401k Plan data: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST plan

SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 401k Plan overview

Plan Name	SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST
Plan identification number	001

SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

SHEEHY & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: SHEEHY & ASSOCIATES, INC.

Employer identification number (EIN): 610514214

NAIC Classification: 541800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01 MARTHA GREENWELL 2020-05-06
001 2018-01-01 MARTHA GREENWELL 2019-07-10
001 2017-01-01 MARTHA GREENWELL 2018-07-18
001 2016-01-01 MARTHA GREENWELL 2017-09-25
001 2015-01-01 MARTHA GREENWELL 2016-08-16
001 2014-01-01 MARTHA GREENWELL 2015-12-15
001 2014-01-01 MARTHA GREENWELL 2015-10-08
001 2013-01-01 MARTHA GREENWELL 2014-06-05
001 2012-01-01 MARTHA GREENWELL
001 2011-01-01 MARTHA GREENWELL
001 2009-01-01 MARTHA GREENWELL

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01	MARTHA GREENWELL	2020-05-06
001	2018-01-01	MARTHA GREENWELL	2019-07-10
001	2017-01-01	MARTHA GREENWELL	2018-07-18
001	2016-01-01	MARTHA GREENWELL	2017-09-25
001	2015-01-01	MARTHA GREENWELL	2016-08-16
001	2014-01-01	MARTHA GREENWELL	2015-12-15
001	2014-01-01	MARTHA GREENWELL	2015-10-08
001	2013-01-01	MARTHA GREENWELL	2014-06-05
001	2012-01-01	MARTHA GREENWELL
001	2011-01-01	MARTHA GREENWELL
001	2009-01-01	MARTHA GREENWELL

Plan Statistics for SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST

401k plan membership statisitcs for SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST

Measure Date Value
2012: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 40
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 17
Total of all active and inactive participants 2012-01-01 57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 57
Number of participants with account balances 2012-01-01 48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 68
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 49
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 15
Total of all active and inactive participants 2011-01-01 64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 64
Number of participants with account balances 2011-01-01 51
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 56
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 51
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 10
Total of all active and inactive participants 2009-01-01 61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 61
Number of participants with account balances 2009-01-01 46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	40
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	17
Total of all active and inactive participants	2012-01-01	57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	57
Number of participants with account balances	2012-01-01	48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	68
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	49
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	15
Total of all active and inactive participants	2011-01-01	64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	64
Number of participants with account balances	2011-01-01	51
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	56
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	51
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	10
Total of all active and inactive participants	2009-01-01	61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	61
Number of participants with account balances	2009-01-01	46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST

Measure	Date	Value
2012 : SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$195,760
Expenses. Total of all expenses incurred	2012-12-31	$146,392
Benefits paid (including direct rollovers)	2012-12-31	$146,392
Total plan assets at end of year	2012-12-31	$1,193,332
Total plan assets at beginning of year	2012-12-31	$1,143,964
Value of fidelity bond covering the plan	2012-12-31	$200,000
Total contributions received or receivable from participants	2012-12-31	$74,130
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$121,630
Net income (gross income less expenses)	2012-12-31	$49,368
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,193,332
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,143,964
Assets. Value of participant loans	2012-12-31	$39,077
Total contributions received or receivable from employer(s)	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
2011 : SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$54,068
Expenses. Total of all expenses incurred	2011-12-31	$12,116
Benefits paid (including direct rollovers)	2011-12-31	$12,116
Total plan assets at end of year	2011-12-31	$1,143,964
Total plan assets at beginning of year	2011-12-31	$1,102,012
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$77,877
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-23,809
Net income (gross income less expenses)	2011-12-31	$41,952
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,143,964
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,102,012
Assets. Value of participant loans	2011-12-31	$39,183
Total contributions received or receivable from employer(s)	2011-12-31	$0
2010 : SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$181,288
Expenses. Total of all expenses incurred	2010-12-31	$314,307
Benefits paid (including direct rollovers)	2010-12-31	$314,307
Total plan assets at end of year	2010-12-31	$1,102,012
Total plan assets at beginning of year	2010-12-31	$1,235,031
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$82,727
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$98,561
Net income (gross income less expenses)	2010-12-31	$-133,019
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,102,012
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,235,031
Assets. Value of participant loans	2010-12-31	$28,327
Total contributions received or receivable from employer(s)	2010-12-31	$0
2009 : SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 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 SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST

2012: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: SHEEHY & ASSOCIATES, INC.401 (K) PROFIT SHARING TRUST 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 – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-B2-CK6W

Policy instance

Insurance contract or identification number	GAP-B2-CK6W
Number of Individuals Covered	40
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $826
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Other information about contract	A GROUP ANNUITY CONTRACT
Commission paid to Insurance Broker	USD $826
Insurance broker name	STERNS AGEE LEACH INC MGMT

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-B2-CK6W

Policy instance

Insurance contract or identification number	GAP-B2-CK6W
Number of Individuals Covered	49
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $297
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Other information about contract	A GROUP ANNUITY CONTRACT

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-B2-CK6W

Policy instance

Insurance contract or identification number	GAP-B2-CK6W
Number of Individuals Covered	49
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $370
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Other information about contract	A GROUP ANNUITY CONTRACT
Commission paid to Insurance Broker	USD $370
Insurance broker name	STERNS AGEE LEACH INC MGMT

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Company Name:	SHEEHY & ASSOCIATES, INC.
Employer identification number (EIN):	610514214
NAIC Classification:	541800