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THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameTHE CARLSON COMPANY 401(K) PROFIT SHARING PLAN
Plan identification number 001

THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • 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.

401k Sponsoring company profile

THE CARLSON COMPANY has sponsored the creation of one or more 401k plans.

Company Name:THE CARLSON COMPANY
Employer identification number (EIN):951975534
NAIC Classification:423800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012021-01-01KEVIN CARLSON2021-11-11
0012020-01-01RACHEL AN2021-07-01 RACHEL AN2021-07-01
0012019-01-01RACHEL AN2020-06-23
0012018-01-01KEVIN CARLSON2019-07-15 KEVIN CARLSON2019-07-15
0012017-01-01KEVIN CARLSON2018-07-11 KEVIN CARLSON2018-07-11
0012016-01-01PAM FOREMAN2017-06-14 KEVIN CARLSON2017-06-14
0012015-01-01KEVIN CARLSON2016-07-08 KEVIN CARLSON2016-07-08
0012014-01-01KEVIN CARLSON
0012013-01-01KEVIN CARLSON KEVIN CARLSON2014-07-17
0012012-01-01KEVIN CARLSON
0012011-01-01KEVIN CARLSON
0012009-01-01KEVIN CARLSON KEVIN CARLSON2010-07-21

Plan Statistics for THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0146
Total number of active participants reported on line 7a of the Form 55002014-01-0138
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-017
Total of all active and inactive participants2014-01-0145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0145
Number of participants with account balances2014-01-0127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-011
2013: THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0144
Total number of active participants reported on line 7a of the Form 55002013-01-0141
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-017
Total of all active and inactive participants2013-01-0148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0148
Number of participants with account balances2013-01-0129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-011
2012: THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0149
Total number of active participants reported on line 7a of the Form 55002012-01-0141
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-017
Total of all active and inactive participants2012-01-0148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0148
Number of participants with account balances2012-01-0141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-013
2011: THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0149
Total number of active participants reported on line 7a of the Form 55002011-01-0140
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-0140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0140
Number of participants with account balances2011-01-0134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0145
Total number of active participants reported on line 7a of the Form 55002009-01-0140
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-017
Total of all active and inactive participants2009-01-0147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0147
Number of participants with account balances2009-01-0133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

Financial Data on THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN

Measure Date Value
2014 : THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan2014-12-31$102
Total income from all sources2014-12-31$245,506
Expenses. Total of all expenses incurred2014-12-31$72,806
Benefits paid (including direct rollovers)2014-12-31$72,642
Total plan assets at end of year2014-12-31$1,880,004
Total plan assets at beginning of year2014-12-31$1,707,202
Value of fidelity bond covering the plan2014-12-31$100,000
Total contributions received or receivable from participants2014-12-31$91,160
Expenses. Other expenses not covered elsewhere2014-12-31$164
Contributions received from other sources (not participants or employers)2014-12-31$0
Other income received2014-12-31$141,845
Net income (gross income less expenses)2014-12-31$172,700
Net plan assets at end of year (total assets less liabilities)2014-12-31$1,880,004
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$1,707,202
Assets. Value of participant loans2014-12-31$11,639
Total contributions received or receivable from employer(s)2014-12-31$12,501
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$0
Funding deficiency by the employer to the plan for this plan year2014-12-31$0
Minimum employer required contribution for this plan year2014-12-31$0
Amount contributed by the employer to the plan for this plan year2014-12-31$0
2013 : THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources2013-12-31$412,353
Expenses. Total of all expenses incurred2013-12-31$64,554
Benefits paid (including direct rollovers)2013-12-31$64,320
Total plan assets at end of year2013-12-31$1,707,202
Total plan assets at beginning of year2013-12-31$1,359,403
Value of fidelity bond covering the plan2013-12-31$100,000
Total contributions received or receivable from participants2013-12-31$89,745
Expenses. Other expenses not covered elsewhere2013-12-31$234
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$313,659
Net income (gross income less expenses)2013-12-31$347,799
Net plan assets at end of year (total assets less liabilities)2013-12-31$1,707,202
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$1,359,403
Assets. Value of participant loans2013-12-31$24,429
Total contributions received or receivable from employer(s)2013-12-31$8,949
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Funding deficiency by the employer to the plan for this plan year2013-12-31$0
Minimum employer required contribution for this plan year2013-12-31$0
Amount contributed by the employer to the plan for this plan year2013-12-31$0
2012 : THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total income from all sources2012-12-31$248,949
Expenses. Total of all expenses incurred2012-12-31$24,855
Benefits paid (including direct rollovers)2012-12-31$24,654
Total plan assets at end of year2012-12-31$1,359,403
Total plan assets at beginning of year2012-12-31$1,135,309
Value of fidelity bond covering the plan2012-12-31$100,000
Total contributions received or receivable from participants2012-12-31$92,070
Expenses. Other expenses not covered elsewhere2012-12-31$201
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$148,611
Net income (gross income less expenses)2012-12-31$224,094
Net plan assets at end of year (total assets less liabilities)2012-12-31$1,359,403
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$1,135,309
Assets. Value of participant loans2012-12-31$30,133
Total contributions received or receivable from employer(s)2012-12-31$8,268
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Funding deficiency by the employer to the plan for this plan year2012-12-31$0
Minimum employer required contribution for this plan year2012-12-31$0
Amount contributed by the employer to the plan for this plan year2012-12-31$0
2011 : THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total income from all sources2011-12-31$64,819
Expenses. Total of all expenses incurred2011-12-31$173,478
Benefits paid (including direct rollovers)2011-12-31$173,305
Total plan assets at end of year2011-12-31$1,135,309
Total plan assets at beginning of year2011-12-31$1,243,968
Value of fidelity bond covering the plan2011-12-31$100,000
Total contributions received or receivable from participants2011-12-31$90,948
Expenses. Other expenses not covered elsewhere2011-12-31$173
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-34,297
Net income (gross income less expenses)2011-12-31$-108,659
Net plan assets at end of year (total assets less liabilities)2011-12-31$1,135,309
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$1,243,968
Assets. Value of participant loans2011-12-31$19,136
Total contributions received or receivable from employer(s)2011-12-31$8,168
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Funding deficiency by the employer to the plan for this plan year2011-12-31$0
Minimum employer required contribution for this plan year2011-12-31$0
Amount contributed by the employer to the plan for this plan year2011-12-31$0
2009 : THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year2009-12-31$0
Minimum employer required contribution for this plan year2009-12-31$0
Amount contributed by the employer to the plan for this plan year2009-12-31$0

Form 5500 Responses for THE CARLSON COMPANY 401(K) PROFIT SHARING PLAN

2014: THE CARLSON COMPANY 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
2013: THE CARLSON COMPANY 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
2012: THE CARLSON COMPANY 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 – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: THE CARLSON COMPANY 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 – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2009: THE CARLSON COMPANY 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 – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710498
Policy instance 1
Insurance contract or identification numberGA-710498
Number of Individuals Covered27
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $4,778
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 $4,778
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY INS SERVICES INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710498
Policy instance 1
Insurance contract or identification numberGA-710498
Number of Individuals Covered29
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $4,052
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 $4,052
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY INS SVCS INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710498
Policy instance 1
Insurance contract or identification numberGA-710498
Number of Individuals Covered41
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $3,396
Total amount of fees paid to insurance companyUSD $91
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 $3,396
Insurance broker organization code?3
Amount paid for insurance broker fees66
Additional information about fees paid to insurance brokerSALES/MARKETING
Insurance broker nameMORGANSTANLEY SMITHBARNEY LLC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710498
Policy instance 1
Insurance contract or identification numberGA-710498
Number of Individuals Covered34
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $3,492
Total amount of fees paid to insurance companyUSD $101
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

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