401k Plan data: SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN plan

SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN 401k Plan overview

Plan Name	SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN
Plan identification number	001

SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) 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

SETTLEMENT FACILITY-DOW CORNING TRUST has sponsored the creation of one or more 401k plans.

Company Name: SETTLEMENT FACILITY-DOW CORNING TRUST

Employer identification number (EIN): 760676102

NAIC Classification: 812990
NAIC Description: All Other Personal Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2024-01-01 JACOB HOLZKNECHT 2024-09-18
001 2023-01-01 JACOB HOLZKNECHT 2024-06-07
001 2022-01-01 JACOB HOLZKNECHT 2023-07-05
001 2021-01-01 JACOB HOLZKNECHT 2022-06-07
001 2020-01-01 JACOB HOLZKNECHT 2021-06-07
001 2019-01-01 JACOB HOLZKNECHT 2020-07-10
001 2018-01-01 JACOB HOLZKNECHT 2019-07-02
001 2017-01-01 JACOB HOLZKNECHT 2018-06-29
001 2016-01-01 ARASELY VALDEZ 2017-07-10
001 2015-01-01 ANN PHILLIPS
001 2014-01-01 ANN PHILLIPS
001 2014-01-01 ANN PHILLIPS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2024-01-01	JACOB HOLZKNECHT	2024-09-18
001	2023-01-01	JACOB HOLZKNECHT	2024-06-07
001	2022-01-01	JACOB HOLZKNECHT	2023-07-05
001	2021-01-01	JACOB HOLZKNECHT	2022-06-07
001	2020-01-01	JACOB HOLZKNECHT	2021-06-07
001	2019-01-01	JACOB HOLZKNECHT	2020-07-10
001	2018-01-01	JACOB HOLZKNECHT	2019-07-02
001	2017-01-01	JACOB HOLZKNECHT	2018-06-29
001	2016-01-01	ARASELY VALDEZ	2017-07-10
001	2015-01-01	ANN PHILLIPS
001	2014-01-01	ANN PHILLIPS
001	2014-01-01	ANN PHILLIPS

Plan Statistics for SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN

401k plan membership statisitcs for SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN

Measure Date Value
2015: SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 111
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 22
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 58
Total of all active and inactive participants 2015-01-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 80
Number of participants with account balances 2015-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 114
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 30
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 81
Total of all active and inactive participants 2014-01-01 111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 111
Number of participants with account balances 2014-01-01 111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2015: SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	111
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	22
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	58
Total of all active and inactive participants	2015-01-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	80
Number of participants with account balances	2015-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	114
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	30
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	81
Total of all active and inactive participants	2014-01-01	111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	111
Number of participants with account balances	2014-01-01	111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN

Measure	Date	Value
2015 : SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$320,384
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,501,835
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,480,962
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$305,563
Value of total assets at end of year	2015-12-31	$3,562,178
Value of total assets at beginning of year	2015-12-31	$4,743,629
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$20,873
Total interest from all sources	2015-12-31	$3,842
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan 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	$500,000
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	$151,058
Participant contributions at end of year	2015-12-31	$79,815
Participant contributions at beginning of year	2015-12-31	$142,199
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$20,873
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	$-1,181,451
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$3,562,178
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$4,743,629
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 pooled separate accounts at end of year	2015-12-31	$3,452,272
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$4,552,470
Interest on participant loans	2015-12-31	$3,842
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$30,091
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$44,366
Net investment gain/loss from pooled separate accounts	2015-12-31	$10,979
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
Contributions received in cash from employer	2015-12-31	$154,505
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$4,594
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,480,962
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	MCCONNELL & JONES LLP
Accountancy firm EIN	2015-12-31	760488832
2014 : SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) 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	$690,070
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,644,391
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,627,689
Value of total corrective distributions	2014-12-31	$9,683
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$370,939
Value of total assets at end of year	2014-12-31	$4,739,086
Value of total assets at beginning of year	2014-12-31	$5,693,407
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$7,019
Total interest from all sources	2014-12-31	$5,356
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
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	$500,000
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	$169,451
Participant contributions at end of year	2014-12-31	$142,199
Participant contributions at beginning of year	2014-12-31	$210,812
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$132
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$13,973
Administrative expenses (other) incurred	2014-12-31	$7,019
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	$-954,321
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$4,739,086
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$5,693,407
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 pooled separate accounts at end of year	2014-12-31	$4,551,588
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$5,315,344
Interest on participant loans	2014-12-31	$5,356
Value of interest in common/collective trusts at end of year	2014-12-31	$882
Value of interest in common/collective trusts at beginning of year	2014-12-31	$849
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$44,366
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$165,214
Net investment gain/loss from pooled separate accounts	2014-12-31	$313,741
Net investment gain or loss from common/collective trusts	2014-12-31	$34
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
Contributions received in cash from employer	2014-12-31	$201,488
Employer contributions (assets) at end of year	2014-12-31	$51
Employer contributions (assets) at beginning of year	2014-12-31	$1,056
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,627,689
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	BARFIELD, MURPHY, SHANK & SMITH LLC
Accountancy firm EIN	2014-12-31	461498870

Form 5500 Responses for SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) PLAN

2015: SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) 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	No
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: SETTLEMENT FACILITY-DOW CORNING TRUST 401(K) 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	No
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

Insurance Providers Used on plan

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )

Policy contract number

600064

Policy instance

Insurance contract or identification number	600064
Number of Individuals Covered	93
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
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?	No
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
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	NON-CASH COMPENSATION
Insurance broker organization code?	4
Insurance broker name	RAYMOND JAMES FINANCIAL

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )

Policy contract number

600064

Policy instance

Insurance contract or identification number	600064
Number of Individuals Covered	99
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $21,390
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?	No
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
Commission paid to Insurance Broker	USD $21,390
Insurance broker organization code?	3
Insurance broker name	STEVE R. ODLE

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Company Name:	SETTLEMENT FACILITY-DOW CORNING TRUST
Employer identification number (EIN):	760676102
NAIC Classification:	812990
NAIC Description:	All Other Personal Services