401k Plan data: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN plan

DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 401k Plan overview

Plan Name	DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN
Plan identification number	001

DAVID M. MAINES ASSOCIATES, INC. 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.
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

DAVID M. MAINES ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: DAVID M. MAINES ASSOCIATES, INC.

Employer identification number (EIN): 232581270

NAIC Classification: 238100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01 PATRICIA MAINES 2020-10-06
001 2018-01-01 PATRICIA MAINES 2019-09-23
001 2017-01-01 PATRICIA L MAINES 2018-06-19
001 2016-01-01
001 2015-01-01 PATRICIA L MAINES PATRICIA L MAINES 2016-10-14
001 2014-01-01 PATRICIA MAINES 2015-06-24 PATRICIA MAINES 2015-06-24
001 2013-01-01 CHARLES MAINES 2014-05-02
001 2012-01-01 CHARLES MAINES 2013-06-17
001 2011-01-01 CHARLES MAINES 2012-06-19
001 2010-01-01 CHARLES MAINES 2011-04-20

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01	PATRICIA MAINES	2020-10-06
001	2018-01-01	PATRICIA MAINES	2019-09-23
001	2017-01-01	PATRICIA L MAINES	2018-06-19
001	2016-01-01
001	2015-01-01	PATRICIA L MAINES		PATRICIA L MAINES	2016-10-14
001	2014-01-01	PATRICIA MAINES	2015-06-24	PATRICIA MAINES	2015-06-24
001	2013-01-01	CHARLES MAINES	2014-05-02
001	2012-01-01	CHARLES MAINES	2013-06-17
001	2011-01-01	CHARLES MAINES	2012-06-19
001	2010-01-01	CHARLES MAINES	2011-04-20

Plan Statistics for DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN

401k plan membership statisitcs for DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN

Measure Date Value
2022: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 138
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 124
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 26
Total of all active and inactive participants 2022-01-01 150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 150
Number of participants with account balances 2022-01-01 148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 2
2021: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 113
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 112
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 26
Total of all active and inactive participants 2021-01-01 138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 138
Number of participants with account balances 2021-01-01 137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 121
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 100
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 13
Total of all active and inactive participants 2020-01-01 113
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 113
Number of participants with account balances 2020-01-01 112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2016: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 99
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 77
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 19
Total of all active and inactive participants 2016-01-01 96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 96
Number of participants with account balances 2016-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 128
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 83
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 15
Total of all active and inactive participants 2015-01-01 99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 99
Number of participants with account balances 2015-01-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2022: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	138
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	124
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	26
Total of all active and inactive participants	2022-01-01	150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	150
Number of participants with account balances	2022-01-01	148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	2
2021: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	113
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	112
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	26
Total of all active and inactive participants	2021-01-01	138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	138
Number of participants with account balances	2021-01-01	137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	121
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	100
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	13
Total of all active and inactive participants	2020-01-01	113
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	113
Number of participants with account balances	2020-01-01	112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2016: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	99
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	77
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	19
Total of all active and inactive participants	2016-01-01	96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	96
Number of participants with account balances	2016-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	128
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	83
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	15
Total of all active and inactive participants	2015-01-01	99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	99
Number of participants with account balances	2015-01-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN

Measure	Date	Value
2022 : DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-911,776
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$274,365
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$261,439
Expenses. Certain deemed distributions of participant loans	2022-12-31	$7,052
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,411,643
Value of total assets at end of year	2022-12-31	$15,988,058
Value of total assets at beginning of year	2022-12-31	$17,174,199
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$5,874
Total interest from all sources	2022-12-31	$4,920
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$337,144
Participant contributions at end of year	2022-12-31	$283,770
Participant contributions at beginning of year	2022-12-31	$265,285
Total non interest bearing cash at end of year	2022-12-31	$0
Total non interest bearing cash at beginning of year	2022-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-1,186,141
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$15,988,058
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$17,174,199
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$13,516,377
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$14,396,222
Interest on participant loans	2022-12-31	$4,920
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$2,181,361
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$2,375,399
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-2,328,339
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$1,074,499
Employer contributions (assets) at end of year	2022-12-31	$6,550
Employer contributions (assets) at beginning of year	2022-12-31	$137,293
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$261,439
Contract administrator fees	2022-12-31	$5,874
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	WESSEL & COMPANY
Accountancy firm EIN	2022-12-31	251390233
2021 : DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$3,546,503
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$754,912
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$629,380
Expenses. Certain deemed distributions of participant loans	2021-12-31	$45,151
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,501,223
Value of total assets at end of year	2021-12-31	$17,174,199
Value of total assets at beginning of year	2021-12-31	$14,382,608
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$80,381
Total interest from all sources	2021-12-31	$8,748
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$297,541
Participant contributions at end of year	2021-12-31	$265,285
Participant contributions at beginning of year	2021-12-31	$306,248
Total non interest bearing cash at end of year	2021-12-31	$0
Total non interest bearing cash at beginning of year	2021-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$2,791,591
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$17,174,199
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$14,382,608
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$14,396,222
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$12,243,206
Interest on participant loans	2021-12-31	$8,748
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$2,375,399
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$1,779,146
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$2,036,532
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$1,203,682
Employer contributions (assets) at end of year	2021-12-31	$137,293
Employer contributions (assets) at beginning of year	2021-12-31	$54,008
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$629,380
Contract administrator fees	2021-12-31	$80,381
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	WESSEL & COMPANY
Accountancy firm EIN	2021-12-31	251390233
2020 : DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$2,816,037
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$1,310,036
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,186,527
Expenses. Certain deemed distributions of participant loans	2020-12-31	$111,809
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,162,062
Value of total assets at end of year	2020-12-31	$14,382,608
Value of total assets at beginning of year	2020-12-31	$12,876,607
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$11,700
Total interest from all sources	2020-12-31	$12,347
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$227,119
Assets. Loans (other than to participants) at end of year	2020-12-31	$306,248
Assets. Loans (other than to participants) at beginning of year	2020-12-31	$356,409
Total non interest bearing cash at end of year	2020-12-31	$0
Total non interest bearing cash at beginning of year	2020-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,506,001
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$14,382,608
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$12,876,607
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$12,243,206
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$10,994,429
Interest on participant loans	2020-12-31	$12,347
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$1,779,146
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$1,438,445
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$1,641,628
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$934,943
Employer contributions (assets) at end of year	2020-12-31	$54,008
Employer contributions (assets) at beginning of year	2020-12-31	$87,324
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,186,527
Contract administrator fees	2020-12-31	$11,700
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	WESSEL & COMPANY
Accountancy firm EIN	2020-12-31	251390233
2016 : DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$1,652,517
Total of all expenses incurred	2016-12-31	$1,660,303
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,596,845
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$860,522
Value of total assets at end of year	2016-12-31	$9,219,033
Value of total assets at beginning of year	2016-12-31	$9,226,819
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$63,458
Total interest from all sources	2016-12-31	$11,646
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$242,386
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$242,386
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$923,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$111,780
Participant contributions at end of year	2016-12-31	$441,460
Participant contributions at beginning of year	2016-12-31	$703,870
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$348
Other income not declared elsewhere	2016-12-31	$-7
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-7,786
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$9,219,033
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$9,226,819
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$48,213
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$8,777,573
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$8,522,949
Interest on participant loans	2016-12-31	$11,646
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$537,970
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$748,394
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,596,845
Contract administrator fees	2016-12-31	$15,245
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	WESSEL & COMPANY
Accountancy firm EIN	2016-12-31	251390233
2015 : DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$721,565
Total of all expenses incurred	2015-12-31	$827,692
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$790,505
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,114,643
Value of total assets at end of year	2015-12-31	$9,226,819
Value of total assets at beginning of year	2015-12-31	$9,332,946
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$37,187
Total interest from all sources	2015-12-31	$12,810
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$298,551
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$298,551
Administrative expenses professional fees incurred	2015-12-31	$11,765
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$108,307
Participant contributions at end of year	2015-12-31	$703,870
Participant contributions at beginning of year	2015-12-31	$652,087
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$107,282
Other income not declared elsewhere	2015-12-31	$82,090
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-106,127
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$9,226,819
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$9,332,946
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$25,422
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$8,522,949
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$8,680,859
Interest on participant loans	2015-12-31	$12,810
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-786,529
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$899,054
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$790,505
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	WESSEL & COMPANY
Accountancy firm EIN	2015-12-31	251390233

Form 5500 Responses for DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN

2022: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: DAVID M. MAINES ASSOCIATES, INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2016: DAVID M. MAINES ASSOCIATES, INC. 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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: DAVID M. MAINES ASSOCIATES, INC. 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

812783

Policy instance

Insurance contract or identification number	812783
Number of Individuals Covered	148
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Are there contracts with allocated funds for individual policies?	0
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	1
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?	No
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

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

812783

Policy instance

Insurance contract or identification number	812783
Number of Individuals Covered	137
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Are there contracts with allocated funds for individual policies?	0
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	1
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?	No
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

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

812783

Policy instance

Insurance contract or identification number	812783
Number of Individuals Covered	112
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Are there contracts with allocated funds for individual policies?	0
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	1
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?	No
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

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Company Name:	DAVID M. MAINES ASSOCIATES, INC.
Employer identification number (EIN):	232581270
NAIC Classification:	238100