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JOE K. SCHLATTER, INC. RETIREMENT PLAN 401k Plan overview

Plan NameJOE K. SCHLATTER, INC. RETIREMENT PLAN
Plan identification number 001

JOE K. SCHLATTER, INC. RETIREMENT 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.

401k Sponsoring company profile

JOE K. SCHLATTER, INC. has sponsored the creation of one or more 401k plans.

Company Name:JOE K. SCHLATTER, INC.
Employer identification number (EIN):610709265
NAIC Classification:531210
NAIC Description:Offices of Real Estate Agents and Brokers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JOE K. SCHLATTER, INC. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01
0012013-01-01JEFFREY BLANKLEY JEFFREY BLANKLEY2014-10-15
0012012-01-01JEFFREY BLANKLEY
0012011-01-01JEFFREY BLANKLEY
0012010-01-01JEFFREY BLANKLEY
0012009-01-01JEFFREY BLANKLEY

Plan Statistics for JOE K. SCHLATTER, INC. RETIREMENT PLAN

401k plan membership statisitcs for JOE K. SCHLATTER, INC. RETIREMENT PLAN

Measure Date Value
2013: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0174
Total number of active participants reported on line 7a of the Form 55002013-01-0161
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0115
Total of all active and inactive participants2013-01-0176
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0176
Number of participants with account balances2013-01-0142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0179
Total number of active participants reported on line 7a of the Form 55002012-01-0160
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0114
Total of all active and inactive participants2012-01-0174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0174
Number of participants with account balances2012-01-0160
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0120
2011: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0192
Total number of active participants reported on line 7a of the Form 55002011-01-0177
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-0177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0177
Number of participants with account balances2011-01-0154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-0183
Total number of active participants reported on line 7a of the Form 55002010-01-0178
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-010
Total of all active and inactive participants2010-01-0178
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-0178
Number of participants with account balances2010-01-0163
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01101
Total number of active participants reported on line 7a of the Form 55002009-01-0184
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-019
Total of all active and inactive participants2009-01-0193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-012
Total participants2009-01-0195
Number of participants with account balances2009-01-0173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on JOE K. SCHLATTER, INC. RETIREMENT PLAN

Measure Date Value
2013 : JOE K. SCHLATTER, INC. RETIREMENT PLAN 2013 401k financial data
Total income from all sources2013-12-31$214,872
Expenses. Total of all expenses incurred2013-12-31$377,696
Benefits paid (including direct rollovers)2013-12-31$372,271
Total plan assets at end of year2013-12-31$1,086,585
Total plan assets at beginning of year2013-12-31$1,249,409
Value of fidelity bond covering the plan2013-12-31$250,000
Total contributions received or receivable from participants2013-12-31$29,098
Expenses. Other expenses not covered elsewhere2013-12-31$2,931
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$185,774
Net income (gross income less expenses)2013-12-31$-162,824
Net plan assets at end of year (total assets less liabilities)2013-12-31$1,086,585
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$1,249,409
Assets. Value of participant loans2013-12-31$44,953
Total contributions received or receivable from employer(s)2013-12-31$0
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$2,494
Funding deficiency by the employer to the plan for this plan year2013-12-31$0
Minimum employer required contribution for this plan year2013-12-31$0
Amount contributed by the employer to the plan for this plan year2013-12-31$0
2012 : JOE K. SCHLATTER, INC. RETIREMENT PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total income from all sources2012-12-31$174,853
Expenses. Total of all expenses incurred2012-12-31$137,680
Benefits paid (including direct rollovers)2012-12-31$135,632
Total plan assets at end of year2012-12-31$1,249,409
Total plan assets at beginning of year2012-12-31$1,212,236
Value of fidelity bond covering the plan2012-12-31$250,000
Total contributions received or receivable from participants2012-12-31$32,567
Expenses. Other expenses not covered elsewhere2012-12-31$2,048
Contributions received from other sources (not participants or employers)2012-12-31$1,914
Other income received2012-12-31$140,372
Net income (gross income less expenses)2012-12-31$37,173
Net plan assets at end of year (total assets less liabilities)2012-12-31$1,249,409
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$1,212,236
Assets. Value of participant loans2012-12-31$46,362
Total contributions received or receivable from employer(s)2012-12-31$0
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Funding deficiency by the employer to the plan for this plan year2012-12-31$0
Minimum employer required contribution for this plan year2012-12-31$0
Amount contributed by the employer to the plan for this plan year2012-12-31$0
2011 : JOE K. SCHLATTER, INC. RETIREMENT PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total income from all sources2011-12-31$50,835
Expenses. Total of all expenses incurred2011-12-31$699,966
Benefits paid (including direct rollovers)2011-12-31$697,826
Total plan assets at end of year2011-12-31$1,212,235
Total plan assets at beginning of year2011-12-31$1,861,366
Value of fidelity bond covering the plan2011-12-31$250,000
Total contributions received or receivable from participants2011-12-31$71,834
Expenses. Other expenses not covered elsewhere2011-12-31$2,140
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-20,999
Net income (gross income less expenses)2011-12-31$-649,131
Net plan assets at end of year (total assets less liabilities)2011-12-31$1,212,235
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$1,861,366
Assets. Value of participant loans2011-12-31$53,269
Total contributions received or receivable from employer(s)2011-12-31$0
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Funding deficiency by the employer to the plan for this plan year2011-12-31$0
Minimum employer required contribution for this plan year2011-12-31$0
Amount contributed by the employer to the plan for this plan year2011-12-31$0
2010 : JOE K. SCHLATTER, INC. RETIREMENT PLAN 2010 401k financial data
Transfers to/from the plan2010-12-31$1,192
Total income from all sources2010-12-31$264,000
Expenses. Total of all expenses incurred2010-12-31$92,356
Benefits paid (including direct rollovers)2010-12-31$91,183
Total plan assets at end of year2010-12-31$1,861,365
Total plan assets at beginning of year2010-12-31$1,688,529
Value of fidelity bond covering the plan2010-12-31$250,000
Total contributions received or receivable from participants2010-12-31$92,360
Expenses. Other expenses not covered elsewhere2010-12-31$796
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$171,640
Net income (gross income less expenses)2010-12-31$171,644
Net plan assets at end of year (total assets less liabilities)2010-12-31$1,861,365
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$1,688,529
Assets. Value of participant loans2010-12-31$78,597
Total contributions received or receivable from employer(s)2010-12-31$0
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$377
Funding deficiency by the employer to the plan for this plan year2010-12-31$0
Minimum employer required contribution for this plan year2010-12-31$0
Amount contributed by the employer to the plan for this plan year2010-12-31$0
2009 : JOE K. SCHLATTER, INC. RETIREMENT PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year2009-12-31$0
Minimum employer required contribution for this plan year2009-12-31$0
Amount contributed by the employer to the plan for this plan year2009-12-31$0

Form 5500 Responses for JOE K. SCHLATTER, INC. RETIREMENT PLAN

2013: JOE K. SCHLATTER, INC. RETIREMENT 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
2012: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2010: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2009: JOE K. SCHLATTER, INC. RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-803851
Policy instance 1
Insurance contract or identification numberGA-803851
Number of Individuals Covered42
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $4,178
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $4,178
Insurance broker namePLANNING CORP OF AMERICA
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-803851
Policy instance 1
Insurance contract or identification numberGA-803851
Number of Individuals Covered60
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $4,843
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $3,600
Insurance broker organization code?3
Insurance broker nameMERRILL LYNCH LIFE AGENCY
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-803851
Policy instance 1
Insurance contract or identification numberGA-803851
Number of Individuals Covered54
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $6,619
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-803851
Policy instance 1
Insurance contract or identification numberGA-803851
Number of Individuals Covered63
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $6,333
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $6,333
Insurance broker organization code?3
Insurance broker nameMERRILL LYNCH LIFE AGENCY

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