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AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 401k Plan overview

Plan NameAUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN
Plan identification number 004

AUSTIN & CO., INC. EMPLOYEE SAVINGS 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

AUSTIN & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name:AUSTIN & CO., INC.
Employer identification number (EIN):140481375
NAIC Classification:524210
NAIC Description:Insurance Agencies and Brokerages

Additional information about AUSTIN & CO., INC.

Jurisdiction of Incorporation: New York Department of State
Incorporation Date: 1942-12-30
Company Identification Number: 60934
Legal Registered Office Address: 80 STATE STREET
Albany
ALBANY
United States of America (USA)
12207

More information about AUSTIN & CO., INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0042019-01-01
0042018-01-01CHRISTINA MALTBIE
0042017-01-01CHRISTINA MALTBIE
0042016-01-01CHRISTINA MALTBIE
0042015-01-01KELLY VALMORE
0042014-01-01KELLY VALMORE
0042013-01-01KELLY VALMORE
0042012-01-01KELLY VALMORE2013-01-25 KELLY VALMORE2013-01-25
0042011-01-01KELLY VALMORE2012-03-26 KELLY VALMORE2012-03-26
0042010-01-01KELLY VALMORE2011-07-13 KELLY VALMORE2011-07-13

Financial Data on AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN

Measure Date Value
2019 : AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2019 401k financial data
Transfers to/from the plan2019-11-05$0
Total plan liabilities at end of year2019-11-05$0
Total plan liabilities at beginning of year2019-11-05$0
Total income from all sources2019-11-05$1,271,301
Expenses. Total of all expenses incurred2019-11-05$7,077,496
Benefits paid (including direct rollovers)2019-11-05$7,075,461
Total plan assets at end of year2019-11-05$0
Total plan assets at beginning of year2019-11-05$5,806,195
Value of fidelity bond covering the plan2019-11-05$1,000,000
Total contributions received or receivable from participants2019-11-05$271,455
Expenses. Other expenses not covered elsewhere2019-11-05$0
Contributions received from other sources (not participants or employers)2019-11-05$0
Other income received2019-11-05$959,253
Noncash contributions received2019-11-05$0
Net income (gross income less expenses)2019-11-05$-5,806,195
Net plan assets at end of year (total assets less liabilities)2019-11-05$0
Net plan assets at beginning of year (total assets less liabilities)2019-11-05$5,806,195
Total contributions received or receivable from employer(s)2019-11-05$40,593
Value of certain deemed distributions of participant loans2019-11-05$0
Value of corrective distributions2019-11-05$0
Expenses. Administrative service providers (salaries,fees and commissions)2019-11-05$2,035
2018 : AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2018 401k financial data
Transfers to/from the plan2018-12-31$0
Total plan liabilities at end of year2018-12-31$0
Total plan liabilities at beginning of year2018-12-31$0
Total income from all sources2018-12-31$29,902
Expenses. Total of all expenses incurred2018-12-31$123,767
Benefits paid (including direct rollovers)2018-12-31$122,442
Total plan assets at end of year2018-12-31$5,806,195
Total plan assets at beginning of year2018-12-31$5,900,060
Value of fidelity bond covering the plan2018-12-31$1,000,000
Total contributions received or receivable from participants2018-12-31$424,755
Expenses. Other expenses not covered elsewhere2018-12-31$0
Contributions received from other sources (not participants or employers)2018-12-31$7,377
Other income received2018-12-31$-471,524
Noncash contributions received2018-12-31$0
Net income (gross income less expenses)2018-12-31$-93,865
Net plan assets at end of year (total assets less liabilities)2018-12-31$5,806,195
Net plan assets at beginning of year (total assets less liabilities)2018-12-31$5,900,060
Total contributions received or receivable from employer(s)2018-12-31$69,294
Value of certain deemed distributions of participant loans2018-12-31$0
Value of corrective distributions2018-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2018-12-31$1,325
2017 : AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2017 401k financial data
Transfers to/from the plan2017-12-31$0
Total plan liabilities at end of year2017-12-31$0
Total plan liabilities at beginning of year2017-12-31$0
Total income from all sources2017-12-31$1,583,156
Expenses. Total of all expenses incurred2017-12-31$20,423
Benefits paid (including direct rollovers)2017-12-31$18,170
Total plan assets at end of year2017-12-31$5,900,060
Total plan assets at beginning of year2017-12-31$4,337,327
Value of fidelity bond covering the plan2017-12-31$1,000,000
Assets. Value of tangible personal property2017-12-31$0
Total contributions received or receivable from participants2017-12-31$371,351
Assets. Value of loans (other than to participants)2017-12-31$0
Expenses. Other expenses not covered elsewhere2017-12-31$0
Contributions received from other sources (not participants or employers)2017-12-31$78,130
Other income received2017-12-31$1,069,558
Noncash contributions received2017-12-31$0
Net income (gross income less expenses)2017-12-31$1,562,733
Net plan assets at end of year (total assets less liabilities)2017-12-31$5,900,060
Net plan assets at beginning of year (total assets less liabilities)2017-12-31$4,337,327
Assets. Value of participant loans2017-12-31$0
Assets. Value of assets in partnership/joint-venture interests2017-12-31$0
Assets. Value of real-estate (other than employer real property)2017-12-31$0
Assets. Value of employer securities2017-12-31$0
Assets. Value of employer real property2017-12-31$0
Total contributions received or receivable from employer(s)2017-12-31$64,117
Value of certain deemed distributions of participant loans2017-12-31$0
Value of corrective distributions2017-12-31$1,578
Expenses. Administrative service providers (salaries,fees and commissions)2017-12-31$675
2016 : AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2016 401k financial data
Transfers to/from the plan2016-12-31$0
Total plan liabilities at end of year2016-12-31$0
Total plan liabilities at beginning of year2016-12-31$0
Total income from all sources2016-12-31$944,094
Expenses. Total of all expenses incurred2016-12-31$27,916
Benefits paid (including direct rollovers)2016-12-31$25,840
Total plan assets at end of year2016-12-31$4,337,327
Total plan assets at beginning of year2016-12-31$3,421,149
Value of fidelity bond covering the plan2016-12-31$1,000,000
Total contributions received or receivable from participants2016-12-31$334,373
Expenses. Other expenses not covered elsewhere2016-12-31$0
Contributions received from other sources (not participants or employers)2016-12-31$280,017
Other income received2016-12-31$269,772
Noncash contributions received2016-12-31$0
Net income (gross income less expenses)2016-12-31$916,178
Net plan assets at end of year (total assets less liabilities)2016-12-31$4,337,327
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$3,421,149
Total contributions received or receivable from employer(s)2016-12-31$59,932
Value of certain deemed distributions of participant loans2016-12-31$0
Value of corrective distributions2016-12-31$2,076
Expenses. Administrative service providers (salaries,fees and commissions)2016-12-31$0
2015 : AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2015 401k financial data
Transfers to/from the plan2015-12-31$0
Total plan liabilities at end of year2015-12-31$0
Total plan liabilities at beginning of year2015-12-31$0
Total income from all sources2015-12-31$459,770
Expenses. Total of all expenses incurred2015-12-31$18,471
Benefits paid (including direct rollovers)2015-12-31$10,325
Total plan assets at end of year2015-12-31$3,421,149
Total plan assets at beginning of year2015-12-31$2,979,850
Value of fidelity bond covering the plan2015-12-31$1,000,000
Total contributions received or receivable from participants2015-12-31$282,699
Expenses. Other expenses not covered elsewhere2015-12-31$0
Contributions received from other sources (not participants or employers)2015-12-31$42,320
Other income received2015-12-31$75,954
Noncash contributions received2015-12-31$0
Net income (gross income less expenses)2015-12-31$441,299
Net plan assets at end of year (total assets less liabilities)2015-12-31$3,421,149
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$2,979,850
Total contributions received or receivable from employer(s)2015-12-31$58,797
Value of certain deemed distributions of participant loans2015-12-31$0
Value of corrective distributions2015-12-31$6,521
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$1,625
2014 : AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2014 401k financial data
Transfers to/from the plan2014-12-31$0
Total plan liabilities at end of year2014-12-31$0
Total plan liabilities at beginning of year2014-12-31$0
Total income from all sources2014-12-31$442,918
Expenses. Total of all expenses incurred2014-12-31$585,060
Benefits paid (including direct rollovers)2014-12-31$583,696
Total plan assets at end of year2014-12-31$2,979,850
Total plan assets at beginning of year2014-12-31$3,121,992
Value of fidelity bond covering the plan2014-12-31$1,000,000
Total contributions received or receivable from participants2014-12-31$252,499
Expenses. Other expenses not covered elsewhere2014-12-31$0
Contributions received from other sources (not participants or employers)2014-12-31$7,241
Other income received2014-12-31$143,863
Noncash contributions received2014-12-31$0
Net income (gross income less expenses)2014-12-31$-142,142
Net plan assets at end of year (total assets less liabilities)2014-12-31$2,979,850
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$3,121,992
Total contributions received or receivable from employer(s)2014-12-31$39,315
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$364
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$1,000
2013 : AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2013 401k financial data
Transfers to/from the plan2013-12-31$0
Total plan liabilities at end of year2013-12-31$0
Total plan liabilities at beginning of year2013-12-31$0
Total income from all sources2013-12-31$942,732
Expenses. Total of all expenses incurred2013-12-31$233,112
Benefits paid (including direct rollovers)2013-12-31$232,010
Total plan assets at end of year2013-12-31$3,121,992
Total plan assets at beginning of year2013-12-31$2,412,372
Value of fidelity bond covering the plan2013-12-31$1,000,000
Total contributions received or receivable from participants2013-12-31$256,296
Expenses. Other expenses not covered elsewhere2013-12-31$0
Contributions received from other sources (not participants or employers)2013-12-31$96,805
Other income received2013-12-31$546,713
Noncash contributions received2013-12-31$0
Net income (gross income less expenses)2013-12-31$709,620
Net plan assets at end of year (total assets less liabilities)2013-12-31$3,121,992
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$2,412,372
Total contributions received or receivable from employer(s)2013-12-31$42,918
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$1,102

Form 5500 Responses for AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN

2019: AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingYes
2019-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: AUSTIN & CO., INC. EMPLOYEE SAVINGS PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: AUSTIN & CO., INC. EMPLOYEE SAVINGS 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: AUSTIN & CO., INC. EMPLOYEE SAVINGS 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: AUSTIN & CO., INC. EMPLOYEE SAVINGS 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: AUSTIN & CO., INC. EMPLOYEE SAVINGS 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 – TrustYes
2013-01-01Plan benefit arrangement - TrustYes

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