401k Plan data: ST. CHARLES CAPITAL 401(K) PLAN plan

ST. CHARLES CAPITAL 401(K) PLAN 401k Plan overview

Plan Name	ST. CHARLES CAPITAL 401(K) PLAN
Plan identification number	001

ST. CHARLES CAPITAL 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

ST. CHARLES CAPITAL, LLC has sponsored the creation of one or more 401k plans.

Company Name: ST. CHARLES CAPITAL, LLC

Employer identification number (EIN): 201796153

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ST. CHARLES CAPITAL 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 LAURIE GERSTENKORN 2015-10-02 LAURIE GERSTENKORN 2015-10-02
001 2013-01-01 LAURIE GERSTENKORN 2014-08-22 LAURIE GERSTENKORN 2014-08-22
001 2012-01-01 LAURIE GERSTENKORN 2013-06-19
001 2011-01-01 LAURIE GERSTENKORN 2012-07-11
001 2010-01-01 LAURIE GERSTENKORN 2011-07-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	LAURIE GERSTENKORN	2015-10-02	LAURIE GERSTENKORN	2015-10-02
001	2013-01-01	LAURIE GERSTENKORN	2014-08-22	LAURIE GERSTENKORN	2014-08-22
001	2012-01-01	LAURIE GERSTENKORN	2013-06-19
001	2011-01-01	LAURIE GERSTENKORN	2012-07-11
001	2010-01-01	LAURIE GERSTENKORN	2011-07-12

Potentially related plans

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Company Name:	ST. CHARLES CAPITAL, LLC
Employer identification number (EIN):	201796153
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing