401k Plan data: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN plan

JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 401k Plan overview

Plan Name	JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN
Plan identification number	001

JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) 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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
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

JOHN M. HARTEL & COMPANY, INC. has sponsored the creation of one or more 401k plans.

Company Name: JOHN M. HARTEL & COMPANY, INC.

Employer identification number (EIN): 221550964

NAIC Classification: 423700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 THOMAS J. HARTEL 2021-09-29 THOMAS J. HARTEL 2021-09-29
001 2019-01-01 THOMAS J. HARTEL 2020-09-03 THOMAS J. HARTEL 2020-09-03
001 2018-01-01 MICHAEL HARTEL 2019-07-09 MICHAEL HARTEL 2019-07-09
001 2017-01-01 MICHAEL HARTEL 2018-10-02 MICHAEL HARTEL 2018-10-02
001 2016-01-01 MICHAEL HARTEL
001 2015-01-01 FREDERICK A. HARTEL
001 2014-01-01 FREDERICK A HARTEL FREDERICK A HARTEL 2015-08-19
001 2013-01-01 FREDERICK HARTEL
001 2012-01-01 FREDERICK HARTEL FREDERICK HARTEL 2013-10-08
001 2011-01-01 FREDERICK HARTEL FREDERICK HARTEL 2012-08-01
001 2010-01-01 FREDERICK A. HARTEL 2011-05-18

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	THOMAS J. HARTEL	2021-09-29	THOMAS J. HARTEL	2021-09-29
001	2019-01-01	THOMAS J. HARTEL	2020-09-03	THOMAS J. HARTEL	2020-09-03
001	2018-01-01	MICHAEL HARTEL	2019-07-09	MICHAEL HARTEL	2019-07-09
001	2017-01-01	MICHAEL HARTEL	2018-10-02	MICHAEL HARTEL	2018-10-02
001	2016-01-01	MICHAEL HARTEL
001	2015-01-01	FREDERICK A. HARTEL
001	2014-01-01	FREDERICK A HARTEL		FREDERICK A HARTEL	2015-08-19
001	2013-01-01	FREDERICK HARTEL
001	2012-01-01	FREDERICK HARTEL		FREDERICK HARTEL	2013-10-08
001	2011-01-01	FREDERICK HARTEL		FREDERICK HARTEL	2012-08-01
001	2010-01-01	FREDERICK A. HARTEL	2011-05-18

Plan Statistics for JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN

401k plan membership statisitcs for JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN

Measure Date Value
2016: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 25
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 9
Total of all active and inactive participants 2016-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 34
Number of participants with account balances 2016-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 38
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 26
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 9
Total of all active and inactive participants 2015-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 35
Number of participants with account balances 2015-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 27
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 10
Total of all active and inactive participants 2014-01-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 38
Number of participants with account balances 2014-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 25
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 8
Total of all active and inactive participants 2013-01-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 34
Number of participants with account balances 2013-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 45
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 37
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 9
Total of all active and inactive participants 2012-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 46
Number of participants with account balances 2012-01-01 37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 50
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 33
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 12
Total of all active and inactive participants 2011-01-01 45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 45
Number of participants with account balances 2011-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2016: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	25
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	9
Total of all active and inactive participants	2016-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	34
Number of participants with account balances	2016-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	38
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	26
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	9
Total of all active and inactive participants	2015-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	35
Number of participants with account balances	2015-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	27
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	10
Total of all active and inactive participants	2014-01-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	38
Number of participants with account balances	2014-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	25
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	8
Total of all active and inactive participants	2013-01-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	34
Number of participants with account balances	2013-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	45
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	37
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	9
Total of all active and inactive participants	2012-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	46
Number of participants with account balances	2012-01-01	37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	50
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	33
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	12
Total of all active and inactive participants	2011-01-01	45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	45
Number of participants with account balances	2011-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN

Measure	Date	Value
2016 : JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$590,780
Expenses. Total of all expenses incurred	2016-12-31	$592,625
Benefits paid (including direct rollovers)	2016-12-31	$578,965
Total plan assets at end of year	2016-12-31	$5,402,045
Total plan assets at beginning of year	2016-12-31	$5,403,890
Value of fidelity bond covering the plan	2016-12-31	$600,000
Total contributions received or receivable from participants	2016-12-31	$141,055
Other income received	2016-12-31	$449,725
Net income (gross income less expenses)	2016-12-31	$-1,845
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$5,402,045
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$5,403,890
Assets. Value of participant loans	2016-12-31	$76,564
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$13,660
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$122,495
Expenses. Total of all expenses incurred	2015-12-31	$318,217
Benefits paid (including direct rollovers)	2015-12-31	$317,165
Total plan assets at end of year	2015-12-31	$5,403,890
Total plan assets at beginning of year	2015-12-31	$5,599,612
Value of fidelity bond covering the plan	2015-12-31	$600,000
Total contributions received or receivable from participants	2015-12-31	$105,614
Other income received	2015-12-31	$16,881
Net income (gross income less expenses)	2015-12-31	$-195,722
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$5,403,890
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$5,599,612
Assets. Value of participant loans	2015-12-31	$67,966
Value of certain deemed distributions of participant loans	2015-12-31	$602
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$450
2014 : JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$460,091
Expenses. Total of all expenses incurred	2014-12-31	$123,922
Benefits paid (including direct rollovers)	2014-12-31	$123,622
Total plan assets at end of year	2014-12-31	$5,599,612
Total plan assets at beginning of year	2014-12-31	$5,263,443
Value of fidelity bond covering the plan	2014-12-31	$600,000
Total contributions received or receivable from participants	2014-12-31	$117,743
Other income received	2014-12-31	$342,348
Net income (gross income less expenses)	2014-12-31	$336,169
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$5,599,612
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$5,263,443
Assets. Value of participant loans	2014-12-31	$72,518
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$300
2013 : JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$893,702
Expenses. Total of all expenses incurred	2013-12-31	$352,311
Benefits paid (including direct rollovers)	2013-12-31	$351,911
Total plan assets at end of year	2013-12-31	$5,263,443
Total plan assets at beginning of year	2013-12-31	$4,722,052
Value of fidelity bond covering the plan	2013-12-31	$600,000
Total contributions received or receivable from participants	2013-12-31	$114,756
Other income received	2013-12-31	$778,946
Net income (gross income less expenses)	2013-12-31	$541,391
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$5,263,443
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$4,722,052
Assets. Value of participant loans	2013-12-31	$87,364
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$400
2012 : JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$627,368
Expenses. Total of all expenses incurred	2012-12-31	$175,542
Benefits paid (including direct rollovers)	2012-12-31	$175,292
Total plan assets at end of year	2012-12-31	$4,722,052
Total plan assets at beginning of year	2012-12-31	$4,270,226
Value of fidelity bond covering the plan	2012-12-31	$600,000
Total contributions received or receivable from participants	2012-12-31	$104,413
Other income received	2012-12-31	$522,955
Net income (gross income less expenses)	2012-12-31	$451,826
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$4,722,052
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$4,270,226
Assets. Value of participant loans	2012-12-31	$92,930
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$250
2011 : JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$69,038
Expenses. Total of all expenses incurred	2011-12-31	$199,686
Benefits paid (including direct rollovers)	2011-12-31	$199,686
Total plan assets at end of year	2011-12-31	$4,270,226
Total plan assets at beginning of year	2011-12-31	$4,400,874
Value of fidelity bond covering the plan	2011-12-31	$600,000
Total contributions received or receivable from participants	2011-12-31	$117,598
Other income received	2011-12-31	$-48,560
Net income (gross income less expenses)	2011-12-31	$-130,648
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$4,270,226
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$4,400,874
Assets. Value of participant loans	2011-12-31	$98,642

Form 5500 Responses for JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN

2016: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: JOHN M. HARTEL & COMPANY, INC. PROFIT SHARING 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	JOHN M. HARTEL & COMPANY, INC.
Employer identification number (EIN):	221550964
NAIC Classification:	423700