401k Plan data: SOUTHWEST AGENCY, INC. 401(K) PLAN plan

SOUTHWEST AGENCY, INC. 401(K) PLAN 401k Plan overview

Plan Name	SOUTHWEST AGENCY, INC. 401(K) PLAN
Plan identification number	001

SOUTHWEST AGENCY, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

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

Company Name: SOUTHWEST AGENCY, INC.

Employer identification number (EIN): 770409311

NAIC Classification: 524140

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SOUTHWEST AGENCY, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-10-01 JOHN HOLT 2016-12-20
001 2014-10-01 JOHN HOLT 2016-06-16
001 2013-10-01 JOHN HOLT 2015-07-16
001 2012-10-01 JOHN HOLT 2014-07-15
001 2011-10-01 JOHN HOLT 2013-07-11
001 2010-10-01 JOHN HOLT 2013-05-28
001 2008-10-01 JOHN HOLT
001 2007-10-01 JOHN HOLT
001 2006-10-01 JOHN HOLT
001 2005-10-01 JOHN HOLT
001 2004-10-01 JOHN HOLT

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-10-01	JOHN HOLT	2016-12-20
001	2014-10-01	JOHN HOLT	2016-06-16
001	2013-10-01	JOHN HOLT	2015-07-16
001	2012-10-01	JOHN HOLT	2014-07-15
001	2011-10-01	JOHN HOLT	2013-07-11
001	2010-10-01	JOHN HOLT	2013-05-28
001	2008-10-01	JOHN HOLT
001	2007-10-01	JOHN HOLT
001	2006-10-01	JOHN HOLT
001	2005-10-01	JOHN HOLT
001	2004-10-01	JOHN HOLT

Plan Statistics for SOUTHWEST AGENCY, INC. 401(K) PLAN

401k plan membership statisitcs for SOUTHWEST AGENCY, INC. 401(K) PLAN

Measure Date Value
2008: SOUTHWEST AGENCY, INC. 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year 2008-10-01 2
Total number of active participants reported on line 7a of the Form 5500 2008-10-01 1
Number of retired or separated participants receiving benefits 2008-10-01 0
Number of other retired or separated participants entitled to future benefits 2008-10-01 0
Total of all active and inactive participants 2008-10-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-10-01 0
Total participants 2008-10-01 1
Number of participants with account balances 2008-10-01 1
2007: SOUTHWEST AGENCY, INC. 401(K) PLAN 2007 401k membership
Total participants, beginning-of-year 2007-10-01 2
Total number of active participants reported on line 7a of the Form 5500 2007-10-01 2
Number of retired or separated participants receiving benefits 2007-10-01 0
Number of other retired or separated participants entitled to future benefits 2007-10-01 0
Total of all active and inactive participants 2007-10-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-10-01 0
Total participants 2007-10-01 2
Number of participants with account balances 2007-10-01 1
2006: SOUTHWEST AGENCY, INC. 401(K) PLAN 2006 401k membership
Total participants, beginning-of-year 2006-10-01 2
Total number of active participants reported on line 7a of the Form 5500 2006-10-01 2
Number of retired or separated participants receiving benefits 2006-10-01 0
Number of other retired or separated participants entitled to future benefits 2006-10-01 0
Total of all active and inactive participants 2006-10-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2006-10-01 0
Total participants 2006-10-01 2
Number of participants with account balances 2006-10-01 1
2005: SOUTHWEST AGENCY, INC. 401(K) PLAN 2005 401k membership
Total participants, beginning-of-year 2005-10-01 2
Total number of active participants reported on line 7a of the Form 5500 2005-10-01 2
Number of retired or separated participants receiving benefits 2005-10-01 0
Number of other retired or separated participants entitled to future benefits 2005-10-01 0
Total of all active and inactive participants 2005-10-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2005-10-01 0
Total participants 2005-10-01 2
Number of participants with account balances 2005-10-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2005-10-01 0
2004: SOUTHWEST AGENCY, INC. 401(K) PLAN 2004 401k membership
Total participants, beginning-of-year 2004-10-01 1
Total number of active participants reported on line 7a of the Form 5500 2004-10-01 1
Number of retired or separated participants receiving benefits 2004-10-01 0
Number of other retired or separated participants entitled to future benefits 2004-10-01 0
Total of all active and inactive participants 2004-10-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2004-10-01 0
Total participants 2004-10-01 1
Number of participants with account balances 2004-10-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2004-10-01 0

Measure	Date	Value
2008: SOUTHWEST AGENCY, INC. 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year	2008-10-01	2
Total number of active participants reported on line 7a of the Form 5500	2008-10-01	1
Number of retired or separated participants receiving benefits	2008-10-01	0
Number of other retired or separated participants entitled to future benefits	2008-10-01	0
Total of all active and inactive participants	2008-10-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-10-01	0
Total participants	2008-10-01	1
Number of participants with account balances	2008-10-01	1
2007: SOUTHWEST AGENCY, INC. 401(K) PLAN 2007 401k membership
Total participants, beginning-of-year	2007-10-01	2
Total number of active participants reported on line 7a of the Form 5500	2007-10-01	2
Number of retired or separated participants receiving benefits	2007-10-01	0
Number of other retired or separated participants entitled to future benefits	2007-10-01	0
Total of all active and inactive participants	2007-10-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-10-01	0
Total participants	2007-10-01	2
Number of participants with account balances	2007-10-01	1
2006: SOUTHWEST AGENCY, INC. 401(K) PLAN 2006 401k membership
Total participants, beginning-of-year	2006-10-01	2
Total number of active participants reported on line 7a of the Form 5500	2006-10-01	2
Number of retired or separated participants receiving benefits	2006-10-01	0
Number of other retired or separated participants entitled to future benefits	2006-10-01	0
Total of all active and inactive participants	2006-10-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2006-10-01	0
Total participants	2006-10-01	2
Number of participants with account balances	2006-10-01	1
2005: SOUTHWEST AGENCY, INC. 401(K) PLAN 2005 401k membership
Total participants, beginning-of-year	2005-10-01	2
Total number of active participants reported on line 7a of the Form 5500	2005-10-01	2
Number of retired or separated participants receiving benefits	2005-10-01	0
Number of other retired or separated participants entitled to future benefits	2005-10-01	0
Total of all active and inactive participants	2005-10-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2005-10-01	0
Total participants	2005-10-01	2
Number of participants with account balances	2005-10-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2005-10-01	0
2004: SOUTHWEST AGENCY, INC. 401(K) PLAN 2004 401k membership
Total participants, beginning-of-year	2004-10-01	1
Total number of active participants reported on line 7a of the Form 5500	2004-10-01	1
Number of retired or separated participants receiving benefits	2004-10-01	0
Number of other retired or separated participants entitled to future benefits	2004-10-01	0
Total of all active and inactive participants	2004-10-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2004-10-01	0
Total participants	2004-10-01	1
Number of participants with account balances	2004-10-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2004-10-01	0

Financial Data on SOUTHWEST AGENCY, INC. 401(K) PLAN

Measure	Date	Value
2009 : SOUTHWEST AGENCY, INC. 401(K) PLAN 2009 401k financial data
Total income from all sources	2009-09-30	$-13,918
Expenses. Total of all expenses incurred	2009-09-30	$150,000
Benefits paid (including direct rollovers)	2009-09-30	$150,000
Total plan assets at end of year	2009-09-30	$486,614
Total plan assets at beginning of year	2009-09-30	$650,532
Other income received	2009-09-30	$-13,918
Net income (gross income less expenses)	2009-09-30	$-163,918
Net plan assets at end of year (total assets less liabilities)	2009-09-30	$486,614
Net plan assets at beginning of year (total assets less liabilities)	2009-09-30	$650,532
Assets. Value of participant loans	2009-09-30	$43,396
2008 : SOUTHWEST AGENCY, INC. 401(K) PLAN 2008 401k financial data
Total income from all sources	2008-09-30	$307,153
Total plan assets at end of year	2008-09-30	$650,532
Total plan assets at beginning of year	2008-09-30	$343,379
Other income received	2008-09-30	$307,153
Net income (gross income less expenses)	2008-09-30	$307,153
Net plan assets at end of year (total assets less liabilities)	2008-09-30	$650,532
Net plan assets at beginning of year (total assets less liabilities)	2008-09-30	$343,379
Assets. Value of participant loans	2008-09-30	$47,815
2007 : SOUTHWEST AGENCY, INC. 401(K) PLAN 2007 401k financial data
Total income from all sources	2007-09-30	$1,755
Total plan assets at end of year	2007-09-30	$343,379
Total plan assets at beginning of year	2007-09-30	$341,624
Other income received	2007-09-30	$1,755
Net income (gross income less expenses)	2007-09-30	$1,755
Net plan assets at end of year (total assets less liabilities)	2007-09-30	$343,379
Net plan assets at beginning of year (total assets less liabilities)	2007-09-30	$341,624
Assets. Value of participant loans	2007-09-30	$50,000
2006 : SOUTHWEST AGENCY, INC. 401(K) PLAN 2006 401k financial data
Total income from all sources	2006-09-30	$23,540
Expenses. Total of all expenses incurred	2006-09-30	$0
Total plan assets at end of year	2006-09-30	$341,624
Total plan assets at beginning of year	2006-09-30	$318,084
Other income received	2006-09-30	$23,540
Net income (gross income less expenses)	2006-09-30	$23,540
Net plan assets at end of year (total assets less liabilities)	2006-09-30	$341,624
Net plan assets at beginning of year (total assets less liabilities)	2006-09-30	$318,084
Assets. Value of participant loans	2006-09-30	$50,000
2005 : SOUTHWEST AGENCY, INC. 401(K) PLAN 2005 401k financial data
Total income from all sources	2005-09-30	$-1,518
Expenses. Total of all expenses incurred	2005-09-30	$0
Total plan assets at end of year	2005-09-30	$318,084
Total plan assets at beginning of year	2005-09-30	$319,602
Other income received	2005-09-30	$-1,518
Net income (gross income less expenses)	2005-09-30	$-1,518
Net plan assets at end of year (total assets less liabilities)	2005-09-30	$318,084
Net plan assets at beginning of year (total assets less liabilities)	2005-09-30	$319,602
Assets. Value of participant loans	2005-09-30	$50,000

Form 5500 Responses for SOUTHWEST AGENCY, INC. 401(K) PLAN

2008: SOUTHWEST AGENCY, INC. 401(K) PLAN 2008 form 5500 responses
2008-10-01	Type of plan entity	Single employer plan
2008-10-01	Submission has been amended	No
2008-10-01	This submission is the final filing	No
2008-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-10-01	Plan is a collectively bargained plan	No
2008-10-01	Plan funding arrangement – Trust	Yes
2008-10-01	Plan benefit arrangement - Trust	Yes
2007: SOUTHWEST AGENCY, INC. 401(K) PLAN 2007 form 5500 responses
2007-10-01	Type of plan entity	Single employer plan
2007-10-01	Submission has been amended	No
2007-10-01	This submission is the final filing	No
2007-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-10-01	Plan is a collectively bargained plan	No
2007-10-01	Plan funding arrangement – Trust	Yes
2007-10-01	Plan benefit arrangement - Trust	Yes
2006: SOUTHWEST AGENCY, INC. 401(K) PLAN 2006 form 5500 responses
2006-10-01	Type of plan entity	Single employer plan
2006-10-01	Submission has been amended	No
2006-10-01	This submission is the final filing	No
2006-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2006-10-01	Plan is a collectively bargained plan	No
2006-10-01	Plan funding arrangement – Trust	Yes
2006-10-01	Plan benefit arrangement - Trust	Yes
2005: SOUTHWEST AGENCY, INC. 401(K) PLAN 2005 form 5500 responses
2005-10-01	Type of plan entity	Single employer plan
2005-10-01	Submission has been amended	No
2005-10-01	This submission is the final filing	No
2005-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2005-10-01	Plan is a collectively bargained plan	No
2005-10-01	Plan funding arrangement – Trust	Yes
2005-10-01	Plan benefit arrangement - Trust	Yes
2004: SOUTHWEST AGENCY, INC. 401(K) PLAN 2004 form 5500 responses
2004-10-01	Type of plan entity	Single employer plan
2004-10-01	Submission has been amended	Yes
2004-10-01	This submission is the final filing	No
2004-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2004-10-01	Plan is a collectively bargained plan	No
2004-10-01	Plan funding arrangement – Trust	Yes
2004-10-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

SOUTHWEST AGENCY, INC. 401(K) PLAN [EIN = 440593279]

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Company Name:	SOUTHWEST AGENCY, INC.
Employer identification number (EIN):	770409311
NAIC Classification:	524140