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VAUPELL 401(K) PLAN & TRUST 401k Plan overview

Plan NameVAUPELL 401(K) PLAN & TRUST
Plan identification number 001

VAUPELL 401(K) 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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

VAUPELL HOLDINGS INC. has sponsored the creation of one or more 401k plans.

Company Name:VAUPELL HOLDINGS INC.
Employer identification number (EIN):650867119
NAIC Classification:326100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VAUPELL 401(K) PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012016-01-01MARY PORTER MARY PORTER2017-10-13
0012015-01-01MARY PORTER MARY PORTER2016-10-13

Plan Statistics for VAUPELL 401(K) PLAN & TRUST

401k plan membership statisitcs for VAUPELL 401(K) PLAN & TRUST

Measure Date Value
2016: VAUPELL 401(K) PLAN & TRUST 2016 401k membership
Total participants, beginning-of-year2016-01-01862
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Number of participants with account balances2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: VAUPELL 401(K) PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year2015-01-01821
Total number of active participants reported on line 7a of the Form 55002015-01-01637
Number of retired or separated participants receiving benefits2015-01-012
Number of other retired or separated participants entitled to future benefits2015-01-01166
Total of all active and inactive participants2015-01-01805
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01805
Number of participants with account balances2015-01-01567
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0147

Financial Data on VAUPELL 401(K) PLAN & TRUST

Measure Date Value
2016 : VAUPELL 401(K) PLAN & TRUST 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-15$0
Total transfer of assets from this plan2016-12-15$21,321,735
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-15$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-15$0
Total income from all sources (including contributions)2016-12-15$2,890,333
Total loss/gain on sale of assets2016-12-15$0
Total of all expenses incurred2016-12-15$2,163,832
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-15$2,108,552
Value of total corrective distributions2016-12-15$33,430
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-15$1,587,920
Value of total assets at end of year2016-12-15$0
Value of total assets at beginning of year2016-12-15$20,595,234
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-15$21,850
Total interest from all sources2016-12-15$99,550
Total dividends received (eg from common stock, registered investment company shares)2016-12-15$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-15Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-12-15$0
Was this plan covered by a fidelity bond2016-12-15Yes
Value of fidelity bond cover2016-12-15$500,000
If this is an individual account plan, was there a blackout period2016-12-15Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-15$0
Were there any nonexempt tranactions with any party-in-interest2016-12-15No
Contributions received from participants2016-12-15$1,341,670
Participant contributions at end of year2016-12-15$0
Participant contributions at beginning of year2016-12-15$262,404
Income. Received or receivable in cash from other sources (including rollovers)2016-12-15$2,409
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-15No
Value of net income/loss2016-12-15$726,501
Value of net assets at end of year (total assets less liabilities)2016-12-15$0
Value of net assets at beginning of year (total assets less liabilities)2016-12-15$20,595,234
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-15No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-15No
Were any leases to which the plan was party in default or uncollectible2016-12-15No
Value of interest in pooled separate accounts at end of year2016-12-15$0
Value of interest in pooled separate accounts at beginning of year2016-12-15$17,412,824
Interest on participant loans2016-12-15$8,372
Interest earned on other investments2016-12-15$91,178
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-15$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-15$2,920,006
Net investment gain/loss from pooled separate accounts2016-12-15$1,202,863
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-15No
Was there a failure to transmit to the plan any participant contributions2016-12-15No
Has the plan failed to provide any benefit when due under the plan2016-12-15No
Contributions received in cash from employer2016-12-15$243,841
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-15$2,108,552
Contract administrator fees2016-12-15$21,850
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-15Yes
Did the plan have assets held for investment2016-12-15No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-15No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-15Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-15Yes
Opinion of an independent qualified public accountant for this plan2016-12-15Disclaimer
Accountancy firm name2016-12-15ALAN C YOUNG & ASSOCIATES, P.C.
Accountancy firm EIN2016-12-15382463166
2015 : VAUPELL 401(K) PLAN & TRUST 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$1,797,997
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,620,790
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,552,829
Value of total corrective distributions2015-12-31$47,682
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,616,107
Value of total assets at end of year2015-12-31$20,595,234
Value of total assets at beginning of year2015-12-31$20,418,027
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$20,279
Total interest from all sources2015-12-31$103,880
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$1,378,317
Participant contributions at end of year2015-12-31$262,404
Participant contributions at beginning of year2015-12-31$220,160
Participant contributions at beginning of year2015-12-31$29,064
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$23,216
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$177,207
Value of net assets at end of year (total assets less liabilities)2015-12-31$20,595,234
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$20,418,027
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$17,412,824
Value of interest in pooled separate accounts at beginning of year2015-12-31$17,481,455
Interest on participant loans2015-12-31$9,234
Interest earned on other investments2015-12-31$94,646
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$2,920,006
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$2,681,947
Net investment gain/loss from pooled separate accounts2015-12-31$78,010
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 contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$214,574
Employer contributions (assets) at beginning of year2015-12-31$5,401
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,552,829
Contract administrator fees2015-12-31$20,279
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 name2015-12-31CROWE HORWATH LLP
Accountancy firm EIN2015-12-31350921680

Form 5500 Responses for VAUPELL 401(K) PLAN & TRUST

2016: VAUPELL 401(K) PLAN & TRUST 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 filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
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: VAUPELL 401(K) PLAN & TRUST 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

Insurance Providers Used on plan

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number061296-100
Policy instance 1
Insurance contract or identification number061296-100
Number of Individuals Covered805
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
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

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