401k Plan data: BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST plan

BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST
Plan identification number	001

BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 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.
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

BROOKWOOD MANAGEMENT CO. has sponsored the creation of one or more 401k plans.

Company Name: BROOKWOOD MANAGEMENT CO.

Employer identification number (EIN): 341594568

NAIC Classification: 423400

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 MR. BRIAN SPRING
001 2015-01-01 MR. BRIAN SPRING
001 2015-01-01 BRIAN R. SPRING 2016-10-17
001 2014-01-01 ROBERT LUNG 2015-05-29
001 2013-01-01 TARYN CASEBOLT 2014-05-30
001 2012-01-01 TARYN CASEBOLT 2013-06-16
001 2011-01-01 TARYN GILMORE 2012-06-15
001 2010-01-01 BROOKWOOD MANAGEMENT CO INC 2011-06-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2016-01-01	MR. BRIAN SPRING
001	2015-01-01	MR. BRIAN SPRING
001	2015-01-01	BRIAN R. SPRING	2016-10-17
001	2014-01-01	ROBERT LUNG	2015-05-29
001	2013-01-01	TARYN CASEBOLT	2014-05-30
001	2012-01-01	TARYN CASEBOLT	2013-06-16
001	2011-01-01	TARYN GILMORE	2012-06-15
001	2010-01-01	BROOKWOOD MANAGEMENT CO INC	2011-06-16

Plan Statistics for BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST

Measure Date Value
2016: BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year 2016-01-01 284
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 498
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 12
Total of all active and inactive participants 2016-01-01 510
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 510
Number of participants with account balances 2016-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 157
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 274
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 10
Total of all active and inactive participants 2015-01-01 284
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 284
Number of participants with account balances 2015-01-01 46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2016: BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year	2016-01-01	284
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	498
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	12
Total of all active and inactive participants	2016-01-01	510
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	510
Number of participants with account balances	2016-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	157
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	274
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	10
Total of all active and inactive participants	2015-01-01	284
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	284
Number of participants with account balances	2015-01-01	46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2016 : BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$352,641
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$144,920
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$141,207
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$314,590
Value of total assets at end of year	2016-12-31	$889,893
Value of total assets at beginning of year	2016-12-31	$682,172
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$3,713
Total interest from all sources	2016-12-31	$641
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
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	$179,446
Participant contributions at end of year	2016-12-31	$12,339
Participant contributions at beginning of year	2016-12-31	$17,715
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,358
Administrative expenses (other) incurred	2016-12-31	$590
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	$207,721
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$889,893
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$682,172
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
Value of interest in pooled separate accounts at end of year	2016-12-31	$877,554
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$664,457
Interest on participant loans	2016-12-31	$641
Net investment gain/loss from pooled separate accounts	2016-12-31	$37,410
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	Yes
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	$133,786
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$141,207
Contract administrator fees	2016-12-31	$3,123
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
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	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2016-12-31	410746749
2015 : BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$69,626
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$47,889
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$44,458
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$79,318
Value of total assets at end of year	2015-12-31	$682,172
Value of total assets at beginning of year	2015-12-31	$660,435
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$3,431
Total interest from all sources	2015-12-31	$800
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	No
Value of fidelity bond cover	2015-12-31	$100,000
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	$78,189
Participant contributions at end of year	2015-12-31	$17,715
Participant contributions at beginning of year	2015-12-31	$20,162
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,129
Administrative expenses (other) incurred	2015-12-31	$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	2015-12-31	No
Value of net income/loss	2015-12-31	$21,737
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$682,172
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$660,435
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
Value of interest in pooled separate accounts at end of year	2015-12-31	$664,457
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$640,273
Interest on participant loans	2015-12-31	$800
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$0
Net investment gain/loss from pooled separate accounts	2015-12-31	$-10,492
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	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$44,458
Contract administrator fees	2015-12-31	$3,431
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	No
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	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2015-12-31	410746749

Form 5500 Responses for BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST

2016: BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 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: BROOKWOOD MANAGEMENT CO INC 401(K) PROFIT SHARING PLAN AND TRUST 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
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

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

114052

Policy instance

Insurance contract or identification number	114052
Number of Individuals Covered	80
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $3,266
Total amount of fees paid to insurance company	USD $637
Are there contracts with allocated funds for individual policies?	No
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	0
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
Commission paid to Insurance Broker	USD $3,266
Insurance broker organization code?	3
Amount paid for insurance broker fees	637
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker name	SOUTHEASTERN EMPLOYEE BENEFIT

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Company Name:	BROOKWOOD MANAGEMENT CO.
Employer identification number (EIN):	341594568
NAIC Classification:	423400