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UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameUNIGEN CORPORATION 401(K) PROFIT SHARING PLAN
Plan identification number 001

UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

UNIGEN CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:UNIGEN CORPORATION
Employer identification number (EIN):770289753
NAIC Classification:334110

Additional information about UNIGEN CORPORATION

Jurisdiction of Incorporation: California Department of State
Incorporation Date:
Company Identification Number: C1802301

More information about UNIGEN CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01DEMITRY PINSKI2020-10-07
0012018-01-01DEMITRY PINSKI2019-10-07
0012017-01-01
0012016-01-01
0012016-01-01
0012015-01-01
0012014-01-01PAMELA MORGAN
0012013-01-01PAMELA MORGAN
0012012-01-01PAMELA MORGAN PAMELA MORGAN2013-07-30
0012011-01-01PAMELA MORGAN
0012010-01-01PAMELA F. MORGAN PAMELA F. MORGAN2011-08-16
0012009-01-01PAMELA F. MORGAN

Plan Statistics for UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN

Measure Date Value
2022: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01292
Total number of active participants reported on line 7a of the Form 55002022-01-01180
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01130
Total of all active and inactive participants2022-01-01310
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01310
Number of participants with account balances2022-01-01291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0126
2021: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01303
Total number of active participants reported on line 7a of the Form 55002021-01-01164
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01127
Total of all active and inactive participants2021-01-01291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01291
Number of participants with account balances2021-01-01269
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0118
2020: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01360
Total number of active participants reported on line 7a of the Form 55002020-01-01177
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01126
Total of all active and inactive participants2020-01-01303
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01303
Number of participants with account balances2020-01-01271
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0121
2019: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01332
Total number of active participants reported on line 7a of the Form 55002019-01-01207
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01105
Total of all active and inactive participants2019-01-01312
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01312
Number of participants with account balances2019-01-01263
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0117
2018: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01371
Total number of active participants reported on line 7a of the Form 55002018-01-01235
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0196
Total of all active and inactive participants2018-01-01331
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01331
Number of participants with account balances2018-01-01263
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0119
2017: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01394
Total number of active participants reported on line 7a of the Form 55002017-01-01288
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0182
Total of all active and inactive participants2017-01-01370
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01370
Number of participants with account balances2017-01-01262
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0116
2016: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01478
Total number of active participants reported on line 7a of the Form 55002016-01-01343
Number of retired or separated participants receiving benefits2016-01-016
Number of other retired or separated participants entitled to future benefits2016-01-01114
Total of all active and inactive participants2016-01-01463
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01463
Number of participants with account balances2016-01-01348
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-016
2015: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01448
Total number of active participants reported on line 7a of the Form 55002015-01-01350
Number of retired or separated participants receiving benefits2015-01-014
Number of other retired or separated participants entitled to future benefits2015-01-01119
Total of all active and inactive participants2015-01-01473
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01473
Number of participants with account balances2015-01-01349
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0143
2014: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01385
Total number of active participants reported on line 7a of the Form 55002014-01-01371
Number of retired or separated participants receiving benefits2014-01-012
Number of other retired or separated participants entitled to future benefits2014-01-0172
Total of all active and inactive participants2014-01-01445
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01445
Number of participants with account balances2014-01-01311
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0125
2013: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01318
Total number of active participants reported on line 7a of the Form 55002013-01-01324
Number of retired or separated participants receiving benefits2013-01-013
Number of other retired or separated participants entitled to future benefits2013-01-0147
Total of all active and inactive participants2013-01-01374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01374
Number of participants with account balances2013-01-01271
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0120
2012: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01257
Total number of active participants reported on line 7a of the Form 55002012-01-01282
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0132
Total of all active and inactive participants2012-01-01314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01314
Number of participants with account balances2012-01-0191
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01238
Total number of active participants reported on line 7a of the Form 55002011-01-01226
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0131
Total of all active and inactive participants2011-01-01257
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01257
Number of participants with account balances2011-01-0180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01163
Total number of active participants reported on line 7a of the Form 55002010-01-01219
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0119
Total of all active and inactive participants2010-01-01238
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01238
Number of participants with account balances2010-01-0171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0197
Total number of active participants reported on line 7a of the Form 55002009-01-01146
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0117
Total of all active and inactive participants2009-01-01163
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01163
Number of participants with account balances2009-01-0170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN

Measure Date Value
2022 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets to this plan2022-12-31$0
Total transfer of assets from this plan2022-12-31$0
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$0
Total income from all sources (including contributions)2022-12-31$-923,042
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,145,655
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,088,880
Expenses. Certain deemed distributions of participant loans2022-12-31$2,435
Value of total corrective distributions2022-12-31$15,649
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,505,434
Value of total assets at end of year2022-12-31$13,955,785
Value of total assets at beginning of year2022-12-31$16,024,482
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$38,691
Total interest from all sources2022-12-31$4,368
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$412,690
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$412,690
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$1,215,888
Participant contributions at end of year2022-12-31$20,046
Participant contributions at beginning of year2022-12-31$64,558
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$52,337
Administrative expenses (other) incurred2022-12-31$38,691
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-2,068,697
Value of net assets at end of year (total assets less liabilities)2022-12-31$13,955,785
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$16,024,482
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$11,472,906
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$13,942,486
Interest on participant loans2022-12-31$4,368
Value of interest in common/collective trusts at end of year2022-12-31$2,462,833
Value of interest in common/collective trusts at beginning of year2022-12-31$2,017,438
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-2,884,906
Net investment gain or loss from common/collective trusts2022-12-31$39,372
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$237,209
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,088,880
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31JOHANSON & YAU ACCOUNTANCY CORP
Accountancy firm EIN2022-12-31942702860
2021 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets to this plan2021-12-31$0
Total transfer of assets from this plan2021-12-31$0
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$3,694,287
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$1,964,875
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$1,899,762
Expenses. Certain deemed distributions of participant loans2021-12-31$18,709
Value of total corrective distributions2021-12-31$12,923
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,537,755
Value of total assets at end of year2021-12-31$16,024,482
Value of total assets at beginning of year2021-12-31$14,295,070
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$33,481
Total interest from all sources2021-12-31$3,517
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$989,709
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$989,709
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,121,118
Participant contributions at end of year2021-12-31$64,558
Participant contributions at beginning of year2021-12-31$70,524
Participant contributions at beginning of year2021-12-31$718
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$209,836
Other income not declared elsewhere2021-12-31$7,207
Administrative expenses (other) incurred2021-12-31$33,481
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$1,729,412
Value of net assets at end of year (total assets less liabilities)2021-12-31$16,024,482
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$14,295,070
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$13,942,486
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$13,321,126
Interest on participant loans2021-12-31$3,517
Value of interest in common/collective trusts at end of year2021-12-31$2,017,438
Value of interest in common/collective trusts at beginning of year2021-12-31$902,690
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$1,139,180
Net investment gain or loss from common/collective trusts2021-12-31$16,919
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$206,801
Employer contributions (assets) at beginning of year2021-12-31$12
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$1,899,762
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31JOHANSON & YAU ACCOUNTANCY CORP
Accountancy firm EIN2021-12-31942702860
2020 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$0
Total transfer of assets from this plan2020-12-31$0
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$3,692,957
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$1,460,280
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$1,413,928
Expenses. Certain deemed distributions of participant loans2020-12-31$1,027
Value of total corrective distributions2020-12-31$12,030
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,649,083
Value of total assets at end of year2020-12-31$14,295,070
Value of total assets at beginning of year2020-12-31$12,062,393
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$33,295
Total interest from all sources2020-12-31$4,385
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$382,618
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$382,618
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,009,465
Participant contributions at end of year2020-12-31$70,524
Participant contributions at beginning of year2020-12-31$88,437
Participant contributions at end of year2020-12-31$718
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$446,787
Administrative expenses (other) incurred2020-12-31$33,295
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$2,232,677
Value of net assets at end of year (total assets less liabilities)2020-12-31$14,295,070
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$12,062,393
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$13,321,126
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$11,141,994
Interest on participant loans2020-12-31$4,385
Value of interest in common/collective trusts at end of year2020-12-31$902,690
Value of interest in common/collective trusts at beginning of year2020-12-31$831,950
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$12
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$12
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$1,639,826
Net investment gain or loss from common/collective trusts2020-12-31$17,045
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$192,831
Employer contributions (assets) at end of year2020-12-31$12
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$1,413,928
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31JOHANSON & YAU ACCOUNTANCY CORP
Accountancy firm EIN2020-12-31942702860
2019 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets2019-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$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
Expenses. Interest paid2019-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022019-12-31$0
Total income from all sources (including contributions)2019-12-31$3,560,086
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$882,545
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$838,878
Expenses. Certain deemed distributions of participant loans2019-12-31$164
Value of total corrective distributions2019-12-31$12,735
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,361,932
Value of total assets at end of year2019-12-31$12,062,393
Value of total assets at beginning of year2019-12-31$9,384,852
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$30,768
Total income from rents2019-12-31$0
Total interest from all sources2019-12-31$5,139
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$304,926
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$304,926
Administrative expenses professional fees incurred2019-12-31$0
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,064,760
Participant contributions at end of year2019-12-31$88,437
Participant contributions at beginning of year2019-12-31$111,087
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$0
Assets. Other investments not covered elsewhere at end of year2019-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$178,092
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$50,110
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$0
Other income not declared elsewhere2019-12-31$570
Administrative expenses (other) incurred2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Income. Non cash contributions2019-12-31$0
Value of net income/loss2019-12-31$2,677,541
Value of net assets at end of year (total assets less liabilities)2019-12-31$12,062,393
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$9,384,852
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$30,768
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$11,141,994
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$8,560,272
Interest on participant loans2019-12-31$5,139
Income. Interest from loans (other than to participants)2019-12-31$0
Interest earned on other investments2019-12-31$0
Income. Interest from US Government securities2019-12-31$0
Income. Interest from corporate debt instruments2019-12-31$0
Value of interest in common/collective trusts at end of year2019-12-31$831,950
Value of interest in common/collective trusts at beginning of year2019-12-31$458,411
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$12
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$76,990
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$76,990
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,870,097
Net investment gain/loss from pooled separate accounts2019-12-31$0
Net investment gain or loss from common/collective trusts2019-12-31$17,422
Net gain/loss from 103.12 investment entities2019-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$247,062
Employer contributions (assets) at end of year2019-12-31$0
Employer contributions (assets) at beginning of year2019-12-31$0
Income. Dividends from preferred stock2019-12-31$0
Income. Dividends from common stock2019-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$838,878
Contract administrator fees2019-12-31$0
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$0
Aggregate carrying amount (costs) on sale of assets2019-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31JOHANSON & YAU ACCOUNTANCY CORP
Accountancy firm EIN2019-12-31942702860
2018 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
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$798,074
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,709,300
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,666,634
Expenses. Certain deemed distributions of participant loans2018-12-31$157
Value of total corrective distributions2018-12-31$10,680
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,241,006
Value of total assets at end of year2018-12-31$9,384,852
Value of total assets at beginning of year2018-12-31$10,296,078
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$31,829
Total interest from all sources2018-12-31$3,773
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$380,124
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$380,124
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,035,225
Participant contributions at end of year2018-12-31$111,087
Participant contributions at beginning of year2018-12-31$47,631
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$36,952
Assets. Other investments not covered elsewhere at end of year2018-12-31$178,092
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$233,380
Other income not declared elsewhere2018-12-31$2,756
Administrative expenses (other) incurred2018-12-31$31,829
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-911,226
Value of net assets at end of year (total assets less liabilities)2018-12-31$9,384,852
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$10,296,078
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$8,560,272
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$9,446,661
Interest on participant loans2018-12-31$3,773
Value of interest in common/collective trusts at end of year2018-12-31$458,411
Value of interest in common/collective trusts at beginning of year2018-12-31$31,296
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$76,990
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$22,359
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$22,359
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$469,010
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-835,787
Net investment gain or loss from common/collective trusts2018-12-31$6,202
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$205,781
Employer contributions (assets) at end of year2018-12-31$0
Employer contributions (assets) at beginning of year2018-12-31$8,789
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,666,634
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31JOHANSON & YAU ACCOUNTANCY CORP
Accountancy firm EIN2018-12-31942702860
2017 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
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$2,675,049
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$2,159,644
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$2,136,379
Expenses. Certain deemed distributions of participant loans2017-12-31$62
Value of total corrective distributions2017-12-31$3,804
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,196,981
Value of total assets at end of year2017-12-31$10,296,078
Value of total assets at beginning of year2017-12-31$9,780,673
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$19,399
Total interest from all sources2017-12-31$51,274
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$278,970
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$219,117
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$999,387
Participant contributions at end of year2017-12-31$47,631
Participant contributions at beginning of year2017-12-31$94,286
Participant contributions at end of year2017-12-31$36,952
Participant contributions at beginning of year2017-12-31$31,110
Assets. Other investments not covered elsewhere at end of year2017-12-31$233,380
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$1,884
Other income not declared elsewhere2017-12-31$0
Administrative expenses (other) incurred2017-12-31$19,399
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$515,405
Value of net assets at end of year (total assets less liabilities)2017-12-31$10,296,078
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$9,780,673
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$9,446,661
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$8,619,649
Interest on participant loans2017-12-31$4,044
Value of interest in common/collective trusts at end of year2017-12-31$31,296
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$22,359
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$47,230
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$469,010
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$1,025,164
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$1,147,376
Net investment gain or loss from common/collective trusts2017-12-31$448
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$195,710
Employer contributions (assets) at end of year2017-12-31$8,789
Employer contributions (assets) at beginning of year2017-12-31$10,464
Income. Dividends from common stock2017-12-31$59,853
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$2,136,379
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31JOHANSON & YAU ACCOUNTANCY CORP.
Accountancy firm EIN2017-12-31942702860
2016 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets2016-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$0
Total unrealized appreciation/depreciation of assets2016-12-31$0
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$1,602
Expenses. Interest paid2016-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022016-12-31$0
Total income from all sources (including contributions)2016-12-31$2,170,721
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$817,809
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$727,489
Expenses. Certain deemed distributions of participant loans2016-12-31$32,712
Value of total corrective distributions2016-12-31$2,751
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,514,231
Value of total assets at end of year2016-12-31$9,780,673
Value of total assets at beginning of year2016-12-31$8,429,363
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$54,857
Total income from rents2016-12-31$0
Total interest from all sources2016-12-31$346,777
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$0
Administrative expenses professional fees incurred2016-12-31$3,457
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,129,570
Participant contributions at end of year2016-12-31$94,286
Participant contributions at beginning of year2016-12-31$141,846
Participant contributions at end of year2016-12-31$31,110
Participant contributions at beginning of year2016-12-31$309
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$84,354
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$1,602
Administrative expenses (other) incurred2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$1,352,912
Value of net assets at end of year (total assets less liabilities)2016-12-31$9,780,673
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$8,427,761
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$8,619,649
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$7,676,373
Interest on participant loans2016-12-31$5,608
Income. Interest from loans (other than to participants)2016-12-31$0
Interest earned on other investments2016-12-31$341,169
Income. Interest from US Government securities2016-12-31$0
Income. Interest from corporate debt instruments2016-12-31$0
Value of interest in common/collective trusts at end of year2016-12-31$0
Value of interest in common/collective trusts at beginning of year2016-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$1,025,164
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$610,835
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$309,713
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$300,307
Employer contributions (assets) at end of year2016-12-31$10,464
Employer contributions (assets) at beginning of year2016-12-31$0
Income. Dividends from preferred stock2016-12-31$0
Income. Dividends from common stock2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$727,489
Contract administrator fees2016-12-31$51,400
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$0
Aggregate carrying amount (costs) on sale of assets2016-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31DAVID J. CORMIA
Accountancy firm EIN2016-12-31208298840
2015 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$1,602
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Expenses. Interest paid2015-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022015-12-31$0
Total income from all sources (including contributions)2015-12-31$2,167,710
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$607,830
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$577,392
Expenses. Certain deemed distributions of participant loans2015-12-31$5,073
Value of total corrective distributions2015-12-31$16,675
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,296,257
Value of total assets at end of year2015-12-31$8,429,363
Value of total assets at beginning of year2015-12-31$6,867,881
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$8,690
Total interest from all sources2015-12-31$516,830
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Administrative expenses professional fees incurred2015-12-31$2,039
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,373,273
Participant contributions at end of year2015-12-31$141,846
Participant contributions at beginning of year2015-12-31$127,719
Participant contributions at end of year2015-12-31$309
Participant contributions at beginning of year2015-12-31$79
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$570,999
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$1,602
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$0
Other income not declared elsewhere2015-12-31$14
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Income. Non cash contributions2015-12-31$0
Value of net income/loss2015-12-31$1,559,880
Value of net assets at end of year (total assets less liabilities)2015-12-31$8,427,761
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$6,867,881
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$7,676,373
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$6,158,917
Interest on participant loans2015-12-31$7,522
Interest earned on other investments2015-12-31$509,308
Value of interest in common/collective trusts at end of year2015-12-31$0
Value of interest in common/collective trusts at beginning of year2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$610,835
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$394,407
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-645,391
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$351,985
Employer contributions (assets) at end of year2015-12-31$0
Employer contributions (assets) at beginning of year2015-12-31$186,759
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$577,392
Contract administrator fees2015-12-31$6,651
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31DAVID J. CORMIA
Accountancy firm EIN2015-12-31208298840
2014 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$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$5,218
Expenses. Interest paid2014-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022014-12-31$0
Total income from all sources (including contributions)2014-12-31$2,336,523
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$500,188
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$426,496
Expenses. Certain deemed distributions of participant loans2014-12-31$49,461
Value of total corrective distributions2014-12-31$17,411
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,002,283
Value of total assets at end of year2014-12-31$6,867,881
Value of total assets at beginning of year2014-12-31$5,036,764
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$6,820
Total interest from all sources2014-12-31$333,263
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 year2014-12-31No
Administrative expenses professional fees incurred2014-12-31$3,684
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,227,383
Participant contributions at end of year2014-12-31$127,719
Participant contributions at beginning of year2014-12-31$115,916
Participant contributions at end of year2014-12-31$79
Participant contributions at beginning of year2014-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$271,086
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$5,218
Other income not declared elsewhere2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,836,335
Value of net assets at end of year (total assets less liabilities)2014-12-31$6,867,881
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$5,031,546
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$6,158,917
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$4,459,294
Interest on participant loans2014-12-31$6,875
Interest earned on other investments2014-12-31$326,388
Value of interest in common/collective trusts at end of year2014-12-31$0
Value of interest in common/collective trusts at beginning of year2014-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$394,407
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$303,351
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$977
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$503,814
Employer contributions (assets) at end of year2014-12-31$186,759
Employer contributions (assets) at beginning of year2014-12-31$158,203
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$426,496
Contract administrator fees2014-12-31$3,136
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31Yes
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31DAVID J. CORMIA
Accountancy firm EIN2014-12-31208298840
2013 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$5,218
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Expenses. Interest paid2013-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022013-12-31$0
Total income from all sources (including contributions)2013-12-31$2,176,623
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$291,560
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$243,054
Expenses. Certain deemed distributions of participant loans2013-12-31$0
Value of total corrective distributions2013-12-31$47,784
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,677,200
Value of total assets at end of year2013-12-31$5,036,764
Value of total assets at beginning of year2013-12-31$3,146,483
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$722
Total interest from all sources2013-12-31$207,568
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Administrative expenses professional fees incurred2013-12-31$0
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$974,596
Participant contributions at end of year2013-12-31$115,916
Participant contributions at beginning of year2013-12-31$38,925
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$300,223
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$5,218
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$0
Other income not declared elsewhere2013-12-31$-100
Administrative expenses (other) incurred2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Income. Non cash contributions2013-12-31$0
Value of net income/loss2013-12-31$1,885,063
Value of net assets at end of year (total assets less liabilities)2013-12-31$5,031,546
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$3,146,483
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$4,459,294
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$2,780,907
Interest on participant loans2013-12-31$2,256
Interest earned on other investments2013-12-31$205,312
Value of interest in common/collective trusts at end of year2013-12-31$0
Value of interest in common/collective trusts at beginning of year2013-12-31$326,651
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$303,351
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$291,955
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$402,381
Employer contributions (assets) at end of year2013-12-31$158,203
Employer contributions (assets) at beginning of year2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$243,054
Contract administrator fees2013-12-31$722
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31Yes
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31SILICON VALLEY ACCOUNTANCY CORP
Accountancy firm EIN2013-12-31770573994
2012 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$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$1,219,650
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$192,717
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$160,234
Value of total corrective distributions2012-12-31$31,833
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$876,581
Value of total assets at end of year2012-12-31$3,146,483
Value of total assets at beginning of year2012-12-31$2,119,550
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$650
Total interest from all sources2012-12-31$280
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$66,509
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$66,509
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$212,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$414,883
Participant contributions at end of year2012-12-31$38,925
Participant contributions at beginning of year2012-12-31$7,864
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$461,698
Administrative expenses (other) incurred2012-12-31$650
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,026,933
Value of net assets at end of year (total assets less liabilities)2012-12-31$3,146,483
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$2,119,550
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$2,780,907
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$1,852,501
Interest on participant loans2012-12-31$280
Value of interest in common/collective trusts at end of year2012-12-31$326,651
Value of interest in common/collective trusts at beginning of year2012-12-31$259,185
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$263,886
Net investment gain or loss from common/collective trusts2012-12-31$12,394
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$160,234
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31DAVID J. CORMIA CPA
Accountancy firm EIN2012-12-31208298840
2011 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
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$168,174
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$92,970
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$85,464
Value of total corrective distributions2011-12-31$7,081
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$310,565
Value of total assets at end of year2011-12-31$2,119,550
Value of total assets at beginning of year2011-12-31$2,044,346
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$425
Total interest from all sources2011-12-31$425
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$16,330
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$16,330
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$205,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$298,610
Participant contributions at end of year2011-12-31$7,864
Participant contributions at beginning of year2011-12-31$7,614
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$11,955
Administrative expenses (other) incurred2011-12-31$425
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$75,204
Value of net assets at end of year (total assets less liabilities)2011-12-31$2,119,550
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$2,044,346
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$1,852,501
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$1,802,043
Interest on participant loans2011-12-31$425
Value of interest in common/collective trusts at end of year2011-12-31$259,185
Value of interest in common/collective trusts at beginning of year2011-12-31$234,689
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-161,772
Net investment gain or loss from common/collective trusts2011-12-31$2,626
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$85,464
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31DAVID J. CORMIA CPA
Accountancy firm EIN2011-12-31208298840
2010 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$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$576,845
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$103,628
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$71,059
Value of total corrective distributions2010-12-31$32,019
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$279,262
Value of total assets at end of year2010-12-31$2,044,346
Value of total assets at beginning of year2010-12-31$1,571,129
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$550
Total interest from all sources2010-12-31$542
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$11,637
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$11,637
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$158,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$242,341
Participant contributions at end of year2010-12-31$7,614
Participant contributions at beginning of year2010-12-31$7,326
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$36,921
Administrative expenses (other) incurred2010-12-31$550
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$473,217
Value of net assets at end of year (total assets less liabilities)2010-12-31$2,044,346
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$1,571,129
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$1,802,043
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$1,411,118
Interest on participant loans2010-12-31$542
Value of interest in common/collective trusts at end of year2010-12-31$234,689
Value of interest in common/collective trusts at beginning of year2010-12-31$152,685
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$281,261
Net investment gain or loss from common/collective trusts2010-12-31$4,143
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$71,059
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31DAVID J CORMIA CPA
Accountancy firm EIN2010-12-31208298840
2009 : UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN

2022: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: UNIGEN CORPORATION 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number915379-01
Policy instance 1
Insurance contract or identification number915379-01
Number of Individuals Covered1
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number915379-01
Policy instance 1
Insurance contract or identification number915379-01
Number of Individuals Covered1
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number915379-01
Policy instance 1
Insurance contract or identification number915379-01
Number of Individuals Covered64
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $1,223
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,223
Insurance broker organization code?3
Insurance broker nameRICHARD LYNCH
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number915379-01
Policy instance 1
Insurance contract or identification number915379-01
Number of Individuals Covered54
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $933
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $933
Insurance broker organization code?3
Insurance broker nameRICHARD LYNCH
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number915379-01
Policy instance 1
Insurance contract or identification number915379-01
Number of Individuals Covered46
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $791
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $791
Insurance broker organization code?3
Insurance broker nameRICHARD LYNCH

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