401k Plan data: GOODRICH & PENNINGTON 401(K) PLAN plan

GOODRICH & PENNINGTON 401(K) PLAN 401k Plan overview

Plan Name	GOODRICH & PENNINGTON 401(K) PLAN
Plan identification number	001

GOODRICH & PENNINGTON 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.
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.
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

GOODRICH AND PENNINGTON MORTGAGE FUND, INC. has sponsored the creation of one or more 401k plans.

Company Name: GOODRICH AND PENNINGTON MORTGAGE FUND, INC.

Employer identification number (EIN): 880379692

NAIC Classification: 522292
NAIC Description: Real Estate Credit

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GOODRICH & PENNINGTON 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 PAUL PENNINGTON PAUL PENNINGTON 2013-09-09
001 2011-01-01 PAUL PENNINGTON PAUL PENNINGTON 2012-05-31
001 2010-01-01 PAUL PENNINGTON PAUL PENNINGTON 2011-10-05
001 2009-01-01 PAUL PENNINGTON PAUL PENNINGTON 2010-09-28
001 2009-01-01 PAUL PENNINGTON PAUL PENNINGTON 2010-09-28

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	PAUL PENNINGTON	PAUL PENNINGTON	2013-09-09
001	2011-01-01	PAUL PENNINGTON	PAUL PENNINGTON	2012-05-31
001	2010-01-01	PAUL PENNINGTON	PAUL PENNINGTON	2011-10-05
001	2009-01-01	PAUL PENNINGTON	PAUL PENNINGTON	2010-09-28
001	2009-01-01	PAUL PENNINGTON	PAUL PENNINGTON	2010-09-28

Plan Statistics for GOODRICH & PENNINGTON 401(K) PLAN

401k plan membership statisitcs for GOODRICH & PENNINGTON 401(K) PLAN

Measure Date Value
2012: GOODRICH & PENNINGTON 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1
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 0
Total of all active and inactive participants 2012-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 1
Number of participants with account balances 2012-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: GOODRICH & PENNINGTON 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1
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 3
Total of all active and inactive participants 2011-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 4
Number of participants with account balances 2011-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: GOODRICH & PENNINGTON 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 1
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 5
Total of all active and inactive participants 2010-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 6
Number of participants with account balances 2010-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: GOODRICH & PENNINGTON 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1
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 10
Total of all active and inactive participants 2009-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 11
Number of participants with account balances 2009-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: GOODRICH & PENNINGTON 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1
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	0
Total of all active and inactive participants	2012-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	1
Number of participants with account balances	2012-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: GOODRICH & PENNINGTON 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1
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	3
Total of all active and inactive participants	2011-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	4
Number of participants with account balances	2011-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: GOODRICH & PENNINGTON 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	1
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	5
Total of all active and inactive participants	2010-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	6
Number of participants with account balances	2010-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: GOODRICH & PENNINGTON 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1
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	10
Total of all active and inactive participants	2009-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	11
Number of participants with account balances	2009-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on GOODRICH & PENNINGTON 401(K) PLAN

Measure	Date	Value
2012 : GOODRICH & PENNINGTON 401(K) PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$18,855
Expenses. Total of all expenses incurred	2012-12-31	$26,066
Benefits paid (including direct rollovers)	2012-12-31	$23,405
Total plan assets at end of year	2012-12-31	$212,478
Total plan assets at beginning of year	2012-12-31	$219,689
Value of fidelity bond covering the plan	2012-12-31	$200,000
Total contributions received or receivable from participants	2012-12-31	$0
Assets. Value of loans (other than to participants)	2012-12-31	$10,000
Other income received	2012-12-31	$18,855
Net income (gross income less expenses)	2012-12-31	$-7,211
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$212,478
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$219,689
Assets. Value of participant loans	2012-12-31	$51,593
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$30,061
Assets. Value of real-estate (other than employer real property)	2012-12-31	$103,651
Total contributions received or receivable from employer(s)	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$2,661
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : GOODRICH & PENNINGTON 401(K) PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$21,179
Expenses. Total of all expenses incurred	2011-12-31	$95,496
Benefits paid (including direct rollovers)	2011-12-31	$82,909
Total plan assets at end of year	2011-12-31	$219,689
Total plan assets at beginning of year	2011-12-31	$294,006
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$0
Assets. Value of loans (other than to participants)	2011-12-31	$10,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$8,040
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$21,179
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$-74,317
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$219,689
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$294,006
Assets. Value of participant loans	2011-12-31	$40,975
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$32,206
Assets. Value of real-estate (other than employer real property)	2011-12-31	$103,880
Total contributions received or receivable from employer(s)	2011-12-31	$0
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$4,547
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : GOODRICH & PENNINGTON 401(K) PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$1,939
Total income from all sources	2010-12-31	$15,165
Expenses. Total of all expenses incurred	2010-12-31	$7,460
Benefits paid (including direct rollovers)	2010-12-31	$670
Total plan assets at end of year	2010-12-31	$294,006
Total plan assets at beginning of year	2010-12-31	$288,240
Value of fidelity bond covering the plan	2010-12-31	$200,000
Other income received	2010-12-31	$15,165
Net income (gross income less expenses)	2010-12-31	$7,705
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$294,006
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$286,301
Assets. Value of participant loans	2010-12-31	$47,744
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$33,124
Assets. Value of real-estate (other than employer real property)	2010-12-31	$104,040
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$6,790

Form 5500 Responses for GOODRICH & PENNINGTON 401(K) PLAN

2012: GOODRICH & PENNINGTON 401(K) 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: GOODRICH & PENNINGTON 401(K) 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: GOODRICH & PENNINGTON 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
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: GOODRICH & PENNINGTON 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	GOODRICH AND PENNINGTON MORTGAGE FUND, INC.
Employer identification number (EIN):	880379692
NAIC Classification:	522292
NAIC Description:	Real Estate Credit