401k Plan data: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN plan

LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 401k Plan overview

Plan Name	LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN
Plan identification number	001

LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 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.

401k Sponsoring company profile

LONG ISLAND CUSTOM WINDOWS, LLC DBA RENEWAL BY ANDERSEN OF LONG ISLAND has sponsored the creation of one or more 401k plans.

Company Name: LONG ISLAND CUSTOM WINDOWS, LLC DBA RENEWAL BY ANDERSEN OF LONG ISLAND

Employer identification number (EIN): 364619760

NAIC Classification: 442299
NAIC Description: All Other Home Furnishings Stores

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01 DAVID MOORE
001 2017-01-01 DAVID MOORE
001 2016-01-01 DAVID MOORE 2017-07-20
001 2015-01-01 JOE RONZINO 2016-06-29

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01
001	2018-01-01	DAVID MOORE
001	2017-01-01	DAVID MOORE
001	2016-01-01	DAVID MOORE	2017-07-20
001	2015-01-01	JOE RONZINO	2016-06-29

Plan Statistics for LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN

401k plan membership statisitcs for LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN

Measure Date Value
2019: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 132
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 120
Number of other retired or separated participants entitled to future benefits 2018-01-01 12
Total of all active and inactive participants 2018-01-01 132
Total participants 2018-01-01 132
Number of participants with account balances 2018-01-01 54
2017: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 104
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 13
Total of all active and inactive participants 2017-01-01 117
Total participants 2017-01-01 117
Number of participants with account balances 2017-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1

Measure	Date	Value
2019: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	132
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	120
Number of other retired or separated participants entitled to future benefits	2018-01-01	12
Total of all active and inactive participants	2018-01-01	132
Total participants	2018-01-01	132
Number of participants with account balances	2018-01-01	54
2017: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	104
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	13
Total of all active and inactive participants	2017-01-01	117
Total participants	2017-01-01	117
Number of participants with account balances	2017-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1

Financial Data on LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN

Measure	Date	Value
2019 : LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-06	$0
Total transfer of assets from this plan	2019-12-06	$1,560,197
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-06	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-06	$0
Total income from all sources (including contributions)	2019-12-06	$618,221
Total loss/gain on sale of assets	2019-12-06	$0
Total of all expenses incurred	2019-12-06	$235,929
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-06	$99,796
Value of total corrective distributions	2019-12-06	$122,221
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-06	$382,351
Value of total assets at end of year	2019-12-06	$0
Value of total assets at beginning of year	2019-12-06	$1,177,905
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-06	$13,912
Total interest from all sources	2019-12-06	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-06	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-06	No
Was this plan covered by a fidelity bond	2019-12-06	Yes
Value of fidelity bond cover	2019-12-06	$300,000
If this is an individual account plan, was there a blackout period	2019-12-06	Yes
Were there any nonexempt tranactions with any party-in-interest	2019-12-06	No
Contributions received from participants	2019-12-06	$382,351
Other income not declared elsewhere	2019-12-06	$0
Administrative expenses (other) incurred	2019-12-06	$450
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-06	No
Value of net income/loss	2019-12-06	$382,292
Value of net assets at end of year (total assets less liabilities)	2019-12-06	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-12-06	$1,177,905
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-06	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-06	No
Were any leases to which the plan was party in default or uncollectible	2019-12-06	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-06	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-06	$1,106,267
Net investment gain/loss from pooled separate accounts	2019-12-06	$235,870
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-06	No
Was there a failure to transmit to the plan any participant contributions	2019-12-06	No
Has the plan failed to provide any benefit when due under the plan	2019-12-06	No
Contributions received in cash from employer	2019-12-06	$0
Employer contributions (assets) at end of year	2019-12-06	$0
Employer contributions (assets) at beginning of year	2019-12-06	$71,638
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-06	$99,796
Contract administrator fees	2019-12-06	$13,462
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	2019-12-06	Yes
Did the plan have assets held for investment	2019-12-06	No
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	2019-12-06	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-06	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-06	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-06	Disclaimer
Accountancy firm name	2019-12-06	BLATT & DAUMAN, LLP
Accountancy firm EIN	2019-12-06	112778625
2018 : LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2018 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$4,531
Total income from all sources (including contributions)	2018-12-31	$413,880
Total of all expenses incurred	2018-12-31	$89,202
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$48,060
Value of total corrective distributions	2018-12-31	$31,209
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$485,427
Value of total assets at end of year	2018-12-31	$1,177,905
Value of total assets at beginning of year	2018-12-31	$857,758
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$9,933
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Administrative expenses professional fees incurred	2018-12-31	$150
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$100,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$376,082
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$4,531
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$324,678
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$1,177,905
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$853,227
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$1,106,267
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$821,241
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-71,547
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$109,345
Employer contributions (assets) at end of year	2018-12-31	$71,638
Employer contributions (assets) at beginning of year	2018-12-31	$36,517
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$48,060
Contract administrator fees	2018-12-31	$9,783
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	BLATT & DAUMAN, LLP
Accountancy firm EIN	2018-12-31	112778625
2017 : LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2017 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$4,531
Total income from all sources (including contributions)	2017-12-31	$412,403
Total of all expenses incurred	2017-12-31	$152,698
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$131,765
Value of total corrective distributions	2017-12-31	$16,409
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$290,199
Value of total assets at end of year	2017-12-31	$857,758
Value of total assets at beginning of year	2017-12-31	$593,522
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$4,524
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Administrative expenses professional fees incurred	2017-12-31	$400
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$100,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$253,682
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$4,531
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$259,705
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$853,227
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$593,522
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$821,241
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$577,668
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$122,204
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$36,517
Employer contributions (assets) at end of year	2017-12-31	$36,517
Employer contributions (assets) at beginning of year	2017-12-31	$15,854
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$131,765
Contract administrator fees	2017-12-31	$4,124
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	BLATT & DAUMAN, LLP
Accountancy firm EIN	2017-12-31	112778625

Form 5500 Responses for LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN

2019: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: LONG ISLAND CUSTOM WINDOWS, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

800878

Policy instance

Insurance contract or identification number	800878
Number of Individuals Covered	0
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $3,346
Total amount of fees paid to insurance company	USD $1,056
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	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
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	606
Additional information about fees paid to insurance broker	TPA COMPENSATION
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

800878

Policy instance

Insurance contract or identification number	800878
Number of Individuals Covered	55
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $3,236
Total amount of fees paid to insurance company	USD $646
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,236
Insurance broker organization code?	4
Amount paid for insurance broker fees	646
Additional information about fees paid to insurance broker	FEES AND COMPENSATION

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

800878

Policy instance

Insurance contract or identification number	800878
Number of Individuals Covered	42
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $3,050
Total amount of fees paid to insurance company	USD $756
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,050
Insurance broker organization code?	4
Amount paid for insurance broker fees	756
Additional information about fees paid to insurance broker	FEES AND COMPENSATION
Insurance broker name	INTAC ACTUARIAL SERVICES

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Company Name:	LONG ISLAND CUSTOM WINDOWS, LLC DBA RENEWAL BY ANDERSEN OF LONG ISLAND
Employer identification number (EIN):	364619760
NAIC Classification:	442299
NAIC Description:	All Other Home Furnishings Stores