILYN SMALL	MARILYN SMALL	2013-08-28
003	2011-01-01	MARILYN SMALL
003	2009-01-01	MARILYN SMALL

Plan Statistics for HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2015: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 69
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1
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 19
Total of all active and inactive participants 2014-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 20
Number of participants with account balances 2014-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 71
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 21
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 48
Total of all active and inactive participants 2013-01-01 69
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 69
Number of participants with account balances 2013-01-01 69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 4
2012: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 71
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 26
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 45
Total of all active and inactive participants 2012-01-01 71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 71
Number of participants with account balances 2012-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 4
2011: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 72
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 32
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 39
Total of all active and inactive participants 2011-01-01 71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 71
Number of participants with account balances 2011-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 18
2009: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 45
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 44
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 14
Total of all active and inactive participants 2009-01-01 58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 58
Number of participants with account balances 2009-01-01 58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 4

Measure	Date	Value
2015: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	69
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1
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	19
Total of all active and inactive participants	2014-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	20
Number of participants with account balances	2014-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	71
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	21
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	48
Total of all active and inactive participants	2013-01-01	69
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	69
Number of participants with account balances	2013-01-01	69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	4
2012: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	71
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	26
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	45
Total of all active and inactive participants	2012-01-01	71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	71
Number of participants with account balances	2012-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	4
2011: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	72
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	32
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	39
Total of all active and inactive participants	2011-01-01	71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	71
Number of participants with account balances	2011-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	18
2009: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	45
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	44
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	14
Total of all active and inactive participants	2009-01-01	58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	58
Number of participants with account balances	2009-01-01	58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	4

Financial Data on HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2015 : HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total income from all sources	2015-09-30	$0
Expenses. Total of all expenses incurred	2015-09-30	$12,592
Benefits paid (including direct rollovers)	2015-09-30	$12,592
Total plan assets at end of year	2015-09-30	$0
Total plan assets at beginning of year	2015-09-30	$12,592
Value of fidelity bond covering the plan	2015-09-30	$360,000
Net income (gross income less expenses)	2015-09-30	$-12,592
Net plan assets at end of year (total assets less liabilities)	2015-09-30	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-09-30	$12,592
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-09-30	$0
2014 : HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$0
Expenses. Total of all expenses incurred	2014-12-31	$25,079
Benefits paid (including direct rollovers)	2014-12-31	$25,079
Total plan assets at end of year	2014-12-31	$12,592
Total plan assets at beginning of year	2014-12-31	$37,671
Value of fidelity bond covering the plan	2014-12-31	$360,000
Net income (gross income less expenses)	2014-12-31	$-25,079
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$12,592
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$37,671
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$-533,042
Expenses. Total of all expenses incurred	2013-12-31	$14,583
Benefits paid (including direct rollovers)	2013-12-31	$14,583
Total plan assets at end of year	2013-12-31	$37,671
Total plan assets at beginning of year	2013-12-31	$585,296
Value of fidelity bond covering the plan	2013-12-31	$360,000
Other income received	2013-12-31	$-533,042
Net income (gross income less expenses)	2013-12-31	$-547,625
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$37,671
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$585,296
Assets. Value of employer securities	2013-12-31	$37,570
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$134,806
Total income from all sources	2012-12-31	$-72,855
Expenses. Total of all expenses incurred	2012-12-31	$19,319
Benefits paid (including direct rollovers)	2012-12-31	$19,319
Total plan assets at end of year	2012-12-31	$585,296
Total plan assets at beginning of year	2012-12-31	$812,276
Value of fidelity bond covering the plan	2012-12-31	$360,000
Total contributions received or receivable from participants	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$-229,800
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$-92,174
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$585,296
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$677,470
Assets. Value of employer securities	2012-12-31	$513,825
Total contributions received or receivable from employer(s)	2012-12-31	$156,945
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$134,806
Total plan liabilities at beginning of year	2011-12-31	$134,806
Total income from all sources	2011-12-31	$-595,255
Expenses. Total of all expenses incurred	2011-12-31	$3,655
Benefits paid (including direct rollovers)	2011-12-31	$3,655
Total plan assets at end of year	2011-12-31	$812,276
Total plan assets at beginning of year	2011-12-31	$1,411,186
Value of fidelity bond covering the plan	2011-12-31	$360,000
Other income received	2011-12-31	$-598,910
Net income (gross income less expenses)	2011-12-31	$-598,910
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$677,470
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,276,380
Assets. Value of employer securities	2011-12-31	$812,175
Total contributions received or receivable from employer(s)	2011-12-31	$3,655
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$134,806
Total plan liabilities at beginning of year	2010-12-31	$513,385
Total income from all sources	2010-12-31	$94,061
Expenses. Total of all expenses incurred	2010-12-31	$52,507
Benefits paid (including direct rollovers)	2010-12-31	$18,208
Total plan assets at end of year	2010-12-31	$1,411,186
Total plan assets at beginning of year	2010-12-31	$1,748,211
Value of fidelity bond covering the plan	2010-12-31	$360,000
Expenses. Other expenses not covered elsewhere	2010-12-31	$34,299
Other income received	2010-12-31	$-337,025
Net income (gross income less expenses)	2010-12-31	$41,554
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,276,380
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,234,826
Assets. Value of employer securities	2010-12-31	$1,411,085
Total contributions received or receivable from employer(s)	2010-12-31	$431,086
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN

2015: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP 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	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP 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: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP 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
2012: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: HC YU & ASSOCIATES EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	HC YU & ASSOCIATES CONSULTING ENGINEERS, INC.
Employer identification number (EIN):	541150516
NAIC Classification:	812990
NAIC Description:	All Other Personal Services