401k Plan data: ES3, INC. 401(K) AND PROFIT SHARING PLAN plan

ES3, INC. 401(K) AND PROFIT SHARING PLAN 401k Plan overview

Plan Name	ES3, INC. 401(K) AND PROFIT SHARING PLAN
Plan identification number	001

ES3, INC. 401(K) AND PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

ES3, INC. has sponsored the creation of one or more 401k plans.

Company Name: ES3, INC.

Employer identification number (EIN): 680515296

NAIC Classification: 541800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ES3, INC. 401(K) AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01 JASON BARANOWSKI 2019-10-08
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 BEN GIOVANELLI
001 2011-01-01 BEN GIOVANELLI 2012-05-31
001 2010-01-01 BEN GIOVANELLI 2011-05-04

Plan Statistics for ES3, INC. 401(K) AND PROFIT SHARING PLAN

401k plan membership statisitcs for ES3, INC. 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2018: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 119
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 67
Number of other retired or separated participants entitled to future benefits 2018-01-01 20
Total of all active and inactive participants 2018-01-01 87
Total participants 2018-01-01 87
Number of participants with account balances 2018-01-01 67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 70
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 49
Total of all active and inactive participants 2017-01-01 119
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 119
Number of participants with account balances 2017-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 198
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 82
Number of other retired or separated participants entitled to future benefits 2016-01-01 51
Total of all active and inactive participants 2016-01-01 133
Total participants 2016-01-01 133
Number of participants with account balances 2016-01-01 105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 184
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 144
Number of other retired or separated participants entitled to future benefits 2015-01-01 54
Total of all active and inactive participants 2015-01-01 198
Total participants 2015-01-01 198
Number of participants with account balances 2015-01-01 127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 171
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 174
Number of other retired or separated participants entitled to future benefits 2014-01-01 10
Total of all active and inactive participants 2014-01-01 184
Total participants 2014-01-01 184
Number of participants with account balances 2014-01-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 153
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 152
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 19
Total of all active and inactive participants 2013-01-01 171
Total participants 2013-01-01 171
Number of participants with account balances 2013-01-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 121
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 144
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 9
Total of all active and inactive participants 2012-01-01 153
Total participants 2012-01-01 153
Number of participants with account balances 2012-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2

Measure	Date	Value
2018: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	119
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	67
Number of other retired or separated participants entitled to future benefits	2018-01-01	20
Total of all active and inactive participants	2018-01-01	87
Total participants	2018-01-01	87
Number of participants with account balances	2018-01-01	67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	70
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	49
Total of all active and inactive participants	2017-01-01	119
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	119
Number of participants with account balances	2017-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	198
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	82
Number of other retired or separated participants entitled to future benefits	2016-01-01	51
Total of all active and inactive participants	2016-01-01	133
Total participants	2016-01-01	133
Number of participants with account balances	2016-01-01	105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	184
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	144
Number of other retired or separated participants entitled to future benefits	2015-01-01	54
Total of all active and inactive participants	2015-01-01	198
Total participants	2015-01-01	198
Number of participants with account balances	2015-01-01	127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	171
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	174
Number of other retired or separated participants entitled to future benefits	2014-01-01	10
Total of all active and inactive participants	2014-01-01	184
Total participants	2014-01-01	184
Number of participants with account balances	2014-01-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	153
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	152
Number of retired or separated participants receiving benefits	2013-01-01	0
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	171
Total participants	2013-01-01	171
Number of participants with account balances	2013-01-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	121
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	144
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	9
Total of all active and inactive participants	2012-01-01	153
Total participants	2012-01-01	153
Number of participants with account balances	2012-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2

Financial Data on ES3, INC. 401(K) AND PROFIT SHARING PLAN

Measure	Date	Value
2018 : ES3, INC. 401(K) AND PROFIT SHARING PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-12-31	$229,641
Total of all expenses incurred	2018-12-31	$362,734
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$356,746
Value of total corrective distributions	2018-12-31	$3,686
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$453,525
Value of total assets at end of year	2018-12-31	$3,367,805
Value of total assets at beginning of year	2018-12-31	$3,500,898
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,302
Total interest from all sources	2018-12-31	$4,233
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,250,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$449,883
Participant contributions at end of year	2018-12-31	$61,604
Participant contributions at beginning of year	2018-12-31	$46,074
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$66
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	$-133,093
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$3,367,805
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$3,500,898
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
Value of interest in pooled separate accounts at end of year	2018-12-31	$2,813,990
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$3,341,697
Interest on participant loans	2018-12-31	$3,193
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$492,211
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$113,061
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$113,061
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$1,040
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$4
Net investment gain/loss from pooled separate accounts	2018-12-31	$-228,121
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
Contributions received in cash from employer	2018-12-31	$3,642
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$356,746
Contract administrator fees	2018-12-31	$2,302
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	CLAYTON & MCKERVEY, P.C.
Accountancy firm EIN	2018-12-31	382383796
2017 : ES3, INC. 401(K) AND PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$900,110
Total of all expenses incurred	2017-12-31	$605,258
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$594,765
Value of total corrective distributions	2017-12-31	$7,460
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$418,174
Value of total assets at end of year	2017-12-31	$3,500,898
Value of total assets at beginning of year	2017-12-31	$3,206,046
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$3,033
Total interest from all sources	2017-12-31	$2,188
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
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	$400,601
Participant contributions at end of year	2017-12-31	$46,074
Participant contributions at beginning of year	2017-12-31	$36,574
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$66
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$702,800
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$15,649
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	$294,852
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$3,500,898
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$3,206,046
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
Value of interest in pooled separate accounts at end of year	2017-12-31	$3,341,697
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$2,427,878
Interest on participant loans	2017-12-31	$1,549
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$113,061
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$38,794
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$38,794
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$639
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$77,478
Net investment gain/loss from pooled separate accounts	2017-12-31	$402,270
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	$1,924
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$594,765
Contract administrator fees	2017-12-31	$3,033
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	CLAYTON & MCKERVEY, P.C.
Accountancy firm EIN	2017-12-31	382383796
2016 : ES3, INC. 401(K) AND PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$619,744
Total of all expenses incurred	2016-12-31	$778,172
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$777,599
Value of total corrective distributions	2016-12-31	$208
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$429,162
Value of total assets at end of year	2016-12-31	$3,206,046
Value of total assets at beginning of year	2016-12-31	$3,364,474
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$365
Total interest from all sources	2016-12-31	$1,907
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
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	$429,162
Participant contributions at end of year	2016-12-31	$36,574
Participant contributions at beginning of year	2016-12-31	$56,013
Participant contributions at beginning of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$702,800
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$658,255
Total non interest bearing cash at beginning of year	2016-12-31	$0
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	$-158,428
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$3,206,046
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$3,364,474
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
Value of interest in pooled separate accounts at end of year	2016-12-31	$2,427,878
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$2,591,142
Interest on participant loans	2016-12-31	$1,630
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$38,794
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$59,064
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$59,064
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$277
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$44,545
Net investment gain/loss from pooled separate accounts	2016-12-31	$144,130
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
Employer contributions (assets) at beginning of year	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$777,599
Contract administrator fees	2016-12-31	$365
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$0
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	CLAYTON & MCKERVEY, P.C.
Accountancy firm EIN	2016-12-31	382383796
2015 : ES3, INC. 401(K) AND PROFIT SHARING PLAN 2015 401k financial data
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	$618,250
Total of all expenses incurred	2015-12-31	$36,243
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$35,870
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$680,011
Value of total assets at end of year	2015-12-31	$3,364,474
Value of total assets at beginning of year	2015-12-31	$2,782,467
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$373
Total interest from all sources	2015-12-31	$2,035
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$250,000
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	$664,005
Participant contributions at end of year	2015-12-31	$56,013
Participant contributions at beginning of year	2015-12-31	$45,333
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$5,500
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$658,255
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$679,011
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$16,006
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
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	$582,007
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$3,364,474
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$2,782,467
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 beginning of year	2015-12-31	$0
Value of interest in pooled separate accounts at end of year	2015-12-31	$2,591,142
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$2,030,868
Interest on participant loans	2015-12-31	$1,780
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$59,064
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$21,755
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$21,755
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$255
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-20,757
Net investment gain/loss from pooled separate accounts	2015-12-31	$-43,039
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
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$35,870
Contract administrator fees	2015-12-31	$373
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$0
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	CLAYTON & MCKERVEY, P.C.
Accountancy firm EIN	2015-12-31	382383796
2014 : ES3, INC. 401(K) AND PROFIT SHARING PLAN 2014 401k financial data
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	$1,516
Total income from all sources (including contributions)	2014-12-31	$648,817
Total of all expenses incurred	2014-12-31	$40,776
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$40,362
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$530,619
Value of total assets at end of year	2014-12-31	$2,782,467
Value of total assets at beginning of year	2014-12-31	$2,175,942
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$414
Total interest from all sources	2014-12-31	$1,693
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$250,000
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	$524,713
Participant contributions at end of year	2014-12-31	$45,333
Participant contributions at beginning of year	2014-12-31	$29,487
Participant contributions at end of year	2014-12-31	$5,500
Participant contributions at beginning of year	2014-12-31	$16,188
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$679,011
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$5,906
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$1,516
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
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	$608,041
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,782,467
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$2,174,426
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	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$413,101
Value of interest in pooled separate accounts at end of year	2014-12-31	$2,030,868
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$1,229,712
Interest on participant loans	2014-12-31	$1,562
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$21,755
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$428,134
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$428,134
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$131
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$15,248
Net investment gain/loss from pooled separate accounts	2014-12-31	$101,257
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
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$807
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$40,362
Contract administrator fees	2014-12-31	$414
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$58,513
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	CLAYTON & MCKERVEY, P.C.
Accountancy firm EIN	2014-12-31	382383796
2013 : ES3, INC. 401(K) AND PROFIT SHARING PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$1,516
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$433
Total income from all sources (including contributions)	2013-12-31	$631,201
Total of all expenses incurred	2013-12-31	$202,449
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$199,835
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$426,771
Value of total assets at end of year	2013-12-31	$2,175,942
Value of total assets at beginning of year	2013-12-31	$1,746,107
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$2,614
Total interest from all sources	2013-12-31	$1,111
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$200,000
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	$410,543
Participant contributions at end of year	2013-12-31	$29,487
Participant contributions at beginning of year	2013-12-31	$22,767
Participant contributions at end of year	2013-12-31	$16,188
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$3,746
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$1,516
Liabilities. Value of operating payables at beginning of year	2013-12-31	$433
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$11,110
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	$428,752
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$2,174,426
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$1,745,674
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	$413,101
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$498,303
Value of interest in pooled separate accounts at end of year	2013-12-31	$1,229,712
Interest on participant loans	2013-12-31	$1,110
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$428,134
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$1,026,816
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$1,026,816
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$1
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$81,259
Net investment gain/loss from pooled separate accounts	2013-12-31	$122,060
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
Contributions received in cash from employer	2013-12-31	$12,482
Employer contributions (assets) at end of year	2013-12-31	$807
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$199,835
Contract administrator fees	2013-12-31	$2,614
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$58,513
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$187,111
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	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	CLAYTON & MCKERVEY, P.C.
Accountancy firm EIN	2013-12-31	382383796
2012 : ES3, INC. 401(K) AND PROFIT SHARING PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$433
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$602
Total income from all sources (including contributions)	2012-12-31	$416,141
Total of all expenses incurred	2012-12-31	$113,906
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$112,673
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$328,587
Value of total assets at end of year	2012-12-31	$1,746,107
Value of total assets at beginning of year	2012-12-31	$1,444,041
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,233
Total interest from all sources	2012-12-31	$1,564
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$17,351
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	$17,351
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$250,000
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	$328,587
Participant contributions at end of year	2012-12-31	$22,767
Participant contributions at beginning of year	2012-12-31	$64,907
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$1,367,649
Liabilities. Value of operating payables at end of year	2012-12-31	$433
Liabilities. Value of operating payables at beginning of year	2012-12-31	$602
Total non interest bearing cash at end of year	2012-12-31	$11,110
Total non interest bearing cash at beginning of year	2012-12-31	$11,485
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	$302,235
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,745,674
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,443,439
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	$498,303
Interest on participant loans	2012-12-31	$1,564
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$1,026,816
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$68,639
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	$112,673
Contract administrator fees	2012-12-31	$1,233
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$187,111
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	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	CLAYTON & MCKERVEY, P.C.
Accountancy firm EIN	2012-12-31	382383796

Form 5500 Responses for ES3, INC. 401(K) AND PROFIT SHARING PLAN

2018: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ES3, INC. 401(K) AND PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

804439-000

Policy instance

Insurance contract or identification number	804439-000
Number of Individuals Covered	67
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Insurance broker organization code?	3

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

804439-000

Policy instance

Insurance contract or identification number	804439-000
Number of Individuals Covered	100
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $1,615
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $1,615
Insurance broker organization code?	3
Insurance broker name	WILLIE F JACKSON

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

804439-000

Policy instance

Insurance contract or identification number	804439-000
Number of Individuals Covered	127
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $5,931
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,124
Insurance broker organization code?	3
Insurance broker name	WILLIE F JACKSON

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

804439-000

Policy instance

Insurance contract or identification number	804439-000
Number of Individuals Covered	106
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $3,886
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,514
Insurance broker organization code?	3
Insurance broker name	WILLIE F JACKSON

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

804439-000

Policy instance

Insurance contract or identification number	804439-000
Number of Individuals Covered	84
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $5,604
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,604
Insurance broker organization code?	3
Insurance broker name	WILLIE F JACKSON

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Company Name:	ES3, INC.
Employer identification number (EIN):	680515296
NAIC Classification:	541800

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01	JASON BARANOWSKI	2019-10-08
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	BEN GIOVANELLI
001	2011-01-01	BEN GIOVANELLI	2012-05-31
001	2010-01-01	BEN GIOVANELLI	2011-05-04