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PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NamePENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN
Plan identification number 001

PENFIELD & SMITH ENGINEERS, INC. 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.
  • 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

PENFIELD & SMITH ENGINEERS, INC. has sponsored the creation of one or more 401k plans.

Company Name:PENFIELD & SMITH ENGINEERS, INC.
Employer identification number (EIN):952088979
NAIC Classification:541330
NAIC Description:Engineering Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012019-01-01DE ANN K. CLARK2019-11-19
0012018-01-01DE ANN K. CLARK2019-10-01
0012017-01-01DE ANN K. CLARK2018-10-03
0012016-01-01DE ANN CLARK DE ANN CLARK2017-10-16
0012016-01-01DE ANN CLARK DE ANN CLARK2018-01-09
0012015-01-01DE ANN CLARK DE ANN CLARK2016-10-17
0012014-01-01DE ANN CLARK DE ANN CLARK2015-10-13
0012013-01-01DAVID W. RUNDLE
0012012-01-01DAVID W. RUNDLE
0012011-01-01STEPHEN C. WANG
0012009-01-01STEPHEN C. WANG

Plan Statistics for PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2016: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01112
Total number of active participants reported on line 7a of the Form 55002016-01-0165
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-0131
Total of all active and inactive participants2016-01-0197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0197
Number of participants with account balances2016-01-0197
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01118
Total number of active participants reported on line 7a of the Form 55002015-01-0176
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-0135
Total of all active and inactive participants2015-01-01112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01112
Number of participants with account balances2015-01-01112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01112
Total number of active participants reported on line 7a of the Form 55002014-01-0182
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0136
Total of all active and inactive participants2014-01-01118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01118
Number of participants with account balances2014-01-01118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01115
Total number of active participants reported on line 7a of the Form 55002013-01-0177
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0135
Total of all active and inactive participants2013-01-01112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01112
Number of participants with account balances2013-01-01112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-014
2012: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01120
Total number of active participants reported on line 7a of the Form 55002012-01-0176
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0139
Total of all active and inactive participants2012-01-01115
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01115
Number of participants with account balances2012-01-01115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-012
2011: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01121
Total number of active participants reported on line 7a of the Form 55002011-01-0178
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0142
Total of all active and inactive participants2011-01-01120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01120
Number of participants with account balances2011-01-01119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2009: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01149
Total number of active participants reported on line 7a of the Form 55002009-01-0198
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0139
Total of all active and inactive participants2009-01-01137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01137
Number of participants with account balances2009-01-01136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0123

Financial Data on PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2016 : PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$1,393,863
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$4,331,634
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$4,325,394
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$0
Value of total assets at end of year2016-12-31$15,949,286
Value of total assets at beginning of year2016-12-31$18,887,057
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$6,240
Total interest from all sources2016-12-31$6,606
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$463,262
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$463,262
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Participant contributions at end of year2016-12-31$106,203
Participant contributions at beginning of year2016-12-31$170,929
Administrative expenses (other) incurred2016-12-31$6,240
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-2,937,771
Value of net assets at end of year (total assets less liabilities)2016-12-31$15,949,286
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$18,887,057
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$14,109,521
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$16,987,801
Interest on participant loans2016-12-31$6,606
Value of interest in common/collective trusts at end of year2016-12-31$1,733,562
Value of interest in common/collective trusts at beginning of year2016-12-31$1,728,327
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$891,701
Net investment gain or loss from common/collective trusts2016-12-31$32,294
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$4,325,394
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31BARTLETT, PRINGLE AND WOLF, LLP
Accountancy firm EIN2016-12-31952089835
2015 : PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$-107,506
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,880,261
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,808,418
Expenses. Certain deemed distributions of participant loans2015-12-31$27,900
Value of total corrective distributions2015-12-31$37,563
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$0
Value of total assets at end of year2015-12-31$18,887,057
Value of total assets at beginning of year2015-12-31$20,874,824
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$6,380
Total interest from all sources2015-12-31$10,128
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$663,235
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2015-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$663,235
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Participant contributions at end of year2015-12-31$170,929
Participant contributions at beginning of year2015-12-31$313,700
Administrative expenses (other) incurred2015-12-31$6,380
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-1,987,767
Value of net assets at end of year (total assets less liabilities)2015-12-31$18,887,057
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$20,874,824
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$16,987,801
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$18,761,880
Interest on participant loans2015-12-31$10,128
Value of interest in common/collective trusts at end of year2015-12-31$1,728,327
Value of interest in common/collective trusts at beginning of year2015-12-31$1,799,244
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-814,333
Net investment gain or loss from common/collective trusts2015-12-31$33,464
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,808,418
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31BARTLETT, PRINGLE AND WOLF, LLP
Accountancy firm EIN2015-12-31952089835
2014 : PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$2,303,126
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,881,512
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,874,952
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$667,392
Value of total assets at end of year2014-12-31$20,874,824
Value of total assets at beginning of year2014-12-31$21,453,210
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$6,560
Total interest from all sources2014-12-31$16,587
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$682,712
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2014-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$682,712
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$518,713
Participant contributions at end of year2014-12-31$313,700
Participant contributions at beginning of year2014-12-31$318,163
Participant contributions at end of year2014-12-31$0
Participant contributions at beginning of year2014-12-31$11,644
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Other income not declared elsewhere2014-12-31$2,240
Administrative expenses (other) incurred2014-12-31$6,560
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-578,386
Value of net assets at end of year (total assets less liabilities)2014-12-31$20,874,824
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$21,453,210
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$18,761,880
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$18,951,976
Interest on participant loans2014-12-31$16,587
Value of interest in common/collective trusts at end of year2014-12-31$1,799,244
Value of interest in common/collective trusts at beginning of year2014-12-31$1,854,386
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$955,692
Net investment gain or loss from common/collective trusts2014-12-31$-21,497
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$148,679
Employer contributions (assets) at end of year2014-12-31$0
Employer contributions (assets) at beginning of year2014-12-31$317,041
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,874,952
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BARTLETT, PRINGLE AND WOLF, LLP
Accountancy firm EIN2014-12-31952089835
2013 : PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$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$4,362,365
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$1,534,118
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,520,606
Expenses. Certain deemed distributions of participant loans2013-12-31$4,301
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,018,822
Value of total assets at end of year2013-12-31$21,453,210
Value of total assets at beginning of year2013-12-31$18,624,963
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$9,211
Total interest from all sources2013-12-31$15,832
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$617,298
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$617,298
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$520,842
Participant contributions at end of year2013-12-31$318,163
Participant contributions at beginning of year2013-12-31$361,387
Participant contributions at end of year2013-12-31$11,644
Participant contributions at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$7,200
Administrative expenses (other) incurred2013-12-31$9,211
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$2,828,247
Value of net assets at end of year (total assets less liabilities)2013-12-31$21,453,210
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$18,624,963
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$18,951,976
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$15,735,708
Interest on participant loans2013-12-31$15,832
Value of interest in common/collective trusts at end of year2013-12-31$1,854,386
Value of interest in common/collective trusts at beginning of year2013-12-31$2,282,940
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$2,734,088
Net investment gain or loss from common/collective trusts2013-12-31$-23,675
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$490,780
Employer contributions (assets) at end of year2013-12-31$317,041
Employer contributions (assets) at beginning of year2013-12-31$244,928
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,520,606
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31BARTLETT, PRINGLE AND WOLF, LLP
Accountancy firm EIN2013-12-31952089835
2012 : PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$2,978,678
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,438,715
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,426,773
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,015,937
Value of total assets at end of year2012-12-31$18,624,963
Value of total assets at beginning of year2012-12-31$17,085,000
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$11,942
Total interest from all sources2012-12-31$17,241
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$399,200
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$399,200
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$529,227
Participant contributions at end of year2012-12-31$361,387
Participant contributions at beginning of year2012-12-31$316,832
Participant contributions at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$67,219
Other income not declared elsewhere2012-12-31$130
Administrative expenses (other) incurred2012-12-31$11,942
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,539,963
Value of net assets at end of year (total assets less liabilities)2012-12-31$18,624,963
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$17,085,000
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$15,735,708
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$14,609,602
Interest on participant loans2012-12-31$17,241
Value of interest in common/collective trusts at end of year2012-12-31$2,282,940
Value of interest in common/collective trusts at beginning of year2012-12-31$1,918,566
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,485,037
Net investment gain or loss from common/collective trusts2012-12-31$61,133
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$419,491
Employer contributions (assets) at end of year2012-12-31$244,928
Employer contributions (assets) at beginning of year2012-12-31$240,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,426,773
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BARTLETT, PRINGLE AND WOLF, LLP
Accountancy firm EIN2012-12-31952089835
2011 : PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$949,641
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,922,791
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,911,001
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$903,529
Value of total assets at end of year2011-12-31$17,085,000
Value of total assets at beginning of year2011-12-31$18,058,150
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$11,790
Total interest from all sources2011-12-31$16,205
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$396,780
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$396,780
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$474,944
Participant contributions at end of year2011-12-31$316,832
Participant contributions at beginning of year2011-12-31$262,043
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$11,746
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$23,992
Other income not declared elsewhere2011-12-31$292
Administrative expenses (other) incurred2011-12-31$11,790
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-973,150
Value of net assets at end of year (total assets less liabilities)2011-12-31$17,085,000
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$18,058,150
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$14,609,602
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$15,478,781
Interest on participant loans2011-12-31$16,205
Value of interest in common/collective trusts at end of year2011-12-31$1,918,566
Value of interest in common/collective trusts at beginning of year2011-12-31$2,065,580
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-426,377
Net investment gain or loss from common/collective trusts2011-12-31$59,212
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$404,593
Employer contributions (assets) at end of year2011-12-31$240,000
Employer contributions (assets) at beginning of year2011-12-31$240,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,911,001
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31BARTLETT, PRINGLE AND WOLF, LLP
Accountancy firm EIN2011-12-31952089835
2010 : PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$2,548,084
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,174,074
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,161,856
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$672,393
Value of total assets at end of year2010-12-31$18,058,150
Value of total assets at beginning of year2010-12-31$16,684,140
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$12,218
Total interest from all sources2010-12-31$12,689
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$333,400
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$333,400
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$463,243
Participant contributions at end of year2010-12-31$262,043
Participant contributions at beginning of year2010-12-31$185,439
Participant contributions at end of year2010-12-31$11,746
Participant contributions at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$150
Administrative expenses (other) incurred2010-12-31$12,218
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$1,374,010
Value of net assets at end of year (total assets less liabilities)2010-12-31$18,058,150
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$16,684,140
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$15,478,781
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$14,612,914
Interest on participant loans2010-12-31$12,689
Value of interest in common/collective trusts at end of year2010-12-31$2,065,580
Value of interest in common/collective trusts at beginning of year2010-12-31$1,645,787
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,433,282
Net investment gain or loss from common/collective trusts2010-12-31$96,320
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$209,000
Employer contributions (assets) at end of year2010-12-31$240,000
Employer contributions (assets) at beginning of year2010-12-31$240,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,161,856
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31BARTLETT, PRINGLE & WOLF, LLP
Accountancy firm EIN2010-12-31952089835

Form 5500 Responses for PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN

2016: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: PENFIELD & SMITH ENGINEERS, INC. 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 – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
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 – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: PENFIELD & SMITH ENGINEERS, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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