401k Plan data: KEEFE GROUP PROFIT SHARING AND 401(K) PLAN plan

KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 401k Plan overview

Plan Name	KEEFE GROUP PROFIT SHARING AND 401(K) PLAN
Plan identification number	001

KEEFE GROUP PROFIT SHARING AND 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

KEEFE GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: KEEFE GROUP, LLC

Employer identification number (EIN): 474965474

NAIC Classification: 424990
NAIC Description: Other Miscellaneous Nondurable Goods Merchant Wholesalers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KEEFE GROUP PROFIT SHARING AND 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 SARA LAMARTINA SARA LAMARTINA 2018-07-12
001 2016-01-01 CARRIE PINGEL CARRIE PINGEL 2017-08-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	SARA LAMARTINA		SARA LAMARTINA	2018-07-12
001	2016-01-01	CARRIE PINGEL		CARRIE PINGEL	2017-08-21

Plan Statistics for KEEFE GROUP PROFIT SHARING AND 401(K) PLAN

401k plan membership statisitcs for KEEFE GROUP PROFIT SHARING AND 401(K) PLAN

Measure Date Value
2017: KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 3,520
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 3,600
Number of retired or separated participants receiving benefits 2017-01-01 6
Number of other retired or separated participants entitled to future benefits 2017-01-01 398
Total of all active and inactive participants 2017-01-01 4,004
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 4,005
Number of participants with account balances 2017-01-01 3,264
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 171
2016: KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 3,396
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 3,058
Number of retired or separated participants receiving benefits 2016-01-01 3
Number of other retired or separated participants entitled to future benefits 2016-01-01 387
Total of all active and inactive participants 2016-01-01 3,448
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 3,448
Number of participants with account balances 2016-01-01 3,345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 165

Measure	Date	Value
2017: KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	3,520
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	3,600
Number of retired or separated participants receiving benefits	2017-01-01	6
Number of other retired or separated participants entitled to future benefits	2017-01-01	398
Total of all active and inactive participants	2017-01-01	4,004
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	4,005
Number of participants with account balances	2017-01-01	3,264
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	171
2016: KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	3,396
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	3,058
Number of retired or separated participants receiving benefits	2016-01-01	3
Number of other retired or separated participants entitled to future benefits	2016-01-01	387
Total of all active and inactive participants	2016-01-01	3,448
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	3,448
Number of participants with account balances	2016-01-01	3,345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	165

Financial Data on KEEFE GROUP PROFIT SHARING AND 401(K) PLAN

Measure	Date	Value
2017 : KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$-11,322,701
Total unrealized appreciation/depreciation of assets	2017-12-31	$-11,322,701
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$35,359,517
Total loss/gain on sale of assets	2017-12-31	$13,009,828
Total of all expenses incurred	2017-12-31	$9,003,729
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$8,471,330
Expenses. Certain deemed distributions of participant loans	2017-12-31	$21,656
Value of total corrective distributions	2017-12-31	$174,576
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$15,069,231
Value of total assets at end of year	2017-12-31	$141,339,285
Value of total assets at beginning of year	2017-12-31	$114,983,497
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$336,167
Total interest from all sources	2017-12-31	$272,420
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$3,613,934
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$3,613,934
Administrative expenses professional fees incurred	2017-12-31	$14,100
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$7,086,112
Participant contributions at end of year	2017-12-31	$1,840,048
Participant contributions at beginning of year	2017-12-31	$2,083,044
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$1,518,935
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$922,442
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$109,878
Administrative expenses (other) incurred	2017-12-31	$250
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	$26,355,788
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$141,339,285
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$114,983,497
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
Investment advisory and management fees	2017-12-31	$179,064
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$129,310,350
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$90,978,556
Value of interest in pooled separate accounts at end of year	2017-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$0
Interest on participant loans	2017-12-31	$89,662
Interest earned on other investments	2017-12-31	$182,758
Value of interest in common/collective trusts at end of year	2017-12-31	$0
Value of interest in common/collective trusts at beginning of year	2017-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$5,625,481
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$5,428,255
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Asset value of US Government securities at beginning of year	2017-12-31	$1,728,845
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$14,716,805
Net investment gain/loss from pooled separate accounts	2017-12-31	$0
Net investment gain or loss from common/collective trusts	2017-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	Yes
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
Assets. Invements in employer securities at end of year	2017-12-31	$0
Assets. Invements in employer securities at beginning of year	2017-12-31	$0
Contributions received in cash from employer	2017-12-31	$7,060,677
Employer contributions (assets) at end of year	2017-12-31	$4,563,406
Employer contributions (assets) at beginning of year	2017-12-31	$2,167,185
Income. Dividends from common stock	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$8,471,330
Asset. Corporate debt instrument preferred debt at beginning of year	2017-12-31	$10,968,799
Contract administrator fees	2017-12-31	$142,753
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
Aggregate proceeds on sale of assets	2017-12-31	$51,892,171
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$38,882,343
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	RUBIN BROWN LLP
Accountancy firm EIN	2017-12-31	430765316
2016 : KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 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	$17,616,518
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$9,789,514
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$9,546,757
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$9,348,308
Value of total assets at end of year	2016-12-31	$114,983,497
Value of total assets at beginning of year	2016-12-31	$107,156,493
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$242,757
Total interest from all sources	2016-12-31	$89,626
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$2,452,330
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	$2,452,330
Administrative expenses professional fees incurred	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$5,000,000
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	$6,684,138
Participant contributions at end of year	2016-12-31	$2,167,185
Participant contributions at beginning of year	2016-12-31	$1,872,249
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$1,518,935
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$1,860,233
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$317,316
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$109,878
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$104,310
Administrative expenses (other) incurred	2016-12-31	$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	2016-12-31	No
Value of net income/loss	2016-12-31	$7,827,004
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$114,983,497
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$107,156,493
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	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$90,978,556
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$80,854,318
Interest on participant loans	2016-12-31	$89,626
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$5,428,255
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$5,587,211
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Asset value of US Government securities at end of year	2016-12-31	$1,728,845
Asset value of US Government securities at beginning of year	2016-12-31	$2,225,470
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$5,726,254
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	$2,346,854
Employer contributions (assets) at end of year	2016-12-31	$2,083,044
Employer contributions (assets) at beginning of year	2016-12-31	$4,167,938
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$9,546,757
Asset. Corporate debt instrument preferred debt at end of year	2016-12-31	$10,968,799
Asset. Corporate debt instrument preferred debt at beginning of year	2016-12-31	$10,484,764
Contract administrator fees	2016-12-31	$242,757
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	RUBIN BROWN, LLP
Accountancy firm EIN	2016-12-31	430765316

Form 5500 Responses for KEEFE GROUP PROFIT SHARING AND 401(K) PLAN

2017: KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: KEEFE GROUP PROFIT SHARING AND 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60702

Policy instance

Insurance contract or identification number	MR 60702
Number of Individuals Covered	4005
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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?	Yes
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

Potentially related plans

KEEFE GROUP PROFIT SHARING AND 401(K) PLAN [EIN = 431857001]

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Company Name:	KEEFE GROUP, LLC
Employer identification number (EIN):	474965474
NAIC Classification:	424990
NAIC Description:	Other Miscellaneous Nondurable Goods Merchant Wholesalers