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JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan NameJOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number 001

JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 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

JOHN WATERS, INC. has sponsored the creation of one or more 401k plans.

Company Name:JOHN WATERS, INC.
Employer identification number (EIN):611073507
NAIC Classification:238220
NAIC Description:Plumbing, Heating, and Air-Conditioning Contractors

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01DONNA FAUST2020-06-09
0012018-01-01DONNA FAUST2019-07-31
0012017-01-01DONNA FAUST2018-06-19
0012016-01-01DONNA FAUST2017-07-13
0012015-01-01DONNA FAUST2016-06-06
0012014-01-01DONNA FAUST2015-06-18
0012013-01-01DONNA FAUST2014-07-23
0012012-01-01DONNA FAUST
0012011-01-01TIM DAWSON
0012010-01-01TIM DAWSON
0012009-04-01TIM DAWSON
0012009-04-01 TIM DAWSON2011-02-25
0012009-04-01TIM DAWSON
0012009-04-01TIM DAWSON
0012008-04-01TIM DAWSON
0012008-04-01 TIM DAWSON2011-03-23
0012007-04-01

Plan Statistics for JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2012: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year2012-01-0134
Total number of active participants reported on line 7a of the Form 55002012-01-0120
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0111
Total of all active and inactive participants2012-01-0131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0131
Number of participants with account balances2012-01-0124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year2011-01-0134
Total number of active participants reported on line 7a of the Form 55002011-01-0123
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0111
Total of all active and inactive participants2011-01-0134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0134
Number of participants with account balances2011-01-0126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year2010-01-0138
Total number of active participants reported on line 7a of the Form 55002010-01-0121
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0113
Total of all active and inactive participants2010-01-0134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-0134
Number of participants with account balances2010-01-0127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year2009-04-0132
Total number of active participants reported on line 7a of the Form 55002009-04-0127
Number of retired or separated participants receiving benefits2009-04-010
Number of other retired or separated participants entitled to future benefits2009-04-012
Total of all active and inactive participants2009-04-0129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-04-010
Total participants2009-04-0129
Number of participants with account balances2009-04-0117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-04-010
2008: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2008 401k membership
Total participants, beginning-of-year2008-04-0138
Total number of active participants reported on line 7a of the Form 55002008-04-0126
Number of retired or separated participants receiving benefits2008-04-010
Number of other retired or separated participants entitled to future benefits2008-04-0112
Total of all active and inactive participants2008-04-0138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2008-04-010
Total participants2008-04-0138
Number of participants with account balances2008-04-0130
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2008-04-010

Financial Data on JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2012 : JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2012 401k financial data
Total income from all sources2012-12-31$66,436
Expenses. Total of all expenses incurred2012-12-31$8,424
Benefits paid (including direct rollovers)2012-12-31$8,388
Total plan assets at end of year2012-12-31$463,489
Total plan assets at beginning of year2012-12-31$405,477
Total contributions received or receivable from participants2012-12-31$20,696
Expenses. Other expenses not covered elsewhere2012-12-31$36
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$45,740
Net income (gross income less expenses)2012-12-31$58,012
Net plan assets at end of year (total assets less liabilities)2012-12-31$463,489
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$405,477
Assets. Value of participant loans2012-12-31$31,627
Total contributions received or receivable from employer(s)2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2011 401k financial data
Total income from all sources2011-12-31$670
Expenses. Total of all expenses incurred2011-12-31$13,898
Benefits paid (including direct rollovers)2011-12-31$13,898
Total plan assets at end of year2011-12-31$405,477
Total plan assets at beginning of year2011-12-31$418,705
Total contributions received or receivable from participants2011-12-31$19,333
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-18,663
Net income (gross income less expenses)2011-12-31$-13,228
Net plan assets at end of year (total assets less liabilities)2011-12-31$405,477
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$418,705
Assets. Value of participant loans2011-12-31$43,918
Total contributions received or receivable from employer(s)2011-12-31$0
2010 : JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2010 401k financial data
Total income from all sources2010-12-31$52,020
Expenses. Total of all expenses incurred2010-12-31$16,892
Benefits paid (including direct rollovers)2010-12-31$16,892
Total plan assets at end of year2010-12-31$418,705
Total plan assets at beginning of year2010-12-31$383,577
Total contributions received or receivable from participants2010-12-31$17,876
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$34,144
Net income (gross income less expenses)2010-12-31$35,128
Net plan assets at end of year (total assets less liabilities)2010-12-31$418,705
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$383,577
Assets. Value of participant loans2010-12-31$44,684
Total contributions received or receivable from employer(s)2010-12-31$0
2009 : JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-03-31$0

Form 5500 Responses for JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST

2012: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 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 benefit arrangement – InsuranceYes
2011: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 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 benefit arrangement – InsuranceYes
2010: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 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 benefit arrangement – InsuranceYes
2009: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2009 form 5500 responses
2009-04-01Type of plan entitySingle employer plan
2009-04-01Submission has been amendedYes
2009-04-01This submission is the final filingNo
2009-04-01This return/report is a short plan year return/report (less than 12 months)Yes
2009-04-01Plan is a collectively bargained planNo
2009-04-01Plan funding arrangement – InsuranceYes
2009-04-01Plan benefit arrangement – InsuranceYes
2008: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2008 form 5500 responses
2008-04-01Type of plan entitySingle employer plan
2008-04-01Submission has been amendedYes
2008-04-01This submission is the final filingNo
2008-04-01This return/report is a short plan year return/report (less than 12 months)No
2008-04-01Plan is a collectively bargained planNo
2008-04-01Plan funding arrangement – InsuranceYes
2008-04-01Plan benefit arrangement – InsuranceYes
2007: JOHN WATERS 401(K) PROFIT SHARING PLAN & TRUST 2007 form 5500 responses
2007-04-01Submission has been amendedNo
2007-04-01This submission is the final filingNo
2007-04-01This return/report is a short plan year return/report (less than 12 months)No
2007-04-01Plan is a collectively bargained planNo

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-812661
Policy instance 1
Insurance contract or identification numberGA-812661
Number of Individuals Covered24
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,637
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?Yes
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?No
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
Other information about contractA GROUP ANNUITY CONTRACT
Commission paid to Insurance BrokerUSD $1,637
Insurance broker organization code?3
Insurance broker namePLANING CORPORATION OF AMERICA
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-812661
Policy instance 1
Insurance contract or identification numberGA-812661
Number of Individuals Covered26
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $1,601
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for types other than group deferred annuity or individual?Yes
Other information about contractA GROUP ANNUITY CONTRACT
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-812661
Policy instance 1
Insurance contract or identification numberGA-812661
Number of Individuals Covered27
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $1,050
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for types other than group deferred annuity or individual?Yes
Other information about contractA GROUP ANNUITY CONTRACT
Commission paid to Insurance BrokerUSD $1,050
Insurance broker organization code?3
Insurance broker namePLANNING CORPORATION OF AMERICA

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