SHAPIRO & SWERTFEGER, LLP has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan SHAPIRO & SWERTFEGER 401(K) PROFIT SHARING PLAN
| Measure | Date | Value |
|---|
| 2012 : SHAPIRO & SWERTFEGER 401(K) PROFIT SHARING PLAN 2012 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2012-09-30 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2012-09-30 | $0 |
| Total unrealized appreciation/depreciation of assets | 2012-09-30 | $0 |
| Total transfer of assets to this plan | 2012-09-30 | $0 |
| Total transfer of assets from this plan | 2012-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-09-30 | $0 |
| Expenses. Interest paid | 2012-09-30 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2012-09-30 | $0 |
| Total income from all sources (including contributions) | 2012-09-30 | $413,166 |
| Total loss/gain on sale of assets | 2012-09-30 | $0 |
| Total of all expenses incurred | 2012-09-30 | $122,009 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-09-30 | $119,268 |
| Value of total corrective distributions | 2012-09-30 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-09-30 | $246,272 |
| Value of total assets at end of year | 2012-09-30 | $1,329,160 |
| Value of total assets at beginning of year | 2012-09-30 | $1,038,003 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-09-30 | $2,741 |
| Total income from rents | 2012-09-30 | $0 |
| Total interest from all sources | 2012-09-30 | $26,874 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-09-30 | $898 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-09-30 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2012-09-30 | $898 |
| Administrative expenses professional fees incurred | 2012-09-30 | $0 |
| Was this plan covered by a fidelity bond | 2012-09-30 | No |
| Value of fidelity bond cover | 2012-09-30 | $0 |
| If this is an individual account plan, was there a blackout period | 2012-09-30 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2012-09-30 | No |
| Amount of non-exempt transactions with any party-in-interest | 2012-09-30 | $0 |
| Contributions received from participants | 2012-09-30 | $204,091 |
| Participant contributions at end of year | 2012-09-30 | $6,487 |
| Participant contributions at beginning of year | 2012-09-30 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2012-09-30 | $0 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2012-09-30 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-09-30 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-09-30 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2012-09-30 | $0 |
| Other income not declared elsewhere | 2012-09-30 | $0 |
| Administrative expenses (other) incurred | 2012-09-30 | $4 |
| Liabilities. Value of operating payables at beginning of year | 2012-09-30 | $0 |
| Total non interest bearing cash at end of year | 2012-09-30 | $0 |
| Total non interest bearing cash at beginning of year | 2012-09-30 | $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 | 2012-09-30 | No |
| Income. Non cash contributions | 2012-09-30 | $0 |
| Value of net income/loss | 2012-09-30 | $291,157 |
| Value of net assets at end of year (total assets less liabilities) | 2012-09-30 | $1,329,160 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-09-30 | $1,038,003 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-09-30 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2012-09-30 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2012-09-30 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2012-09-30 | $0 |
| Investment advisory and management fees | 2012-09-30 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-09-30 | $250,319 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-09-30 | $0 |
| Value of interest in pooled separate accounts at end of year | 2012-09-30 | $933,754 |
| Value of interest in pooled separate accounts at beginning of year | 2012-09-30 | $677,544 |
| Income. Interest from loans (other than to participants) | 2012-09-30 | $0 |
| Interest earned on other investments | 2012-09-30 | $26,874 |
| Income. Interest from US Government securities | 2012-09-30 | $0 |
| Income. Interest from corporate debt instruments | 2012-09-30 | $0 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2012-09-30 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2012-09-30 | $135,844 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2012-09-30 | $360,459 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2012-09-30 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-09-30 | $11,826 |
| Net investment gain/loss from pooled separate accounts | 2012-09-30 | $127,296 |
| Net investment gain or loss from common/collective trusts | 2012-09-30 | $0 |
| Net gain/loss from 103.12 investment entities | 2012-09-30 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-09-30 | Yes |
| Has the plan failed to provide any benefit when due under the plan | 2012-09-30 | No |
| Contributions received in cash from employer | 2012-09-30 | $42,181 |
| Employer contributions (assets) at end of year | 2012-09-30 | $2,756 |
| Employer contributions (assets) at beginning of year | 2012-09-30 | $0 |
| Income. Dividends from preferred stock | 2012-09-30 | $0 |
| Income. Dividends from common stock | 2012-09-30 | $0 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-09-30 | $119,268 |
| Contract administrator fees | 2012-09-30 | $2,737 |
| Liabilities. Value of benefit claims payable at beginning of year | 2012-09-30 | $0 |
| Did the plan have assets held for investment | 2012-09-30 | 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 | 2012-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-09-30 | No |
| Aggregate proceeds on sale of assets | 2012-09-30 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2012-09-30 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2012-09-30 | $0 |
| 2011 : SHAPIRO & SWERTFEGER 401(K) PROFIT SHARING PLAN 2011 401k financial data |
|---|
| Total income from all sources | 2011-09-30 | $335,874 |
| Expenses. Total of all expenses incurred | 2011-09-30 | $120,266 |
| Benefits paid (including direct rollovers) | 2011-09-30 | $118,681 |
| Total plan assets at end of year | 2011-09-30 | $1,038,003 |
| Total plan assets at beginning of year | 2011-09-30 | $822,395 |
| Total contributions received or receivable from participants | 2011-09-30 | $209,567 |
| Expenses. Other expenses not covered elsewhere | 2011-09-30 | $1,585 |
| Contributions received from other sources (not participants or employers) | 2011-09-30 | $136,005 |
| Other income received | 2011-09-30 | $-44,336 |
| Net income (gross income less expenses) | 2011-09-30 | $215,608 |
| Net plan assets at end of year (total assets less liabilities) | 2011-09-30 | $1,038,003 |
| Net plan assets at beginning of year (total assets less liabilities) | 2011-09-30 | $822,395 |
| Total contributions received or receivable from employer(s) | 2011-09-30 | $34,638 |
| Funding deficiency by the employer to the plan for this plan year | 2011-09-30 | $0 |
| Minimum employer required contribution for this plan year | 2011-09-30 | $0 |
| Amount contributed by the employer to the plan for this plan year | 2011-09-30 | $0 |
| 2010 : SHAPIRO & SWERTFEGER 401(K) PROFIT SHARING PLAN 2010 401k financial data |
|---|
| Transfers to/from the plan | 2010-09-30 | $0 |
| Total income from all sources | 2010-09-30 | $217,594 |
| Expenses. Total of all expenses incurred | 2010-09-30 | $32,980 |
| Benefits paid (including direct rollovers) | 2010-09-30 | $31,660 |
| Total plan assets at end of year | 2010-09-30 | $822,395 |
| Total plan assets at beginning of year | 2010-09-30 | $637,781 |
| Total contributions received or receivable from participants | 2010-09-30 | $119,973 |
| Expenses. Other expenses not covered elsewhere | 2010-09-30 | $1,320 |
| Contributions received from other sources (not participants or employers) | 2010-09-30 | $13,336 |
| Other income received | 2010-09-30 | $46,008 |
| Net income (gross income less expenses) | 2010-09-30 | $184,614 |
| Net plan assets at end of year (total assets less liabilities) | 2010-09-30 | $822,395 |
| Net plan assets at beginning of year (total assets less liabilities) | 2010-09-30 | $637,781 |
| Assets. Value of participant loans | 2010-09-30 | $0 |
| Total contributions received or receivable from employer(s) | 2010-09-30 | $38,277 |
| Value of certain deemed distributions of participant loans | 2010-09-30 | $0 |
| Value of corrective distributions | 2010-09-30 | $0 |
| Funding deficiency by the employer to the plan for this plan year | 2010-09-30 | $0 |
| Minimum employer required contribution for this plan year | 2010-09-30 | $0 |
| Amount contributed by the employer to the plan for this plan year | 2010-09-30 | $0 |
