401k Plan data: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN plan

SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 401k Plan overview

Plan Name	SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN
Plan identification number	001

SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

SPERRY & RICE MANUFACTURING COMPANY, LLC. has sponsored the creation of one or more 401k plans.

Company Name: SPERRY & RICE MANUFACTURING COMPANY, LLC.

Employer identification number (EIN): 830384496

NAIC Classification: 326100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 THOMAS SANDER
001 2013-01-01 THOMAS SANDER
001 2012-01-01 THOMAS SANDER
001 2011-01-01 THOMAS SANDER
001 2010-01-01 THOMAS SANDER
001 2009-01-01 THOMAS SANDER
001 2009-01-01 THOMAS SANDER THOMAS SANDER 2010-12-28

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	THOMAS SANDER
001	2013-01-01	THOMAS SANDER
001	2012-01-01	THOMAS SANDER
001	2011-01-01	THOMAS SANDER
001	2010-01-01	THOMAS SANDER
001	2009-01-01	THOMAS SANDER
001	2009-01-01	THOMAS SANDER	THOMAS SANDER	2010-12-28

Plan Statistics for SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN

401k plan membership statisitcs for SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN

Measure Date Value
2014: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 119
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 18
Total of all active and inactive participants 2014-01-01 137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 137
Number of participants with account balances 2014-01-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 156
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 120
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 22
Total of all active and inactive participants 2013-01-01 142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 142
Number of participants with account balances 2013-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 177
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 134
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 22
Total of all active and inactive participants 2012-01-01 156
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 156
Number of participants with account balances 2012-01-01 104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 157
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 20
Total of all active and inactive participants 2011-01-01 177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 177
Number of participants with account balances 2011-01-01 110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 222
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 147
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 34
Total of all active and inactive participants 2010-01-01 181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 181
Number of participants with account balances 2010-01-01 127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 3
2009: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 286
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 202
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 20
Total of all active and inactive participants 2009-01-01 222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 222
Number of participants with account balances 2009-01-01 139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	119
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	18
Total of all active and inactive participants	2014-01-01	137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	137
Number of participants with account balances	2014-01-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	156
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	120
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	22
Total of all active and inactive participants	2013-01-01	142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	142
Number of participants with account balances	2013-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	177
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	134
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	22
Total of all active and inactive participants	2012-01-01	156
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	156
Number of participants with account balances	2012-01-01	104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	157
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	20
Total of all active and inactive participants	2011-01-01	177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	177
Number of participants with account balances	2011-01-01	110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	222
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	147
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	34
Total of all active and inactive participants	2010-01-01	181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	181
Number of participants with account balances	2010-01-01	127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	3
2009: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	286
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	202
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	20
Total of all active and inactive participants	2009-01-01	222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	222
Number of participants with account balances	2009-01-01	139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN

Measure	Date	Value
2014 : SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$219,582
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$174,801
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$168,563
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$158,510
Value of total assets at end of year	2014-12-31	$1,783,527
Value of total assets at beginning of year	2014-12-31	$1,738,746
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$6,238
Total interest from all sources	2014-12-31	$3,154
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$69,951
Participant contributions at end of year	2014-12-31	$52,692
Participant contributions at beginning of year	2014-12-31	$71,869
Participant contributions at end of year	2014-12-31	$344
Participant contributions at beginning of year	2014-12-31	$78
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$51,047
Administrative expenses (other) incurred	2014-12-31	$5,812
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$44,781
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$1,783,527
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$1,738,746
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$1,728,926
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$1,666,741
Interest on participant loans	2014-12-31	$3,154
Value of interest in common/collective trusts at end of year	2014-12-31	$1,241
Value of interest in common/collective trusts at beginning of year	2014-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$57,918
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$37,512
Employer contributions (assets) at end of year	2014-12-31	$324
Employer contributions (assets) at beginning of year	2014-12-31	$58
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$168,563
Contract administrator fees	2014-12-31	$426
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	RUDLER, PSC
Accountancy firm EIN	2014-12-31	311048275
2013 : SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$308,331
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$95,010
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$79,687
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$95,569
Value of total assets at end of year	2013-12-31	$1,738,746
Value of total assets at beginning of year	2013-12-31	$1,525,425
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$15,323
Total interest from all sources	2013-12-31	$3,000
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 year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$27,218
Participant contributions at end of year	2013-12-31	$71,869
Participant contributions at beginning of year	2013-12-31	$89,852
Participant contributions at end of year	2013-12-31	$78
Participant contributions at beginning of year	2013-12-31	$6,689
Administrative expenses (other) incurred	2013-12-31	$15,323
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$213,321
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$1,738,746
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$1,525,425
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in pooled separate accounts at end of year	2013-12-31	$1,666,741
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$1,424,742
Interest on participant loans	2013-12-31	$3,000
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$1,338
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$209,762
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$68,351
Employer contributions (assets) at end of year	2013-12-31	$58
Employer contributions (assets) at beginning of year	2013-12-31	$2,804
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$79,687
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	RUDLER, PSC
Accountancy firm EIN	2013-12-31	311048275
2012 : SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$290,977
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$279,519
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$250,509
Expenses. Certain deemed distributions of participant loans	2012-12-31	$1
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$116,210
Value of total assets at end of year	2012-12-31	$1,525,425
Value of total assets at beginning of year	2012-12-31	$1,513,967
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$29,009
Total interest from all sources	2012-12-31	$4,944
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$86,521
Participant contributions at end of year	2012-12-31	$89,852
Participant contributions at beginning of year	2012-12-31	$49,483
Participant contributions at end of year	2012-12-31	$6,689
Participant contributions at beginning of year	2012-12-31	$5,002
Administrative expenses (other) incurred	2012-12-31	$29,009
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$11,458
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,525,425
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,513,967
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in pooled separate accounts at end of year	2012-12-31	$1,424,742
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$1,442,138
Interest on participant loans	2012-12-31	$4,944
Value of interest in common/collective trusts at end of year	2012-12-31	$0
Value of interest in common/collective trusts at beginning of year	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$1,338
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$15,742
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$169,823
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$29,689
Employer contributions (assets) at end of year	2012-12-31	$2,804
Employer contributions (assets) at beginning of year	2012-12-31	$1,602
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$250,509
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	RUDLER, PSC
Accountancy firm EIN	2012-12-31	311048275
2011 : SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$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	$112,190
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$188,374
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$177,552
Expenses. Certain deemed distributions of participant loans	2011-12-31	$4,730
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$156,998
Value of total assets at end of year	2011-12-31	$1,513,967
Value of total assets at beginning of year	2011-12-31	$1,590,151
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$6,092
Total interest from all sources	2011-12-31	$2,451
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$111,053
Participant contributions at end of year	2011-12-31	$49,483
Participant contributions at beginning of year	2011-12-31	$57,046
Participant contributions at end of year	2011-12-31	$5,002
Participant contributions at beginning of year	2011-12-31	$4,347
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$9,834
Administrative expenses (other) incurred	2011-12-31	$6,092
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-76,184
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,513,967
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$1,590,151
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,442,138
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$1,527,182
Interest on participant loans	2011-12-31	$2,451
Value of interest in common/collective trusts at end of year	2011-12-31	$0
Value of interest in common/collective trusts at beginning of year	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$15,742
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$246
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-47,259
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$36,111
Employer contributions (assets) at end of year	2011-12-31	$1,602
Employer contributions (assets) at beginning of year	2011-12-31	$1,330
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$177,552
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	RUDLER, PSC
Accountancy firm EIN	2011-12-31	311048275
2010 : SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$331,699
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$339,934
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$335,563
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$168,563
Value of total assets at end of year	2010-12-31	$1,588,227
Value of total assets at beginning of year	2010-12-31	$1,596,462
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$4,371
Total interest from all sources	2010-12-31	$3,406
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$119,861
Participant contributions at end of year	2010-12-31	$57,046
Participant contributions at beginning of year	2010-12-31	$65,676
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$3,894
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$18,309
Other income not declared elsewhere	2010-12-31	$4,401
Administrative expenses (other) incurred	2010-12-31	$4,371
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$-8,235
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$1,588,227
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,596,462
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in pooled separate accounts at end of year	2010-12-31	$1,530,935
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$0
Interest on participant loans	2010-12-31	$3,406
Value of interest in common/collective trusts at end of year	2010-12-31	$0
Value of interest in common/collective trusts at beginning of year	2010-12-31	$1,525,891
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$246
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$159,730
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$30,393
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$1,001
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$335,563
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	KATZ, SAPPER, & MILLER
Accountancy firm EIN	2010-12-31	351090346
2009 : SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN

2014: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SPERRY & RICE MANUFACTURING COMPANY RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

97174

Policy instance

Insurance contract or identification number	97174
Number of Individuals Covered	97
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $7,201
Total amount of fees paid to insurance company	USD $5,851
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes
Commission paid to Insurance Broker	USD $890
Amount paid for insurance broker fees	5851
Additional information about fees paid to insurance broker	SALES/ ADMINISTRATION
Insurance broker organization code?	5
Insurance broker name	RAYMOND JAMES INSURANCE GROUP, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

97174

Policy instance

Insurance contract or identification number	97174
Number of Individuals Covered	101
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $6,108
Total amount of fees paid to insurance company	USD $6,195
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes
Amount paid for insurance broker fees	6195
Additional information about fees paid to insurance broker	SALES/ ADMINISTRATION
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $6,108
Insurance broker name	PLANNING CORP OF AMERICA

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

97174

Policy instance

Insurance contract or identification number	97174
Number of Individuals Covered	105
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $6,761
Total amount of fees paid to insurance company	USD $5,057
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes
Commission paid to Insurance Broker	USD $5,985
Insurance broker organization code?	3
Amount paid for insurance broker fees	5057
Additional information about fees paid to insurance broker	SALES/ ADMINISTRATION
Insurance broker name	CREATIVE RETIREMENT SYSTEMS, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

97174

Policy instance

Insurance contract or identification number	97174
Number of Individuals Covered	111
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $3,840
Total amount of fees paid to insurance company	USD $7,114
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes

JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

97174

Policy instance

Insurance contract or identification number	97174
Number of Individuals Covered	126
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $16,364
Total amount of fees paid to insurance company	USD $7,428
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes

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The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
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Company Name:	SPERRY & RICE MANUFACTURING COMPANY, LLC.
Employer identification number (EIN):	830384496
NAIC Classification:	326100