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CARTERET MANAGEMENT CORPORATION 401(K) PLAN 401k Plan overview

Plan NameCARTERET MANAGEMENT CORPORATION 401(K) PLAN
Plan identification number 101

CARTERET MANAGEMENT CORPORATION 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CARTERET MANAGEMENT CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:CARTERET MANAGEMENT CORPORATION
Employer identification number (EIN):591348025
NAIC Classification:713100
NAIC Description: Amusement Parks and Arcades

Additional information about CARTERET MANAGEMENT CORPORATION

Jurisdiction of Incorporation: Florida Department of State Division of Corporations
Incorporation Date: 1971-03-25
Company Identification Number: 379428
Legal Registered Office Address: 5300 W. CYPRESS STREET

TAMPA

33607

More information about CARTERET MANAGEMENT CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CARTERET MANAGEMENT CORPORATION 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
1012022-01-01
1012021-01-01
1012020-01-01
1012020-01-01
1012019-01-01
1012019-01-01
1012018-01-01
1012018-01-01
1012017-01-01PHIL TISUE
1012016-01-01PHIL TISUE
1012015-01-01PHIL TISUE
1012014-01-01PHIL TISUE
1012013-01-01PHIL TISUE
1012012-04-20PHIL TISUE

Plan Statistics for CARTERET MANAGEMENT CORPORATION 401(K) PLAN

401k plan membership statisitcs for CARTERET MANAGEMENT CORPORATION 401(K) PLAN

Measure Date Value
2022: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01131
Total number of active participants reported on line 7a of the Form 55002022-01-01126
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-016
Total of all active and inactive participants2022-01-01132
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01132
Number of participants with account balances2022-01-0136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-012
2021: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01131
Total number of active participants reported on line 7a of the Form 55002021-01-01128
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-015
Total of all active and inactive participants2021-01-01133
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01133
Number of participants with account balances2021-01-0134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-012
2020: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01124
Total number of active participants reported on line 7a of the Form 55002020-01-01129
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-016
Total of all active and inactive participants2020-01-01135
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01135
Number of participants with account balances2020-01-0131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01120
Total number of active participants reported on line 7a of the Form 55002019-01-01115
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-016
Total of all active and inactive participants2019-01-01122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01122
Number of participants with account balances2019-01-0129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-012
2018: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01111
Total number of active participants reported on line 7a of the Form 55002018-01-01106
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-018
Total of all active and inactive participants2018-01-01114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01114
Number of participants with account balances2018-01-0132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-011
2017: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01124
Total number of active participants reported on line 7a of the Form 55002017-01-01109
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0110
Total of all active and inactive participants2017-01-01119
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01119
Number of participants with account balances2017-01-0134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-011
2016: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01112
Total number of active participants reported on line 7a of the Form 55002016-01-01106
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0114
Total of all active and inactive participants2016-01-01120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01120
Number of participants with account balances2016-01-0134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-012
2015: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01134
Total number of active participants reported on line 7a of the Form 55002015-01-0190
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-0116
Total of all active and inactive participants2015-01-01107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01107
Number of participants with account balances2015-01-0130
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-011
2014: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01150
Total number of active participants reported on line 7a of the Form 55002014-01-01126
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-018
Total of all active and inactive participants2014-01-01134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01134
Number of participants with account balances2014-01-0125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01151
Total number of active participants reported on line 7a of the Form 55002013-01-01140
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0110
Total of all active and inactive participants2013-01-01150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01150
Number of participants with account balances2013-01-0124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-04-200
Total number of active participants reported on line 7a of the Form 55002012-04-20141
Number of retired or separated participants receiving benefits2012-04-200
Number of other retired or separated participants entitled to future benefits2012-04-2010
Total of all active and inactive participants2012-04-20151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-04-200
Total participants2012-04-20151
Number of participants with account balances2012-04-2027
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-04-200

Financial Data on CARTERET MANAGEMENT CORPORATION 401(K) PLAN

Measure Date Value
2022 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$3,475
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$9,286
Total income from all sources (including contributions)2022-12-31$-47,814
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$19,859
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$11,348
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$64,624
Value of total assets at end of year2022-12-31$665,261
Value of total assets at beginning of year2022-12-31$738,745
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$8,511
Total interest from all sources2022-12-31$1,248
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$45,158
Participant contributions at end of year2022-12-31$14,884
Participant contributions at beginning of year2022-12-31$17,925
Participant contributions at end of year2022-12-31$0
Participant contributions at beginning of year2022-12-31$3,033
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$1,442
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$3,475
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$9,286
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-67,673
Value of net assets at end of year (total assets less liabilities)2022-12-31$661,786
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$729,459
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in pooled separate accounts at end of year2022-12-31$582,087
Value of interest in pooled separate accounts at beginning of year2022-12-31$632,565
Interest on participant loans2022-12-31$341
Interest earned on other investments2022-12-31$907
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$68,290
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$79,474
Net investment gain/loss from pooled separate accounts2022-12-31$-113,686
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$18,024
Employer contributions (assets) at end of year2022-12-31$0
Employer contributions (assets) at beginning of year2022-12-31$5,748
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$11,348
Contract administrator fees2022-12-31$8,511
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31COULTER & JUSTUS
Accountancy firm EIN2022-12-31621532536
2021 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$9,286
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$58,149
Total income from all sources (including contributions)2021-12-31$152,018
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$37,630
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$30,615
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$65,233
Value of total assets at end of year2021-12-31$738,745
Value of total assets at beginning of year2021-12-31$673,220
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$7,015
Total interest from all sources2021-12-31$1,114
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$44,214
Participant contributions at end of year2021-12-31$17,925
Participant contributions at beginning of year2021-12-31$2,204
Participant contributions at end of year2021-12-31$3,033
Participant contributions at beginning of year2021-12-31$22,256
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$9,286
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$58,149
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$114,388
Value of net assets at end of year (total assets less liabilities)2021-12-31$729,459
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$615,071
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in pooled separate accounts at end of year2021-12-31$632,565
Value of interest in pooled separate accounts at beginning of year2021-12-31$599,358
Interest on participant loans2021-12-31$279
Interest earned on other investments2021-12-31$835
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$79,474
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$41,915
Net investment gain/loss from pooled separate accounts2021-12-31$85,671
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$21,019
Employer contributions (assets) at end of year2021-12-31$5,748
Employer contributions (assets) at beginning of year2021-12-31$7,487
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$30,615
Contract administrator fees2021-12-31$7,015
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31COULTER & JUSTUS
Accountancy firm EIN2021-12-31621532536
2020 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$58,149
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$35,502
Total income from all sources (including contributions)2020-12-31$231,051
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$55,968
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$48,086
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$154,303
Value of total assets at end of year2020-12-31$673,220
Value of total assets at beginning of year2020-12-31$475,490
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$7,882
Total interest from all sources2020-12-31$916
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$120,716
Participant contributions at end of year2020-12-31$2,204
Participant contributions at beginning of year2020-12-31$5,017
Participant contributions at end of year2020-12-31$22,256
Participant contributions at beginning of year2020-12-31$13,583
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$58,149
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$35,502
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$175,083
Value of net assets at end of year (total assets less liabilities)2020-12-31$615,071
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$439,988
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in pooled separate accounts at end of year2020-12-31$599,358
Value of interest in pooled separate accounts at beginning of year2020-12-31$406,128
Interest on participant loans2020-12-31$226
Interest earned on other investments2020-12-31$690
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$41,915
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$44,128
Net investment gain/loss from pooled separate accounts2020-12-31$75,832
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$33,587
Employer contributions (assets) at end of year2020-12-31$7,487
Employer contributions (assets) at beginning of year2020-12-31$6,634
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$48,086
Contract administrator fees2020-12-31$7,882
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31COULTER & JUSTUS
Accountancy firm EIN2020-12-31621532536
2019 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$35,502
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$17,728
Total income from all sources (including contributions)2019-12-31$208,079
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$119,895
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$114,493
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$134,254
Value of total assets at end of year2019-12-31$475,490
Value of total assets at beginning of year2019-12-31$369,532
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$5,402
Total interest from all sources2019-12-31$890
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 year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$105,148
Participant contributions at end of year2019-12-31$5,017
Participant contributions at beginning of year2019-12-31$1,340
Participant contributions at end of year2019-12-31$13,583
Participant contributions at beginning of year2019-12-31$4,423
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$35,502
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$17,728
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$88,184
Value of net assets at end of year (total assets less liabilities)2019-12-31$439,988
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$351,804
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in pooled separate accounts at end of year2019-12-31$406,128
Value of interest in pooled separate accounts at beginning of year2019-12-31$318,521
Interest on participant loans2019-12-31$165
Interest earned on other investments2019-12-31$725
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$44,128
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$43,525
Net investment gain/loss from pooled separate accounts2019-12-31$72,935
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$29,106
Employer contributions (assets) at end of year2019-12-31$6,634
Employer contributions (assets) at beginning of year2019-12-31$1,723
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$114,493
Contract administrator fees2019-12-31$5,402
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31COULTER & JUSTUS
Accountancy firm EIN2019-12-31621532536
2018 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$17,728
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$13,358
Total income from all sources (including contributions)2018-12-31$80,005
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$117,176
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$112,323
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$103,091
Value of total assets at end of year2018-12-31$369,532
Value of total assets at beginning of year2018-12-31$402,333
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$4,853
Total interest from all sources2018-12-31$1,373
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 year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$77,421
Participant contributions at end of year2018-12-31$1,340
Participant contributions at beginning of year2018-12-31$0
Participant contributions at end of year2018-12-31$4,423
Participant contributions at beginning of year2018-12-31$3,537
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$17,728
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$13,358
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-37,171
Value of net assets at end of year (total assets less liabilities)2018-12-31$351,804
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$388,975
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in pooled separate accounts at end of year2018-12-31$318,521
Value of interest in pooled separate accounts at beginning of year2018-12-31$278,591
Interest on participant loans2018-12-31$29
Interest earned on other investments2018-12-31$1,344
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$43,525
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$118,731
Net investment gain/loss from pooled separate accounts2018-12-31$-24,459
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$25,670
Employer contributions (assets) at end of year2018-12-31$1,723
Employer contributions (assets) at beginning of year2018-12-31$1,474
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$112,323
Contract administrator fees2018-12-31$4,853
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31COULTER & JUSTUS
Accountancy firm EIN2018-12-31621532536
2017 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$13,358
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$127,502
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$94,376
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$90,195
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$89,495
Value of total assets at end of year2017-12-31$402,333
Value of total assets at beginning of year2017-12-31$355,849
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$4,181
Total interest from all sources2017-12-31$2,271
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$67,275
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$36,292
Participant contributions at end of year2017-12-31$3,537
Participant contributions at beginning of year2017-12-31$2,810
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-12-31$13,358
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$33,126
Value of net assets at end of year (total assets less liabilities)2017-12-31$388,975
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$355,849
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in pooled separate accounts at end of year2017-12-31$278,591
Value of interest in pooled separate accounts at beginning of year2017-12-31$203,963
Interest on participant loans2017-12-31$785
Interest earned on other investments2017-12-31$1,486
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$118,731
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$111,911
Net investment gain/loss from pooled separate accounts2017-12-31$35,736
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$22,220
Employer contributions (assets) at end of year2017-12-31$1,474
Employer contributions (assets) at beginning of year2017-12-31$873
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$90,195
Contract administrator fees2017-12-31$4,181
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31COULTER & JUSTUS
Accountancy firm EIN2017-12-31621532536
2016 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$91,810
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$38,403
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$34,418
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$74,933
Value of total assets at end of year2016-12-31$355,849
Value of total assets at beginning of year2016-12-31$302,442
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$3,985
Total interest from all sources2016-12-31$2,177
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$55,630
Participant contributions at end of year2016-12-31$36,292
Participant contributions at beginning of year2016-12-31$20,275
Participant contributions at end of year2016-12-31$2,810
Participant contributions at beginning of year2016-12-31$1,242
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$53,407
Value of net assets at end of year (total assets less liabilities)2016-12-31$355,849
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$302,442
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in pooled separate accounts at end of year2016-12-31$203,963
Value of interest in pooled separate accounts at beginning of year2016-12-31$174,214
Interest on participant loans2016-12-31$649
Interest earned on other investments2016-12-31$1,528
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$111,911
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$106,226
Net investment gain/loss from pooled separate accounts2016-12-31$14,700
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$19,303
Employer contributions (assets) at end of year2016-12-31$873
Employer contributions (assets) at beginning of year2016-12-31$485
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$34,418
Contract administrator fees2016-12-31$3,985
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31COULTER & JUSTUS
Accountancy firm EIN2016-12-31621532536
2015 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$48,578
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$9,486
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$6,266
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$46,468
Value of total assets at end of year2015-12-31$302,442
Value of total assets at beginning of year2015-12-31$263,350
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$3,220
Total interest from all sources2015-12-31$2,075
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$33,363
Participant contributions at end of year2015-12-31$20,275
Participant contributions at beginning of year2015-12-31$29,893
Participant contributions at end of year2015-12-31$1,242
Participant contributions at beginning of year2015-12-31$1,208
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$39,092
Value of net assets at end of year (total assets less liabilities)2015-12-31$302,442
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$263,350
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in pooled separate accounts at end of year2015-12-31$174,214
Value of interest in pooled separate accounts at beginning of year2015-12-31$127,919
Interest on participant loans2015-12-31$458
Interest earned on other investments2015-12-31$1,617
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$106,226
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$103,852
Net investment gain/loss from pooled separate accounts2015-12-31$35
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31Yes
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$13,105
Employer contributions (assets) at end of year2015-12-31$485
Employer contributions (assets) at beginning of year2015-12-31$478
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$6,266
Contract administrator fees2015-12-31$3,220
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31COULTER & JUSTUS
Accountancy firm EIN2015-12-31621532536
2014 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$54,059
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$16,769
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$14,269
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$42,056
Value of total assets at end of year2014-12-31$263,350
Value of total assets at beginning of year2014-12-31$226,060
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$2,500
Total interest from all sources2014-12-31$2,512
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$29,800
Participant contributions at end of year2014-12-31$29,893
Participant contributions at beginning of year2014-12-31$26,296
Participant contributions at end of year2014-12-31$1,208
Participant contributions at beginning of year2014-12-31$871
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$37,290
Value of net assets at end of year (total assets less liabilities)2014-12-31$263,350
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$226,060
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in pooled separate accounts at end of year2014-12-31$127,919
Value of interest in pooled separate accounts at beginning of year2014-12-31$96,897
Interest on participant loans2014-12-31$881
Interest earned on other investments2014-12-31$1,631
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$103,852
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$101,604
Net investment gain/loss from pooled separate accounts2014-12-31$9,491
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$12,256
Employer contributions (assets) at end of year2014-12-31$478
Employer contributions (assets) at beginning of year2014-12-31$392
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$14,269
Contract administrator fees2014-12-31$2,500
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31COULTER & JUSTUS
Accountancy firm EIN2014-12-31621532536
2013 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$46,238
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$42,568
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$40,033
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$35,075
Value of total assets at end of year2013-12-31$226,060
Value of total assets at beginning of year2013-12-31$222,390
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,535
Total interest from all sources2013-12-31$3,021
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$24,440
Participant contributions at end of year2013-12-31$26,296
Participant contributions at beginning of year2013-12-31$32,536
Participant contributions at end of year2013-12-31$871
Participant contributions at beginning of year2013-12-31$839
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,670
Value of net assets at end of year (total assets less liabilities)2013-12-31$226,060
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$222,390
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$101,604
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$119,875
Value of interest in pooled separate accounts at end of year2013-12-31$96,897
Value of interest in pooled separate accounts at beginning of year2013-12-31$68,797
Interest on participant loans2013-12-31$1,156
Interest earned on other investments2013-12-31$1,865
Net investment gain/loss from pooled separate accounts2013-12-31$8,142
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$10,635
Employer contributions (assets) at end of year2013-12-31$392
Employer contributions (assets) at beginning of year2013-12-31$343
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$40,033
Contract administrator fees2013-12-31$2,535
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31COULTER & JUSTUS
Accountancy firm EIN2013-12-31621532536
2012 : CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total transfer of assets to this plan2012-12-31$323,291
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$16,427
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$117,328
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$115,342
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$12,480
Value of total assets at end of year2012-12-31$222,390
Value of total assets at beginning of year2012-12-31$0
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,986
Total interest from all sources2012-12-31$2,906
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31No
If this is an individual account plan, was there a blackout period2012-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$8,948
Participant contributions at end of year2012-12-31$32,536
Participant contributions at beginning of year2012-12-31$0
Participant contributions at end of year2012-12-31$839
Participant contributions at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$-100,901
Value of net assets at end of year (total assets less liabilities)2012-12-31$222,390
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$119,875
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$0
Value of interest in pooled separate accounts at end of year2012-12-31$68,797
Value of interest in pooled separate accounts at beginning of year2012-12-31$0
Interest on participant loans2012-12-31$470
Interest earned on other investments2012-12-31$2,436
Net investment gain/loss from pooled separate accounts2012-12-31$1,041
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$3,532
Employer contributions (assets) at end of year2012-12-31$343
Employer contributions (assets) at beginning of year2012-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$115,342
Contract administrator fees2012-12-31$1,986
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31Yes
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31COULTER & JUSTUS
Accountancy firm EIN2012-12-31621532536

Form 5500 Responses for CARTERET MANAGEMENT CORPORATION 401(K) PLAN

2022: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CARTERET MANAGEMENT CORPORATION 401(K) PLAN 2012 form 5500 responses
2012-04-20Type of plan entitySingle employer plan
2012-04-20First time form 5500 has been submittedYes
2012-04-20Submission has been amendedNo
2012-04-20This submission is the final filingNo
2012-04-20This return/report is a short plan year return/report (less than 12 months)Yes
2012-04-20Plan is a collectively bargained planNo
2012-04-20Plan funding arrangement – InsuranceYes
2012-04-20Plan funding arrangement – TrustYes
2012-04-20Plan benefit arrangement – InsuranceYes
2012-04-20Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00639
Policy instance 1
Insurance contract or identification number931061-00639
Number of Individuals Covered132
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $2,638
Total amount of fees paid to insurance companyUSD $0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $2,638
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00639
Policy instance 1
Insurance contract or identification number931061-00639
Number of Individuals Covered133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $2,731
Total amount of fees paid to insurance companyUSD $0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $2,731
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00639
Policy instance 1
Insurance contract or identification number931061-00639
Number of Individuals Covered135
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $1,941
Total amount of fees paid to insurance companyUSD $0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,941
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00639
Policy instance 1
Insurance contract or identification number931061-00639
Number of Individuals Covered122
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $1,734
Total amount of fees paid to insurance companyUSD $0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,734
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-00639
Policy instance 1
Insurance contract or identification number931061-00639
Number of Individuals Covered114
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $1,660
Total amount of fees paid to insurance companyUSD $0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,660
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number931061-639
Policy instance 1
Insurance contract or identification number931061-639
Number of Individuals Covered119
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $1,381
Total amount of fees paid to insurance companyUSD $137
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,381
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerN/A
Insurance broker organization code?3
Insurance broker nameTAG RESOURCES, LLC

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