401k Plan data: N & S AND AFFILIATES 401(K) PLAN plan

N & S AND AFFILIATES 401(K) PLAN 401k Plan overview

Plan Name	N & S AND AFFILIATES 401(K) PLAN
Plan identification number	001

N & S AND AFFILIATES 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NELSON & SMALL, INC. has sponsored the creation of one or more 401k plans.

Company Name: NELSON & SMALL, INC.

Employer identification number (EIN): 010127205

NAIC Classification: 423990
NAIC Description: Other Miscellaneous Durable Goods Merchant Wholesalers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan N & S AND AFFILIATES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 JOAN PELLETIER
001 2013-01-01 JOAN PELLETIER JOAN PELLETIER 2014-09-20
001 2012-01-01 JOAN PELLETIER JOAN PELLETIER 2013-05-20
001 2011-01-01 JOAN PELLETIER
001 2009-01-01 JOAN PELLETIER

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	JOAN PELLETIER
001	2013-01-01	JOAN PELLETIER	JOAN PELLETIER	2014-09-20
001	2012-01-01	JOAN PELLETIER	JOAN PELLETIER	2013-05-20
001	2011-01-01	JOAN PELLETIER
001	2009-01-01	JOAN PELLETIER

Plan Statistics for N & S AND AFFILIATES 401(K) PLAN

401k plan membership statisitcs for N & S AND AFFILIATES 401(K) PLAN

Measure Date Value
2014: N & S AND AFFILIATES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: N & S AND AFFILIATES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 11
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 39
Total of all active and inactive participants 2013-01-01 50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 51
Number of participants with account balances 2013-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: N & S AND AFFILIATES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 69
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 30
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 31
Total of all active and inactive participants 2012-01-01 61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 62
Number of participants with account balances 2012-01-01 54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2
2011: N & S AND AFFILIATES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 72
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 50
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 18
Total of all active and inactive participants 2011-01-01 68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 69
Number of participants with account balances 2011-01-01 57
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: N & S AND AFFILIATES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 98
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 62
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 21
Total of all active and inactive participants 2009-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 84
Number of participants with account balances 2009-01-01 63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 10

Measure	Date	Value
2014: N & S AND AFFILIATES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: N & S AND AFFILIATES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	11
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	39
Total of all active and inactive participants	2013-01-01	50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	51
Number of participants with account balances	2013-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: N & S AND AFFILIATES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	69
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	30
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	31
Total of all active and inactive participants	2012-01-01	61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	62
Number of participants with account balances	2012-01-01	54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2
2011: N & S AND AFFILIATES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	72
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	50
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	18
Total of all active and inactive participants	2011-01-01	68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	69
Number of participants with account balances	2011-01-01	57
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: N & S AND AFFILIATES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	98
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	62
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	21
Total of all active and inactive participants	2009-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	84
Number of participants with account balances	2009-01-01	63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	10

Financial Data on N & S AND AFFILIATES 401(K) PLAN

Measure	Date	Value
2014 : N & S AND AFFILIATES 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-03-28	$0
Total plan liabilities at end of year	2014-03-28	$0
Total plan liabilities at beginning of year	2014-03-28	$0
Total income from all sources	2014-03-28	$-7,177
Expenses. Total of all expenses incurred	2014-03-28	$3,096,322
Benefits paid (including direct rollovers)	2014-03-28	$3,096,272
Total plan assets at end of year	2014-03-28	$0
Total plan assets at beginning of year	2014-03-28	$3,103,499
Value of fidelity bond covering the plan	2014-03-28	$500,000
Total contributions received or receivable from participants	2014-03-28	$0
Expenses. Other expenses not covered elsewhere	2014-03-28	$0
Contributions received from other sources (not participants or employers)	2014-03-28	$0
Other income received	2014-03-28	$-7,177
Noncash contributions received	2014-03-28	$0
Net income (gross income less expenses)	2014-03-28	$-3,103,499
Net plan assets at end of year (total assets less liabilities)	2014-03-28	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-03-28	$3,103,499
Assets. Value of participant loans	2014-03-28	$0
Total contributions received or receivable from employer(s)	2014-03-28	$0
Value of certain deemed distributions of participant loans	2014-03-28	$0
Value of corrective distributions	2014-03-28	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-03-28	$50
2013 : N & S AND AFFILIATES 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$634,756
Expenses. Total of all expenses incurred	2013-12-31	$883,889
Benefits paid (including direct rollovers)	2013-12-31	$882,058
Total plan assets at end of year	2013-12-31	$3,103,499
Total plan assets at beginning of year	2013-12-31	$3,352,632
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$137,185
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$488,899
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$-249,133
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,103,499
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,352,632
Assets. Value of participant loans	2013-12-31	$3,399
Total contributions received or receivable from employer(s)	2013-12-31	$8,672
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$1,831
2012 : N & S AND AFFILIATES 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$621,827
Expenses. Total of all expenses incurred	2012-12-31	$1,175,261
Benefits paid (including direct rollovers)	2012-12-31	$1,174,680
Total plan assets at end of year	2012-12-31	$3,352,632
Total plan assets at beginning of year	2012-12-31	$3,906,066
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$190,643
Other income received	2012-12-31	$419,555
Net income (gross income less expenses)	2012-12-31	$-553,434
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,352,632
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$3,906,066
Assets. Value of participant loans	2012-12-31	$20,482
Total contributions received or receivable from employer(s)	2012-12-31	$11,629
Value of certain deemed distributions of participant loans	2012-12-31	$6
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$575
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : N & S AND AFFILIATES 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$157,493
Expenses. Total of all expenses incurred	2011-12-31	$76,628
Benefits paid (including direct rollovers)	2011-12-31	$76,428
Total plan assets at end of year	2011-12-31	$3,906,066
Total plan assets at beginning of year	2011-12-31	$3,825,201
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$207,998
Other income received	2011-12-31	$-69,784
Net income (gross income less expenses)	2011-12-31	$80,865
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,906,066
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,825,201
Assets. Value of participant loans	2011-12-31	$21,284
Total contributions received or receivable from employer(s)	2011-12-31	$19,279
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$200
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : N & S AND AFFILIATES 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$660,337
Expenses. Total of all expenses incurred	2010-12-31	$134,911
Benefits paid (including direct rollovers)	2010-12-31	$131,097
Total plan assets at end of year	2010-12-31	$3,825,201
Total plan assets at beginning of year	2010-12-31	$3,299,775
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$201,587
Other income received	2010-12-31	$442,114
Net income (gross income less expenses)	2010-12-31	$525,426
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,825,201
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,299,775
Assets. Value of participant loans	2010-12-31	$26,183
Total contributions received or receivable from employer(s)	2010-12-31	$16,636
Value of corrective distributions	2010-12-31	$3,339
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$475
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : N & S AND AFFILIATES 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for N & S AND AFFILIATES 401(K) PLAN

2014: N & S AND AFFILIATES 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: N & S AND AFFILIATES 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: N & S AND AFFILIATES 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: N & S AND AFFILIATES 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: N & S AND AFFILIATES 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NELSON & SMALL, INC.
Employer identification number (EIN):	010127205
NAIC Classification:	423990
NAIC Description:	Other Miscellaneous Durable Goods Merchant Wholesalers