401k Plan data: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN plan

THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	003

THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Stock bonus
Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
The employer maintaining this ESOP is an S Corporation
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

THE BARKER ROCKFORD COMPANY has sponsored the creation of one or more 401k plans.

Company Name: THE BARKER ROCKFORD COMPANY

Employer identification number (EIN): 362352126

NAIC Classification: 333200

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2014-09-01 PIERCE BARKER PIERCE BARKER 2015-07-08
003 2013-09-01 PIERCE BARKER PIERCE BARKER 2015-06-02
003 2012-09-01 PIERCE BARKER PIERCE BARKER 2014-06-13
003 2011-09-01 PIERCE BARKER III PIERCE BARKER III 2013-06-05
003 2010-09-01 PIERCE BARKER III PIERCE BARKER III 2012-10-04
003 2009-09-01 PIERCE BARKER III PIERCE BARKER III 2012-06-28
003 2008-09-01 PIERCE BARKER III PIERCE BARKER III 2012-06-28
003 2007-09-01 MICHAEL BALL

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2014-09-01	PIERCE BARKER	PIERCE BARKER	2015-07-08
003	2013-09-01	PIERCE BARKER	PIERCE BARKER	2015-06-02
003	2012-09-01	PIERCE BARKER	PIERCE BARKER	2014-06-13
003	2011-09-01	PIERCE BARKER III	PIERCE BARKER III	2013-06-05
003	2010-09-01	PIERCE BARKER III	PIERCE BARKER III	2012-10-04
003	2009-09-01	PIERCE BARKER III	PIERCE BARKER III	2012-06-28
003	2008-09-01	PIERCE BARKER III	PIERCE BARKER III	2012-06-28
003	2007-09-01	MICHAEL BALL

Plan Statistics for THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2014: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-09-01 65
Total number of active participants reported on line 7a of the Form 5500 2014-09-01 0
Number of retired or separated participants receiving benefits 2014-09-01 0
Number of other retired or separated participants entitled to future benefits 2014-09-01 0
Total of all active and inactive participants 2014-09-01 0
Total participants 2014-09-01 0
Number of participants with account balances 2014-09-01 0
2013: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-09-01 64
Total number of active participants reported on line 7a of the Form 5500 2013-09-01 34
Number of other retired or separated participants entitled to future benefits 2013-09-01 29
Total of all active and inactive participants 2013-09-01 63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-09-01 2
Total participants 2013-09-01 65
Number of participants with account balances 2013-09-01 65
2012: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-09-01 74
Total number of active participants reported on line 7a of the Form 5500 2012-09-01 39
Number of other retired or separated participants entitled to future benefits 2012-09-01 22
Total of all active and inactive participants 2012-09-01 61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-09-01 2
Total participants 2012-09-01 63
Number of participants with account balances 2012-09-01 63
2011: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-09-01 84
Total number of active participants reported on line 7a of the Form 5500 2011-09-01 35
Number of other retired or separated participants entitled to future benefits 2011-09-01 37
Total of all active and inactive participants 2011-09-01 72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-09-01 2
Total participants 2011-09-01 74
Number of participants with account balances 2011-09-01 74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-09-01 0
2010: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year 2010-09-01 83
Total number of active participants reported on line 7a of the Form 5500 2010-09-01 34
Number of other retired or separated participants entitled to future benefits 2010-09-01 48
Total of all active and inactive participants 2010-09-01 82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-09-01 2
Total participants 2010-09-01 84
Number of participants with account balances 2010-09-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-09-01 0
2009: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-09-01 83
Total number of active participants reported on line 7a of the Form 5500 2009-09-01 42
Number of other retired or separated participants entitled to future benefits 2009-09-01 41
Total of all active and inactive participants 2009-09-01 83
Total participants 2009-09-01 83
Number of participants with account balances 2009-09-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-09-01 1
2008: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2008 401k membership
Total participants, beginning-of-year 2008-09-01 89
Total number of active participants reported on line 7a of the Form 5500 2008-09-01 42
Number of other retired or separated participants entitled to future benefits 2008-09-01 41
Total of all active and inactive participants 2008-09-01 83
Total participants 2008-09-01 83
Number of participants with account balances 2008-09-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-09-01 3
2007: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2007 401k membership
Total participants, beginning-of-year 2007-09-01 79
Total number of active participants reported on line 7a of the Form 5500 2007-09-01 58
Number of retired or separated participants receiving benefits 2007-09-01 0
Number of other retired or separated participants entitled to future benefits 2007-09-01 31
Total of all active and inactive participants 2007-09-01 89
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-09-01 0
Total participants 2007-09-01 89
Number of participants with account balances 2007-09-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-09-01 1

Measure	Date	Value
2014: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-09-01	65
Total number of active participants reported on line 7a of the Form 5500	2014-09-01	0
Number of retired or separated participants receiving benefits	2014-09-01	0
Number of other retired or separated participants entitled to future benefits	2014-09-01	0
Total of all active and inactive participants	2014-09-01	0
Total participants	2014-09-01	0
Number of participants with account balances	2014-09-01	0
2013: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-09-01	64
Total number of active participants reported on line 7a of the Form 5500	2013-09-01	34
Number of other retired or separated participants entitled to future benefits	2013-09-01	29
Total of all active and inactive participants	2013-09-01	63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-09-01	2
Total participants	2013-09-01	65
Number of participants with account balances	2013-09-01	65
2012: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-09-01	74
Total number of active participants reported on line 7a of the Form 5500	2012-09-01	39
Number of other retired or separated participants entitled to future benefits	2012-09-01	22
Total of all active and inactive participants	2012-09-01	61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-09-01	2
Total participants	2012-09-01	63
Number of participants with account balances	2012-09-01	63
2011: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-09-01	84
Total number of active participants reported on line 7a of the Form 5500	2011-09-01	35
Number of other retired or separated participants entitled to future benefits	2011-09-01	37
Total of all active and inactive participants	2011-09-01	72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-09-01	2
Total participants	2011-09-01	74
Number of participants with account balances	2011-09-01	74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-09-01	0
2010: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year	2010-09-01	83
Total number of active participants reported on line 7a of the Form 5500	2010-09-01	34
Number of other retired or separated participants entitled to future benefits	2010-09-01	48
Total of all active and inactive participants	2010-09-01	82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-09-01	2
Total participants	2010-09-01	84
Number of participants with account balances	2010-09-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-09-01	0
2009: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-09-01	83
Total number of active participants reported on line 7a of the Form 5500	2009-09-01	42
Number of other retired or separated participants entitled to future benefits	2009-09-01	41
Total of all active and inactive participants	2009-09-01	83
Total participants	2009-09-01	83
Number of participants with account balances	2009-09-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-09-01	1
2008: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2008 401k membership
Total participants, beginning-of-year	2008-09-01	89
Total number of active participants reported on line 7a of the Form 5500	2008-09-01	42
Number of other retired or separated participants entitled to future benefits	2008-09-01	41
Total of all active and inactive participants	2008-09-01	83
Total participants	2008-09-01	83
Number of participants with account balances	2008-09-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-09-01	3
2007: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2007 401k membership
Total participants, beginning-of-year	2007-09-01	79
Total number of active participants reported on line 7a of the Form 5500	2007-09-01	58
Number of retired or separated participants receiving benefits	2007-09-01	0
Number of other retired or separated participants entitled to future benefits	2007-09-01	31
Total of all active and inactive participants	2007-09-01	89
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-09-01	0
Total participants	2007-09-01	89
Number of participants with account balances	2007-09-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-09-01	1

Financial Data on THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2015 : THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total income from all sources	2015-04-30	$253,627
Expenses. Total of all expenses incurred	2015-04-30	$254,684
Benefits paid (including direct rollovers)	2015-04-30	$254,635
Total plan assets at end of year	2015-04-30	$0
Total plan assets at beginning of year	2015-04-30	$1,057
Value of fidelity bond covering the plan	2015-04-30	$100,000
Expenses. Other expenses not covered elsewhere	2015-04-30	$49
Other income received	2015-04-30	$253,627
Net income (gross income less expenses)	2015-04-30	$-1,057
Net plan assets at end of year (total assets less liabilities)	2015-04-30	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-04-30	$1,057
2014 : THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total plan liabilities at beginning of year	2014-08-31	$1,150,212
Total income from all sources	2014-08-31	$-359,021
Expenses. Total of all expenses incurred	2014-08-31	$74
Benefits paid (including direct rollovers)	2014-08-31	$24
Total plan assets at end of year	2014-08-31	$1,057
Total plan assets at beginning of year	2014-08-31	$1,510,364
Value of fidelity bond covering the plan	2014-08-31	$100,000
Total contributions received or receivable from participants	2014-08-31	$0
Expenses. Other expenses not covered elsewhere	2014-08-31	$50
Other income received	2014-08-31	$-360,152
Net income (gross income less expenses)	2014-08-31	$-359,095
Net plan assets at end of year (total assets less liabilities)	2014-08-31	$1,057
Net plan assets at beginning of year (total assets less liabilities)	2014-08-31	$360,152
Assets. Value of employer securities	2014-08-31	$0
Total contributions received or receivable from employer(s)	2014-08-31	$1,131
2013 : THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-08-31	$1,150,212
Total plan liabilities at beginning of year	2013-08-31	$1,150,212
Total income from all sources	2013-08-31	$29,214
Expenses. Total of all expenses incurred	2013-08-31	$83,141
Benefits paid (including direct rollovers)	2013-08-31	$83,044
Total plan assets at end of year	2013-08-31	$1,510,364
Total plan assets at beginning of year	2013-08-31	$1,564,291
Value of fidelity bond covering the plan	2013-08-31	$100,000
Expenses. Other expenses not covered elsewhere	2013-08-31	$97
Other income received	2013-08-31	$-53,926
Net income (gross income less expenses)	2013-08-31	$-53,927
Net plan assets at end of year (total assets less liabilities)	2013-08-31	$360,152
Net plan assets at beginning of year (total assets less liabilities)	2013-08-31	$414,079
Assets. Value of employer securities	2013-08-31	$1,510,364
Total contributions received or receivable from employer(s)	2013-08-31	$83,140
2012 : THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-08-31	$1,150,212
Total plan liabilities at beginning of year	2012-08-31	$1,150,212
Total income from all sources	2012-08-31	$34,470
Expenses. Total of all expenses incurred	2012-08-31	$34,776
Benefits paid (including direct rollovers)	2012-08-31	$34,776
Total plan assets at end of year	2012-08-31	$1,564,291
Total plan assets at beginning of year	2012-08-31	$1,564,597
Value of fidelity bond covering the plan	2012-08-31	$100,000
Other income received	2012-08-31	$6,540
Net income (gross income less expenses)	2012-08-31	$-306
Net plan assets at end of year (total assets less liabilities)	2012-08-31	$414,079
Net plan assets at beginning of year (total assets less liabilities)	2012-08-31	$414,385
Assets. Value of employer securities	2012-08-31	$414,079
Total contributions received or receivable from employer(s)	2012-08-31	$27,930
2011 : THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-08-31	$1,150,212
Total plan liabilities at beginning of year	2011-08-31	$1,150,212
Total income from all sources	2011-08-31	$-127,448
Expenses. Total of all expenses incurred	2011-08-31	$0
Total plan assets at end of year	2011-08-31	$1,564,597
Total plan assets at beginning of year	2011-08-31	$1,692,045
Value of fidelity bond covering the plan	2011-08-31	$100,000
Other income received	2011-08-31	$-127,448
Net income (gross income less expenses)	2011-08-31	$-127,448
Net plan assets at end of year (total assets less liabilities)	2011-08-31	$414,385
Net plan assets at beginning of year (total assets less liabilities)	2011-08-31	$541,833
Assets. Value of employer securities	2011-08-31	$407,490
2009 : THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total plan liabilities at end of year	2009-08-31	$1,150,212
Total plan liabilities at beginning of year	2009-08-31	$1,193,545
Total income from all sources	2009-08-31	$-88,405
Expenses. Total of all expenses incurred	2009-08-31	$20,479
Benefits paid (including direct rollovers)	2009-08-31	$1,074
Total plan assets at end of year	2009-08-31	$1,738,384
Total plan assets at beginning of year	2009-08-31	$1,890,601
Value of fidelity bond covering the plan	2009-08-31	$350,000
Expenses. Other expenses not covered elsewhere	2009-08-31	$19,405
Other income received	2009-08-31	$-148,373
Net income (gross income less expenses)	2009-08-31	$-108,884
Net plan assets at end of year (total assets less liabilities)	2009-08-31	$588,172
Net plan assets at beginning of year (total assets less liabilities)	2009-08-31	$697,056
Assets. Value of employer securities	2009-08-31	$565,111
Total contributions received or receivable from employer(s)	2009-08-31	$59,968

Form 5500 Responses for THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

2014: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-09-01	Type of plan entity	Single employer plan
2014-09-01	Submission has been amended	No
2014-09-01	This submission is the final filing	Yes
2014-09-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2014-09-01	Plan is a collectively bargained plan	No
2014-09-01	Plan funding arrangement – Trust	Yes
2014-09-01	Plan benefit arrangement - Trust	Yes
2013: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-09-01	Type of plan entity	Single employer plan
2013-09-01	Submission has been amended	No
2013-09-01	This submission is the final filing	No
2013-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-09-01	Plan is a collectively bargained plan	No
2013-09-01	Plan funding arrangement – Trust	Yes
2013-09-01	Plan benefit arrangement - Trust	Yes
2012: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-09-01	Type of plan entity	Single employer plan
2012-09-01	Submission has been amended	No
2012-09-01	This submission is the final filing	No
2012-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-09-01	Plan is a collectively bargained plan	No
2012-09-01	Plan funding arrangement – Trust	Yes
2012-09-01	Plan benefit arrangement - Trust	Yes
2011: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-09-01	Type of plan entity	Single employer plan
2011-09-01	Submission has been amended	No
2011-09-01	This submission is the final filing	No
2011-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-09-01	Plan is a collectively bargained plan	No
2011-09-01	Plan funding arrangement – Trust	Yes
2011-09-01	Plan benefit arrangement - Trust	Yes
2010: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-09-01	Type of plan entity	Single employer plan
2010-09-01	Submission has been amended	No
2010-09-01	This submission is the final filing	No
2010-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-09-01	Plan is a collectively bargained plan	No
2010-09-01	Plan funding arrangement – Trust	Yes
2010-09-01	Plan benefit arrangement - Trust	Yes
2009: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-09-01	Type of plan entity	Single employer plan
2009-09-01	Submission has been amended	No
2009-09-01	This submission is the final filing	No
2009-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-09-01	Plan is a collectively bargained plan	No
2009-09-01	Plan funding arrangement – Trust	Yes
2009-09-01	Plan benefit arrangement - Trust	Yes
2008: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2008 form 5500 responses
2008-09-01	Type of plan entity	Single employer plan
2008-09-01	Submission has been amended	Yes
2008-09-01	This submission is the final filing	No
2008-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-09-01	Plan is a collectively bargained plan	No
2008-09-01	Plan funding arrangement – Trust	Yes
2008-09-01	Plan benefit arrangement - Trust	Yes
2007: THE BARKER ROCKFORD COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2007 form 5500 responses
2007-09-01	Type of plan entity	Single employer plan
2007-09-01	Submission has been amended	Yes
2007-09-01	This submission is the final filing	No
2007-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-09-01	Plan is a collectively bargained plan	No
2007-09-01	Plan funding arrangement – Trust	Yes
2007-09-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE BARKER ROCKFORD COMPANY
Employer identification number (EIN):	362352126
NAIC Classification:	333200