401k Plan data: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN plan

SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 401k Plan overview

Plan Name	SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN
Plan identification number	010

SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SOUTHERN GLAZER'S WINE & SPIRITS OF NEW YORK, LLC has sponsored the creation of one or more 401k plans.

Company Name: SOUTHERN GLAZER'S WINE & SPIRITS OF NEW YORK, LLC

Employer identification number (EIN): 650879542

NAIC Classification: 424800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
010 2022-01-01
010 2021-01-01
010 2020-01-01
010 2019-01-01
010 2018-01-01
010 2017-01-01 MICHELLE TONEY
010 2016-01-01 MARK KRAUSS
010 2015-01-01 MARK KRAUSS
010 2014-01-01 MARK KRAUSS MICHELLE TONEY 2015-10-13
010 2013-01-01 MARK KRAUSS MARK KRAUSS 2014-10-10
010 2012-01-01 MARK KRAUSS MARK KRAUSS 2013-10-11
010 2011-01-01 MARK KRAUSS MARK KRAUSS 2012-10-16
010 2010-01-01 MARK KRAUSS MARK KRAUSS 2011-10-14
010 2009-01-01 MARK KRAUSS MARK KRAUSS 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
010	2022-01-01
010	2021-01-01
010	2020-01-01
010	2019-01-01
010	2018-01-01
010	2017-01-01	MICHELLE TONEY
010	2016-01-01	MARK KRAUSS
010	2015-01-01	MARK KRAUSS
010	2014-01-01	MARK KRAUSS	MICHELLE TONEY	2015-10-13
010	2013-01-01	MARK KRAUSS	MARK KRAUSS	2014-10-10
010	2012-01-01	MARK KRAUSS	MARK KRAUSS	2013-10-11
010	2011-01-01	MARK KRAUSS	MARK KRAUSS	2012-10-16
010	2010-01-01	MARK KRAUSS	MARK KRAUSS	2011-10-14
010	2009-01-01	MARK KRAUSS	MARK KRAUSS	2010-10-15

Plan Statistics for SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN

401k plan membership statisitcs for SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN

Measure Date Value
2022: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 402
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 385
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 25
Total of all active and inactive participants 2022-01-01 410
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 5
Total participants 2022-01-01 415
Number of participants with account balances 2022-01-01 298
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 404
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 373
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 24
Total of all active and inactive participants 2021-01-01 397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 5
Total participants 2021-01-01 402
Number of participants with account balances 2021-01-01 295
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 344
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 377
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 21
Total of all active and inactive participants 2020-01-01 398
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 6
Total participants 2020-01-01 404
Number of participants with account balances 2020-01-01 266
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 368
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 311
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 27
Total of all active and inactive participants 2019-01-01 338
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 6
Total participants 2019-01-01 344
Number of participants with account balances 2019-01-01 253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 611
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 342
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 21
Total of all active and inactive participants 2018-01-01 363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 5
Total participants 2018-01-01 368
Number of participants with account balances 2018-01-01 249
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 628
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 576
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 31
Total of all active and inactive participants 2017-01-01 607
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 4
Total participants 2017-01-01 611
Number of participants with account balances 2017-01-01 250
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 575
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 599
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 26
Total of all active and inactive participants 2016-01-01 625
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 3
Total participants 2016-01-01 628
Number of participants with account balances 2016-01-01 407
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 583
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 543
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 30
Total of all active and inactive participants 2015-01-01 574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 575
Number of participants with account balances 2015-01-01 402
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 577
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 560
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 21
Total of all active and inactive participants 2014-01-01 582
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 583
Number of participants with account balances 2014-01-01 390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 580
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 556
Number of retired or separated participants receiving benefits 2013-01-01 1
Number of other retired or separated participants entitled to future benefits 2013-01-01 19
Total of all active and inactive participants 2013-01-01 576
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 577
Number of participants with account balances 2013-01-01 364
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 575
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 558
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 20
Total of all active and inactive participants 2012-01-01 579
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 580
Number of participants with account balances 2012-01-01 338
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 656
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 555
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 19
Total of all active and inactive participants 2011-01-01 574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 575
Number of participants with account balances 2011-01-01 321
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 261
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 638
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 18
Total of all active and inactive participants 2010-01-01 656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 656
Number of participants with account balances 2010-01-01 291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 223
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 254
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 261
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 261
Number of participants with account balances 2009-01-01 251
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 7

Measure	Date	Value
2022: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	402
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	385
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	25
Total of all active and inactive participants	2022-01-01	410
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	5
Total participants	2022-01-01	415
Number of participants with account balances	2022-01-01	298
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	404
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	373
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	24
Total of all active and inactive participants	2021-01-01	397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	5
Total participants	2021-01-01	402
Number of participants with account balances	2021-01-01	295
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	344
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	377
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	21
Total of all active and inactive participants	2020-01-01	398
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	6
Total participants	2020-01-01	404
Number of participants with account balances	2020-01-01	266
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	368
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	311
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	27
Total of all active and inactive participants	2019-01-01	338
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	6
Total participants	2019-01-01	344
Number of participants with account balances	2019-01-01	253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	611
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	342
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	21
Total of all active and inactive participants	2018-01-01	363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	5
Total participants	2018-01-01	368
Number of participants with account balances	2018-01-01	249
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	628
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	576
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	31
Total of all active and inactive participants	2017-01-01	607
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	4
Total participants	2017-01-01	611
Number of participants with account balances	2017-01-01	250
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	575
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	599
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	26
Total of all active and inactive participants	2016-01-01	625
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	3
Total participants	2016-01-01	628
Number of participants with account balances	2016-01-01	407
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	583
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	543
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	30
Total of all active and inactive participants	2015-01-01	574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	575
Number of participants with account balances	2015-01-01	402
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	577
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	560
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	21
Total of all active and inactive participants	2014-01-01	582
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	583
Number of participants with account balances	2014-01-01	390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	580
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	556
Number of retired or separated participants receiving benefits	2013-01-01	1
Number of other retired or separated participants entitled to future benefits	2013-01-01	19
Total of all active and inactive participants	2013-01-01	576
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	577
Number of participants with account balances	2013-01-01	364
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	575
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	558
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	20
Total of all active and inactive participants	2012-01-01	579
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	580
Number of participants with account balances	2012-01-01	338
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	656
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	555
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	19
Total of all active and inactive participants	2011-01-01	574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	575
Number of participants with account balances	2011-01-01	321
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	261
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	638
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	18
Total of all active and inactive participants	2010-01-01	656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	656
Number of participants with account balances	2010-01-01	291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	223
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	254
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	261
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	261
Number of participants with account balances	2009-01-01	251
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	7

Financial Data on SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN

Measure	Date	Value
2022 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total transfer of assets from this plan	2022-12-31	$35,769
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-4,383,966
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$2,473,488
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$2,444,662
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$4,217,859
Value of total assets at end of year	2022-12-31	$50,097,080
Value of total assets at beginning of year	2022-12-31	$56,990,303
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$28,826
Total interest from all sources	2022-12-31	$72,547
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$2,116,101
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$2,116,101
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$4,106,715
Participant contributions at end of year	2022-12-31	$1,162,488
Participant contributions at beginning of year	2022-12-31	$1,236,767
Participant contributions at end of year	2022-12-31	$26,379
Participant contributions at beginning of year	2022-12-31	$27,086
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$111,144
Administrative expenses (other) incurred	2022-12-31	$18,826
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-6,857,454
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$50,097,080
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$56,990,303
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$10,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$40,663,449
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$52,049,012
Interest on participant loans	2022-12-31	$72,547
Value of interest in common/collective trusts at end of year	2022-12-31	$8,244,764
Value of interest in common/collective trusts at beginning of year	2022-12-31	$3,677,438
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-10,947,237
Net investment gain or loss from common/collective trusts	2022-12-31	$156,764
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Employer contributions (assets) at end of year	2022-12-31	$0
Employer contributions (assets) at beginning of year	2022-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$2,444,662
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Disclaimer
Accountancy firm name	2022-12-31	GRANT THORNTON
Accountancy firm EIN	2022-12-31	741296484
2021 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total transfer of assets to this plan	2021-12-31	$789,093
Total transfer of assets from this plan	2021-12-31	$104,247
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$12,105,273
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$2,914,069
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$2,125,978
Value of total corrective distributions	2021-12-31	$757,516
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$4,461,154
Value of total assets at end of year	2021-12-31	$56,990,303
Value of total assets at beginning of year	2021-12-31	$47,114,253
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$30,575
Total interest from all sources	2021-12-31	$80,705
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$4,728,479
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$4,728,479
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$3,806,348
Participant contributions at end of year	2021-12-31	$1,236,767
Participant contributions at beginning of year	2021-12-31	$1,340,782
Participant contributions at end of year	2021-12-31	$27,086
Participant contributions at beginning of year	2021-12-31	$19,197
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$654,715
Administrative expenses (other) incurred	2021-12-31	$18,075
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$9,191,204
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$56,990,303
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$47,114,253
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$12,500
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$52,049,012
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$41,647,412
Interest on participant loans	2021-12-31	$80,705
Value of interest in common/collective trusts at end of year	2021-12-31	$3,677,438
Value of interest in common/collective trusts at beginning of year	2021-12-31	$4,106,453
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$2,743,983
Net investment gain or loss from common/collective trusts	2021-12-31	$90,952
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$91
Employer contributions (assets) at end of year	2021-12-31	$0
Employer contributions (assets) at beginning of year	2021-12-31	$409
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$2,125,978
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Disclaimer
Accountancy firm name	2021-12-31	GRANT THORNTON
Accountancy firm EIN	2021-12-31	741296484
2020 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets to this plan	2020-12-31	$13,545
Total transfer of assets from this plan	2020-12-31	$248,058
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$9,730,346
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$2,940,542
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$2,466,333
Value of total corrective distributions	2020-12-31	$452,699
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$3,106,553
Value of total assets at end of year	2020-12-31	$47,114,253
Value of total assets at beginning of year	2020-12-31	$40,558,962
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$21,510
Total interest from all sources	2020-12-31	$81,195
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$2,003,561
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$2,003,561
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$3,106,144
Participant contributions at end of year	2020-12-31	$1,340,782
Participant contributions at beginning of year	2020-12-31	$1,241,384
Participant contributions at end of year	2020-12-31	$19,197
Participant contributions at beginning of year	2020-12-31	$21,537
Administrative expenses (other) incurred	2020-12-31	$16,510
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$6,789,804
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$47,114,253
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$40,558,962
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$5,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$41,647,412
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$35,580,265
Interest on participant loans	2020-12-31	$81,195
Value of interest in common/collective trusts at end of year	2020-12-31	$4,106,453
Value of interest in common/collective trusts at beginning of year	2020-12-31	$3,715,776
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$4,440,349
Net investment gain or loss from common/collective trusts	2020-12-31	$98,688
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$409
Employer contributions (assets) at end of year	2020-12-31	$409
Employer contributions (assets) at beginning of year	2020-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$2,466,333
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	GRANT THORNTON
Accountancy firm EIN	2020-12-31	741296484
2019 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$120,300
Total transfer of assets to this plan	2019-12-31	$120,300
Total transfer of assets from this plan	2019-12-31	$80,027
Total transfer of assets from this plan	2019-12-31	$80,027
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$11,492,674
Total income from all sources (including contributions)	2019-12-31	$11,492,674
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$1,208,475
Total of all expenses incurred	2019-12-31	$1,208,475
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$1,136,178
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$1,136,178
Value of total corrective distributions	2019-12-31	$48,880
Value of total corrective distributions	2019-12-31	$48,880
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$3,787,038
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$3,787,038
Value of total assets at end of year	2019-12-31	$40,558,962
Value of total assets at end of year	2019-12-31	$40,558,962
Value of total assets at beginning of year	2019-12-31	$30,234,490
Value of total assets at beginning of year	2019-12-31	$30,234,490
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$23,417
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$23,417
Total interest from all sources	2019-12-31	$78,260
Total interest from all sources	2019-12-31	$78,260
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,509,240
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,509,240
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,509,240
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,509,240
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$5,000,000
Value of fidelity bond cover	2019-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$3,470,619
Contributions received from participants	2019-12-31	$3,470,619
Participant contributions at end of year	2019-12-31	$1,241,384
Participant contributions at end of year	2019-12-31	$1,241,384
Participant contributions at beginning of year	2019-12-31	$1,079,593
Participant contributions at beginning of year	2019-12-31	$1,079,593
Participant contributions at end of year	2019-12-31	$21,537
Participant contributions at end of year	2019-12-31	$21,537
Participant contributions at beginning of year	2019-12-31	$22,951
Participant contributions at beginning of year	2019-12-31	$22,951
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$316,419
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$316,419
Administrative expenses (other) incurred	2019-12-31	$13,417
Administrative expenses (other) incurred	2019-12-31	$13,417
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$10,284,199
Value of net income/loss	2019-12-31	$10,284,199
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$40,558,962
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$40,558,962
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$30,234,490
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$30,234,490
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$10,000
Investment advisory and management fees	2019-12-31	$10,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$35,580,265
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$35,580,265
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$26,059,640
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$26,059,640
Interest on participant loans	2019-12-31	$78,260
Interest on participant loans	2019-12-31	$78,260
Value of interest in common/collective trusts at end of year	2019-12-31	$3,715,776
Value of interest in common/collective trusts at end of year	2019-12-31	$3,715,776
Value of interest in common/collective trusts at beginning of year	2019-12-31	$3,072,306
Value of interest in common/collective trusts at beginning of year	2019-12-31	$3,072,306
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$6,071,056
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$6,071,056
Net investment gain or loss from common/collective trusts	2019-12-31	$47,080
Net investment gain or loss from common/collective trusts	2019-12-31	$47,080
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$1,136,178
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$1,136,178
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	GRANT THORNTON
Accountancy firm name	2019-12-31	GRANT THORNTON
Accountancy firm EIN	2019-12-31	741296484
Accountancy firm EIN	2019-12-31	741296484
2018 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$7,887
Total transfer of assets from this plan	2018-12-31	$18,181
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$1,048,999
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,370,858
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,356,803
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,702,686
Value of total assets at end of year	2018-12-31	$30,234,490
Value of total assets at beginning of year	2018-12-31	$30,566,643
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$14,055
Total interest from all sources	2018-12-31	$61,716
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,803,881
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,803,881
Administrative expenses professional fees incurred	2018-12-31	$1,050
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$2,618,524
Participant contributions at end of year	2018-12-31	$1,079,593
Participant contributions at beginning of year	2018-12-31	$1,028,552
Participant contributions at end of year	2018-12-31	$22,951
Participant contributions at beginning of year	2018-12-31	$32,191
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$84,162
Administrative expenses (other) incurred	2018-12-31	$3,005
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-321,859
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$30,234,490
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$30,566,643
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$10,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$26,059,640
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$27,030,323
Interest on participant loans	2018-12-31	$61,716
Value of interest in common/collective trusts at end of year	2018-12-31	$3,072,306
Value of interest in common/collective trusts at beginning of year	2018-12-31	$2,475,577
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-3,575,875
Net investment gain or loss from common/collective trusts	2018-12-31	$56,591
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,356,803
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	GRANT THORNTON
Accountancy firm EIN	2018-12-31	741296484
2017 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$570,274
Total transfer of assets from this plan	2017-12-31	$6,776,345
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
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	$8,680,053
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,207,944
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,182,422
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$3,502,718
Value of total assets at end of year	2017-12-31	$30,566,643
Value of total assets at beginning of year	2017-12-31	$29,300,605
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$25,522
Total interest from all sources	2017-12-31	$85,237
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,207,819
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,207,819
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$3,433,545
Participant contributions at end of year	2017-12-31	$1,028,552
Participant contributions at beginning of year	2017-12-31	$1,377,624
Participant contributions at end of year	2017-12-31	$32,191
Participant contributions at beginning of year	2017-12-31	$41,836
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$68,029
Administrative expenses (other) incurred	2017-12-31	$15,522
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$7,472,109
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$30,566,643
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$29,300,605
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$10,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$27,030,323
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$24,537,212
Interest on participant loans	2017-12-31	$85,237
Value of interest in common/collective trusts at end of year	2017-12-31	$2,475,577
Value of interest in common/collective trusts at beginning of year	2017-12-31	$3,343,933
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$3,762,517
Net investment gain or loss from common/collective trusts	2017-12-31	$121,762
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$1,144
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,182,422
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	GRANT THORNTON
Accountancy firm EIN	2017-12-31	741296484
2016 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$2,254
Total transfer of assets from this plan	2016-12-31	$610,003
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	$5,280,243
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,028,735
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$927,430
Value of total corrective distributions	2016-12-31	$85,738
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$3,487,376
Value of total assets at end of year	2016-12-31	$29,300,605
Value of total assets at beginning of year	2016-12-31	$25,656,846
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$15,567
Total interest from all sources	2016-12-31	$68,218
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,050,032
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,050,032
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$3,374,530
Participant contributions at end of year	2016-12-31	$1,377,624
Participant contributions at beginning of year	2016-12-31	$1,359,810
Participant contributions at end of year	2016-12-31	$41,836
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$112,846
Administrative expenses (other) incurred	2016-12-31	$8,067
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$4,251,508
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$29,300,605
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$25,656,846
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$7,500
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$24,537,212
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$21,440,263
Interest on participant loans	2016-12-31	$68,218
Value of interest in common/collective trusts at end of year	2016-12-31	$3,343,933
Value of interest in common/collective trusts at beginning of year	2016-12-31	$2,856,773
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$578,777
Net investment gain or loss from common/collective trusts	2016-12-31	$95,840
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$927,430
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	GRANT THORNTON
Accountancy firm EIN	2016-12-31	741296484
2015 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$4,340
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	$3,181,523
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,130,688
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,119,139
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$3,127,098
Value of total assets at end of year	2015-12-31	$25,656,846
Value of total assets at beginning of year	2015-12-31	$23,601,671
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$11,549
Total interest from all sources	2015-12-31	$65,317
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,389,856
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,389,856
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$50,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$3,127,098
Participant contributions at end of year	2015-12-31	$1,359,810
Participant contributions at beginning of year	2015-12-31	$1,280,205
Other income not declared elsewhere	2015-12-31	$205
Administrative expenses (other) incurred	2015-12-31	$11,549
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$2,050,835
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$25,656,846
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$23,601,671
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$21,440,263
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$19,725,270
Interest on participant loans	2015-12-31	$65,317
Value of interest in common/collective trusts at end of year	2015-12-31	$2,856,773
Value of interest in common/collective trusts at beginning of year	2015-12-31	$2,596,196
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,446,314
Net investment gain or loss from common/collective trusts	2015-12-31	$45,361
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,119,139
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	GRANT THORNTON
Accountancy firm EIN	2015-12-31	741296484
2014 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$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	$4,151,784
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$506,755
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$480,447
Value of total corrective distributions	2014-12-31	$1,002
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,883,546
Value of total assets at end of year	2014-12-31	$23,601,671
Value of total assets at beginning of year	2014-12-31	$19,956,642
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$25,306
Total interest from all sources	2014-12-31	$57,202
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,378,347
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,378,347
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$50,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$2,775,684
Participant contributions at end of year	2014-12-31	$1,280,205
Participant contributions at beginning of year	2014-12-31	$999,192
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$32,696
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$107,862
Other income not declared elsewhere	2014-12-31	$327
Administrative expenses (other) incurred	2014-12-31	$25,306
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$3,645,029
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$23,601,671
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$19,956,642
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$19,725,270
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$16,590,228
Interest on participant loans	2014-12-31	$57,202
Value of interest in common/collective trusts at end of year	2014-12-31	$2,596,196
Value of interest in common/collective trusts at beginning of year	2014-12-31	$2,334,526
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-206,706
Net investment gain or loss from common/collective trusts	2014-12-31	$39,068
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$480,447
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	GRANT THORNTON
Accountancy firm EIN	2014-12-31	741296484
2013 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$141,266
Total transfer of assets from this plan	2013-12-31	$75,129
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	$5,972,684
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$778,201
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$719,541
Value of total corrective distributions	2013-12-31	$38,159
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,570,202
Value of total assets at end of year	2013-12-31	$19,956,642
Value of total assets at beginning of year	2013-12-31	$14,696,022
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$20,501
Total interest from all sources	2013-12-31	$43,098
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$847,839
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$847,839
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$50,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$2,471,604
Participant contributions at end of year	2013-12-31	$999,192
Participant contributions at beginning of year	2013-12-31	$667,812
Participant contributions at end of year	2013-12-31	$32,696
Participant contributions at beginning of year	2013-12-31	$18,589
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$98,598
Other income not declared elsewhere	2013-12-31	$142
Administrative expenses (other) incurred	2013-12-31	$20,501
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$5,194,483
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$19,956,642
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$14,696,022
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$16,590,228
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$11,634,518
Interest on participant loans	2013-12-31	$43,098
Value of interest in common/collective trusts at end of year	2013-12-31	$2,334,526
Value of interest in common/collective trusts at beginning of year	2013-12-31	$2,375,103
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,474,927
Net investment gain or loss from common/collective trusts	2013-12-31	$36,476
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$719,541
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	GRANT THORNTON
Accountancy firm EIN	2013-12-31	741296484
2012 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
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	$3,502,533
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$672,513
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$624,360
Value of total corrective distributions	2012-12-31	$25,757
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,145,052
Value of total assets at end of year	2012-12-31	$14,696,022
Value of total assets at beginning of year	2012-12-31	$11,866,002
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$22,396
Total interest from all sources	2012-12-31	$30,096
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$378,163
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$378,163
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$50,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$2,144,469
Participant contributions at end of year	2012-12-31	$667,812
Participant contributions at beginning of year	2012-12-31	$631,520
Participant contributions at end of year	2012-12-31	$18,589
Participant contributions at beginning of year	2012-12-31	$21,233
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$583
Other income not declared elsewhere	2012-12-31	$20
Administrative expenses (other) incurred	2012-12-31	$22,396
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,830,020
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$14,696,022
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$11,866,002
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$11,634,518
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$9,031,182
Interest on participant loans	2012-12-31	$30,096
Value of interest in common/collective trusts at end of year	2012-12-31	$2,375,103
Value of interest in common/collective trusts at beginning of year	2012-12-31	$2,182,067
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$904,085
Net investment gain or loss from common/collective trusts	2012-12-31	$45,117
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$624,360
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	GRANT THORNTON
Accountancy firm EIN	2012-12-31	741296484
2011 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$458,207
Total transfer of assets from this plan	2011-12-31	$65,871
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,824,379
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$574,234
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$563,095
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,022,153
Value of total assets at end of year	2011-12-31	$11,866,002
Value of total assets at beginning of year	2011-12-31	$10,223,521
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$11,139
Total interest from all sources	2011-12-31	$26,563
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$218,278
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$218,278
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$50,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$2,012,414
Participant contributions at end of year	2011-12-31	$631,520
Participant contributions at beginning of year	2011-12-31	$448,039
Participant contributions at end of year	2011-12-31	$21,233
Participant contributions at beginning of year	2011-12-31	$11,629
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$9,739
Administrative expenses (other) incurred	2011-12-31	$11,139
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$1,250,145
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$11,866,002
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$10,223,521
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$9,031,182
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$8,176,733
Interest on participant loans	2011-12-31	$26,563
Value of interest in common/collective trusts at end of year	2011-12-31	$2,182,067
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,587,120
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-502,231
Net investment gain or loss from common/collective trusts	2011-12-31	$59,616
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$563,095
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	GRANT THORNTON
Accountancy firm EIN	2011-12-31	741296484
2010 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,752,325
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$541,073
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$531,204
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,772,317
Value of total assets at end of year	2010-12-31	$10,223,521
Value of total assets at beginning of year	2010-12-31	$8,012,269
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$9,869
Total interest from all sources	2010-12-31	$19,166
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$147,328
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$147,328
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$50,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,703,512
Participant contributions at end of year	2010-12-31	$448,039
Participant contributions at beginning of year	2010-12-31	$220,051
Participant contributions at end of year	2010-12-31	$11,629
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$68,805
Administrative expenses (other) incurred	2010-12-31	$9,869
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,211,252
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$10,223,521
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$8,012,269
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$8,176,733
Value of interest in pooled separate accounts at end of year	2010-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$7,792,195
Interest on participant loans	2010-12-31	$19,166
Value of interest in common/collective trusts at end of year	2010-12-31	$1,587,120
Value of interest in common/collective trusts at beginning of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$23
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$653,547
Net investment gain/loss from pooled separate accounts	2010-12-31	$102,441
Net investment gain or loss from common/collective trusts	2010-12-31	$57,526
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$531,204
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	GRANT THORTON
Accountancy firm EIN	2010-12-31	741296484
2009 : SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 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 SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN

2022: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 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	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 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	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	Yes
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SWS OF NEW YORK SALES, WAREHOUSE AND CLERICAL 401K PLAN 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	Yes
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

FL 51865-1

Policy instance

Insurance contract or identification number	FL 51865-1
Number of Individuals Covered	0
Insurance policy start date	2010-01-01
Insurance policy end date	2010-01-04
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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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Company Name:	SOUTHERN GLAZER'S WINE & SPIRITS OF NEW YORK, LLC
Employer identification number (EIN):	650879542
NAIC Classification:	424800