401k Plan data: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN plan

SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING 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

SMOKY MOUNTAIN SYSTEMS, INC. has sponsored the creation of one or more 401k plans.

Company Name: SMOKY MOUNTAIN SYSTEMS, INC.

Employer identification number (EIN): 561604226

NAIC Classification: 811210
NAIC Description: Electronic and Precision Equipment Repair and Maintenance

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01 MARLA DASCOLI 2019-08-09
001 2018-01-01 MARLA DASCOLI 2019-06-04
001 2017-01-01 MARLA DASCOLI 2018-10-01
001 2016-01-01 MARLA DASCOLI 2017-10-07
001 2015-01-01 MARLA DASCOLI 2017-10-07
001 2014-01-01 MARLA DASCOLI 2017-07-20
001 2013-01-01 SAM FISKE
001 2012-01-01 SAM FISKE
001 2011-01-01 SAM FISKE
001 2010-01-01 SAM FISKE
001 2009-01-01 SAM FISKE
001 2008-01-01

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01	MARLA DASCOLI	2019-08-09
001	2018-01-01	MARLA DASCOLI	2019-06-04
001	2017-01-01	MARLA DASCOLI	2018-10-01
001	2016-01-01	MARLA DASCOLI	2017-10-07
001	2015-01-01	MARLA DASCOLI	2017-10-07
001	2014-01-01	MARLA DASCOLI	2017-07-20
001	2013-01-01	SAM FISKE
001	2012-01-01	SAM FISKE
001	2011-01-01	SAM FISKE
001	2010-01-01	SAM FISKE
001	2009-01-01	SAM FISKE
001	2008-01-01

Plan Statistics for SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2013: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 17
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 6
Total of all active and inactive participants 2013-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 23
Number of participants with account balances 2013-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 18
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 5
Total of all active and inactive participants 2012-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 23
Number of participants with account balances 2012-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 29
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 21
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 7
Total of all active and inactive participants 2011-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 28
Number of participants with account balances 2011-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 22
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 7
Total of all active and inactive participants 2010-01-01 29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 29
Number of participants with account balances 2010-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 2
2009: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 22
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 28
Number of participants with account balances 2009-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	17
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	6
Total of all active and inactive participants	2013-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	23
Number of participants with account balances	2013-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	18
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	5
Total of all active and inactive participants	2012-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	23
Number of participants with account balances	2012-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	29
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	21
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	7
Total of all active and inactive participants	2011-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	28
Number of participants with account balances	2011-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	22
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	7
Total of all active and inactive participants	2010-01-01	29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	29
Number of participants with account balances	2010-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	2
2009: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	22
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	28
Number of participants with account balances	2009-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2013 : SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$128,547
Expenses. Total of all expenses incurred	2013-12-31	$65,120
Benefits paid (including direct rollovers)	2013-12-31	$65,120
Total plan assets at end of year	2013-12-31	$721,396
Total plan assets at beginning of year	2013-12-31	$657,969
Total contributions received or receivable from participants	2013-12-31	$22,056
Other income received	2013-12-31	$106,491
Net income (gross income less expenses)	2013-12-31	$63,427
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$721,396
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$657,969
Assets. Value of participant loans	2013-12-31	$72,707
2012 : SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$115,144
Expenses. Total of all expenses incurred	2012-12-31	$193,449
Benefits paid (including direct rollovers)	2012-12-31	$193,449
Total plan assets at end of year	2012-12-31	$657,969
Total plan assets at beginning of year	2012-12-31	$736,274
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$40,402
Other income received	2012-12-31	$74,742
Net income (gross income less expenses)	2012-12-31	$-78,305
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$657,969
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$736,274
Assets. Value of participant loans	2012-12-31	$65,188
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2012-12-31	$40,402
Total contributions received or receivable from employer(s)	2012-12-31	$0
2011 : SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$25,098
Expenses. Total of all expenses incurred	2011-12-31	$27,068
Benefits paid (including direct rollovers)	2011-12-31	$27,068
Total plan assets at end of year	2011-12-31	$736,274
Total plan assets at beginning of year	2011-12-31	$738,244
Total contributions received or receivable from participants	2011-12-31	$53,898
Other income received	2011-12-31	$-28,800
Net income (gross income less expenses)	2011-12-31	$-1,970
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$736,274
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$738,244
Assets. Value of participant loans	2011-12-31	$81,168
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2011-12-31	$46,435
Total contributions received or receivable from employer(s)	2011-12-31	$0
2010 : SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$127,860
Expenses. Total of all expenses incurred	2010-12-31	$61,220
Benefits paid (including direct rollovers)	2010-12-31	$61,220
Total plan assets at end of year	2010-12-31	$738,244
Total plan assets at beginning of year	2010-12-31	$671,604
Value of fidelity bond covering the plan	2010-12-31	$75,000
Total contributions received or receivable from participants	2010-12-31	$53,480
Other income received	2010-12-31	$74,380
Net income (gross income less expenses)	2010-12-31	$66,640
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$738,244
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$671,604
Assets. Value of participant loans	2010-12-31	$84,258
Total contributions received or receivable from employer(s)	2010-12-31	$0

Form 5500 Responses for SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN

2013: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2008: SMOKY MOUNTAIN SYSTEMS, INC. 401(K) PROFIT SHARING PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No

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

64088

Policy instance

Insurance contract or identification number	64088
Number of Individuals Covered	21
Total amount of commissions paid to insurance broker	USD $6,986
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,986
Insurance broker organization code?	3
Amount paid for insurance broker fees	0
Insurance broker name	FINANCIAL SERVICE ASSOCIATES, INC.

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

Policy contract number

64088

Policy instance

Insurance contract or identification number	64088
Number of Individuals Covered	26
Total amount of commissions paid to insurance broker	USD $7,467
Total amount of fees paid to insurance company	USD $30
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,467
Insurance broker organization code?	3
Amount paid for insurance broker fees	30
Insurance broker name	FINANCIAL SERVICE ASSOCIATES, INC.

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

Policy contract number

64088

Policy instance

Insurance contract or identification number	64088
Number of Individuals Covered	26
Total amount of commissions paid to insurance broker	USD $7,284
Total amount of fees paid to insurance company	USD $420
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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

Policy contract number

64088

Policy instance

Insurance contract or identification number	64088
Number of Individuals Covered	28
Total amount of commissions paid to insurance broker	USD $6,482
Total amount of fees paid to insurance company	USD $241
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,482
Insurance broker organization code?	3
Amount paid for insurance broker fees	241
Insurance broker name	FINANCIAL SERVICE ASSOCIATES, INC.

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Company Name:	SMOKY MOUNTAIN SYSTEMS, INC.
Employer identification number (EIN):	561604226
NAIC Classification:	811210
NAIC Description:	Electronic and Precision Equipment Repair and Maintenance