401k Plan data: RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN plan

RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 401k Plan overview

Plan Name	RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN
Plan identification number	001

RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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

RICKS GATE WORKS, INC. has sponsored the creation of one or more 401k plans.

Company Name: RICKS GATE WORKS, INC.

Employer identification number (EIN): 953997390

NAIC Classification: 339900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-05-01 RICHARD HENDRIX 2023-09-29
001 2021-05-01 RICHARD HENDRIX 2022-11-22
001 2020-05-01 RICHARD HENDRIX 2021-07-28
001 2019-05-01 RICHARD HENDRIX 2020-08-07
001 2018-05-01 RICHARD HENDRIX 2019-11-12
001 2017-05-01 RICHARD HENDRIX 2019-02-12
001 2016-05-01 RICHARD HENDRIX 2018-02-13
001 2015-05-01 RICHARD HENDRIX 2017-01-31
001 2014-05-01 RICHARD HENDRIX 2016-02-11
001 2013-05-01 RICHARD HENDRIX 2014-07-30
001 2012-05-01 RICHARD HENDRIX 2014-01-31
001 2011-05-01 RICHARD HENDRIX 2013-01-23
001 2010-05-01 RICHARD HENDRIX 2011-09-27
001 2009-05-01 RICHARD HENDRIX
001 2008-05-01 RICHARD HENDRIX

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-05-01	RICHARD HENDRIX	2023-09-29
001	2021-05-01	RICHARD HENDRIX	2022-11-22
001	2020-05-01	RICHARD HENDRIX	2021-07-28
001	2019-05-01	RICHARD HENDRIX	2020-08-07
001	2018-05-01	RICHARD HENDRIX	2019-11-12
001	2017-05-01	RICHARD HENDRIX	2019-02-12
001	2016-05-01	RICHARD HENDRIX	2018-02-13
001	2015-05-01	RICHARD HENDRIX	2017-01-31
001	2014-05-01	RICHARD HENDRIX	2016-02-11
001	2013-05-01	RICHARD HENDRIX	2014-07-30
001	2012-05-01	RICHARD HENDRIX	2014-01-31
001	2011-05-01	RICHARD HENDRIX	2013-01-23
001	2010-05-01	RICHARD HENDRIX	2011-09-27
001	2009-05-01	RICHARD HENDRIX
001	2008-05-01	RICHARD HENDRIX

Plan Statistics for RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN

401k plan membership statisitcs for RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN

Measure Date Value
2009: RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-05-01 23
Total number of active participants reported on line 7a of the Form 5500 2009-05-01 13
Number of retired or separated participants receiving benefits 2009-05-01 0
Number of other retired or separated participants entitled to future benefits 2009-05-01 7
Total of all active and inactive participants 2009-05-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-05-01 0
Total participants 2009-05-01 20
Number of participants with account balances 2009-05-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-05-01 0
2008: RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2008 401k membership
Total participants, beginning-of-year 2008-05-01 25
Total number of active participants reported on line 7a of the Form 5500 2008-05-01 14
Number of retired or separated participants receiving benefits 2008-05-01 0
Number of other retired or separated participants entitled to future benefits 2008-05-01 9
Total of all active and inactive participants 2008-05-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-05-01 0
Total participants 2008-05-01 23
Number of participants with account balances 2008-05-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-05-01 0

Measure	Date	Value
2009: RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-05-01	23
Total number of active participants reported on line 7a of the Form 5500	2009-05-01	13
Number of retired or separated participants receiving benefits	2009-05-01	0
Number of other retired or separated participants entitled to future benefits	2009-05-01	7
Total of all active and inactive participants	2009-05-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-05-01	0
Total participants	2009-05-01	20
Number of participants with account balances	2009-05-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-05-01	0
2008: RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2008 401k membership
Total participants, beginning-of-year	2008-05-01	25
Total number of active participants reported on line 7a of the Form 5500	2008-05-01	14
Number of retired or separated participants receiving benefits	2008-05-01	0
Number of other retired or separated participants entitled to future benefits	2008-05-01	9
Total of all active and inactive participants	2008-05-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-05-01	0
Total participants	2008-05-01	23
Number of participants with account balances	2008-05-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-05-01	0

Financial Data on RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN

Measure	Date	Value
2010 : RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-04-30	$0
2009 : RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2009 401k financial data
Transfers to/from the plan	2009-04-30	$0
Total income from all sources	2009-04-30	$-58,350
Expenses. Total of all expenses incurred	2009-04-30	$3,103
Total plan assets at end of year	2009-04-30	$163,890
Total plan assets at beginning of year	2009-04-30	$225,343
Value of fidelity bond covering the plan	2009-04-30	$250,000
Total contributions received or receivable from participants	2009-04-30	$13,979
Expenses. Other expenses not covered elsewhere	2009-04-30	$3,103
Other income received	2009-04-30	$-72,329
Net income (gross income less expenses)	2009-04-30	$-61,453
Net plan assets at end of year (total assets less liabilities)	2009-04-30	$163,890
Net plan assets at beginning of year (total assets less liabilities)	2009-04-30	$225,343
Assets. Value of participant loans	2009-04-30	$10,181

Form 5500 Responses for RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN

2009: RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2009 form 5500 responses
2009-05-01	Type of plan entity	Single employer plan
2009-05-01	Submission has been amended	No
2009-05-01	This submission is the final filing	No
2009-05-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-05-01	Plan is a collectively bargained plan	No
2009-05-01	Plan funding arrangement – Insurance	Yes
2009-05-01	Plan funding arrangement – Trust	Yes
2009-05-01	Plan benefit arrangement – Insurance	Yes
2009-05-01	Plan benefit arrangement - Trust	Yes
2008: RICK'S GATE WORKS, INC. 401K RETIREMENT PLAN 2008 form 5500 responses
2008-05-01	Type of plan entity	Single employer plan
2008-05-01	Submission has been amended	No
2008-05-01	This submission is the final filing	No
2008-05-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-05-01	Plan is a collectively bargained plan	No
2008-05-01	Plan funding arrangement – Insurance	Yes
2008-05-01	Plan benefit arrangement – Insurance	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

11173

Policy instance

Insurance contract or identification number	11173
Number of Individuals Covered	17
Insurance policy start date	2008-05-01
Insurance policy end date	2009-04-30
Total amount of commissions paid to insurance broker	USD $1,034
Total amount of fees paid to insurance company	USD $157
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?	No
Commission paid to Insurance Broker	USD $1,034
Insurance broker organization code?	3
Amount paid for insurance broker fees	157
Additional information about fees paid to insurance broker	FEES
Insurance broker name	BENEFIT PLANNING, INC.

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Company Name:	RICKS GATE WORKS, INC.
Employer identification number (EIN):	953997390
NAIC Classification:	339900