401k Plan data: ALLEN & GRAHAM ESOP TRUST plan

ALLEN & GRAHAM ESOP TRUST 401k Plan overview

Plan Name	ALLEN & GRAHAM ESOP TRUST
Plan identification number	003

ALLEN & GRAHAM ESOP TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
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

401k Sponsoring company profile

ALLEN & GRAHAM INC. has sponsored the creation of one or more 401k plans.

Company Name: ALLEN & GRAHAM INC.

Employer identification number (EIN): 581658662

NAIC Classification: 237990
NAIC Description: Other Heavy and Civil Engineering Construction

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALLEN & GRAHAM ESOP TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2020-01-01
003 2019-01-01
003 2017-01-01 W. JAMES BARRS, JR.
003 2016-01-01 W. JAMES BARRS, JR., CPA
003 2015-01-01 W. JAMES BARRS, JR., CPA
003 2014-01-01 W. JAMES BARRS, JR., CPA
003 2013-01-01 W. JAMES BARRS, JR., CPA
003 2012-01-01 W. JAMES BARRS, JR., CPA
003 2011-01-01 W JAMES BARRS JR CPA
003 2010-01-01 W JAMES BARRS JR CPA
003 2009-01-01 W JAMES BARRS JR CPA

Plan Statistics for ALLEN & GRAHAM ESOP TRUST

401k plan membership statisitcs for ALLEN & GRAHAM ESOP TRUST

Measure Date Value
2020: ALLEN & GRAHAM ESOP TRUST 2020 401k membership
Total participants, beginning-of-year 2020-01-01 9
Total of all active and inactive participants 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
2019: ALLEN & GRAHAM ESOP TRUST 2019 401k membership
Total participants, beginning-of-year 2019-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 9
Total of all active and inactive participants 2019-01-01 9
Total participants 2019-01-01 9
Number of participants with account balances 2019-01-01 9
2017: ALLEN & GRAHAM ESOP TRUST 2017 401k membership
Total participants, beginning-of-year 2017-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 10
Total of all active and inactive participants 2017-01-01 10
Total participants 2017-01-01 10
Number of participants with account balances 2017-01-01 10
2016: ALLEN & GRAHAM ESOP TRUST 2016 401k membership
Total participants, beginning-of-year 2016-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 8
Total of all active and inactive participants 2016-01-01 8
Total participants 2016-01-01 8
Number of participants with account balances 2016-01-01 11
2015: ALLEN & GRAHAM ESOP TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 8
Total of all active and inactive participants 2015-01-01 8
Total participants 2015-01-01 8
Number of participants with account balances 2015-01-01 12
2014: ALLEN & GRAHAM ESOP TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 8
Total of all active and inactive participants 2014-01-01 8
Total participants 2014-01-01 8
Number of participants with account balances 2014-01-01 12
2013: ALLEN & GRAHAM ESOP TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 8
Number of other retired or separated participants entitled to future benefits 2013-01-01 4
Total of all active and inactive participants 2013-01-01 12
Total participants 2013-01-01 12
Number of participants with account balances 2013-01-01 13
2012: ALLEN & GRAHAM ESOP TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 9
Number of other retired or separated participants entitled to future benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 12
Total participants 2012-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: ALLEN & GRAHAM ESOP TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 12
Number of other retired or separated participants entitled to future benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 13
Total participants 2011-01-01 13
Number of participants with account balances 2011-01-01 15
2010: ALLEN & GRAHAM ESOP TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 10
Total of all active and inactive participants 2010-01-01 10
Total participants 2010-01-01 10
Number of participants with account balances 2010-01-01 14
2009: ALLEN & GRAHAM ESOP TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 13
Total of all active and inactive participants 2009-01-01 13
Total participants 2009-01-01 13
Number of participants with account balances 2009-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2020: ALLEN & GRAHAM ESOP TRUST 2020 401k membership
Total participants, beginning-of-year	2020-01-01	9
Total of all active and inactive participants	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
2019: ALLEN & GRAHAM ESOP TRUST 2019 401k membership
Total participants, beginning-of-year	2019-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	9
Total of all active and inactive participants	2019-01-01	9
Total participants	2019-01-01	9
Number of participants with account balances	2019-01-01	9
2017: ALLEN & GRAHAM ESOP TRUST 2017 401k membership
Total participants, beginning-of-year	2017-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	10
Total of all active and inactive participants	2017-01-01	10
Total participants	2017-01-01	10
Number of participants with account balances	2017-01-01	10
2016: ALLEN & GRAHAM ESOP TRUST 2016 401k membership
Total participants, beginning-of-year	2016-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	8
Total of all active and inactive participants	2016-01-01	8
Total participants	2016-01-01	8
Number of participants with account balances	2016-01-01	11
2015: ALLEN & GRAHAM ESOP TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	8
Total of all active and inactive participants	2015-01-01	8
Total participants	2015-01-01	8
Number of participants with account balances	2015-01-01	12
2014: ALLEN & GRAHAM ESOP TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	8
Total of all active and inactive participants	2014-01-01	8
Total participants	2014-01-01	8
Number of participants with account balances	2014-01-01	12
2013: ALLEN & GRAHAM ESOP TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	8
Number of other retired or separated participants entitled to future benefits	2013-01-01	4
Total of all active and inactive participants	2013-01-01	12
Total participants	2013-01-01	12
Number of participants with account balances	2013-01-01	13
2012: ALLEN & GRAHAM ESOP TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	9
Number of other retired or separated participants entitled to future benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	12
Total participants	2012-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: ALLEN & GRAHAM ESOP TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	12
Number of other retired or separated participants entitled to future benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	13
Total participants	2011-01-01	13
Number of participants with account balances	2011-01-01	15
2010: ALLEN & GRAHAM ESOP TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	10
Total of all active and inactive participants	2010-01-01	10
Total participants	2010-01-01	10
Number of participants with account balances	2010-01-01	14
2009: ALLEN & GRAHAM ESOP TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	13
Total of all active and inactive participants	2009-01-01	13
Total participants	2009-01-01	13
Number of participants with account balances	2009-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on ALLEN & GRAHAM ESOP TRUST

Measure	Date	Value
2020 : ALLEN & GRAHAM ESOP TRUST 2020 401k financial data
Expenses. Total of all expenses incurred	2020-12-31	$1,237,538
Benefits paid (including direct rollovers)	2020-12-31	$1,237,538
Total plan assets at end of year	2020-12-31	$0
Total plan assets at beginning of year	2020-12-31	$1,237,538
Value of fidelity bond covering the plan	2020-12-31	$150,000
Net income (gross income less expenses)	2020-12-31	$-1,237,538
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$1,237,538
Assets. Value of employer securities	2020-12-31	$0
2019 : ALLEN & GRAHAM ESOP TRUST 2019 401k financial data
Total income from all sources	2019-12-31	$79,861
Expenses. Total of all expenses incurred	2019-12-31	$172,682
Benefits paid (including direct rollovers)	2019-12-31	$172,682
Total plan assets at end of year	2019-12-31	$1,237,538
Total plan assets at beginning of year	2019-12-31	$1,330,359
Value of fidelity bond covering the plan	2019-12-31	$150,000
Other income received	2019-12-31	$79,861
Net income (gross income less expenses)	2019-12-31	$-92,821
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$1,237,538
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$1,330,359
Assets. Value of employer securities	2019-12-31	$1,237,538
2018 : ALLEN & GRAHAM ESOP TRUST 2018 401k financial data
Total income from all sources	2018-12-31	$364,263
Total plan assets at end of year	2018-12-31	$1,330,359
Total plan assets at beginning of year	2018-12-31	$966,096
Value of fidelity bond covering the plan	2018-12-31	$150,000
Other income received	2018-12-31	$364,263
Net income (gross income less expenses)	2018-12-31	$364,263
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$1,330,359
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$966,096
Assets. Value of employer securities	2018-12-31	$1,330,359
2017 : ALLEN & GRAHAM ESOP TRUST 2017 401k financial data
Total income from all sources	2017-12-31	$130,419
Expenses. Total of all expenses incurred	2017-12-31	$72,357
Benefits paid (including direct rollovers)	2017-12-31	$72,357
Total plan assets at end of year	2017-12-31	$966,096
Total plan assets at beginning of year	2017-12-31	$908,034
Value of fidelity bond covering the plan	2017-12-31	$150,000
Other income received	2017-12-31	$130,419
Net income (gross income less expenses)	2017-12-31	$58,062
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$966,096
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$908,034
Assets. Value of employer securities	2017-12-31	$966,096
2016 : ALLEN & GRAHAM ESOP TRUST 2016 401k financial data
Total plan liabilities at beginning of year	2016-12-31	$274,487
Total income from all sources	2016-12-31	$241,337
Total plan assets at end of year	2016-12-31	$908,034
Total plan assets at beginning of year	2016-12-31	$941,184
Value of fidelity bond covering the plan	2016-12-31	$150,000
Other income received	2016-12-31	$145,421
Net income (gross income less expenses)	2016-12-31	$241,337
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$908,034
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$666,697
Assets. Value of employer securities	2016-12-31	$908,034
Total contributions received or receivable from employer(s)	2016-12-31	$95,916
2015 : ALLEN & GRAHAM ESOP TRUST 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$274,487
Total plan liabilities at beginning of year	2015-12-31	$531,016
Total income from all sources	2015-12-31	$382,089
Expenses. Total of all expenses incurred	2015-12-31	$17,957
Total plan assets at end of year	2015-12-31	$941,184
Total plan assets at beginning of year	2015-12-31	$833,581
Value of fidelity bond covering the plan	2015-12-31	$150,000
Expenses. Other expenses not covered elsewhere	2015-12-31	$17,957
Other income received	2015-12-31	$107,602
Net income (gross income less expenses)	2015-12-31	$364,132
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$666,697
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$302,565
Assets. Value of employer securities	2015-12-31	$762,613
Total contributions received or receivable from employer(s)	2015-12-31	$274,487
2014 : ALLEN & GRAHAM ESOP TRUST 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$531,016
Total plan liabilities at beginning of year	2014-12-31	$770,763
Total income from all sources	2014-12-31	$479,569
Expenses. Total of all expenses incurred	2014-12-31	$110,345
Benefits paid (including direct rollovers)	2014-12-31	$75,606
Total plan assets at end of year	2014-12-31	$833,581
Total plan assets at beginning of year	2014-12-31	$704,104
Value of fidelity bond covering the plan	2014-12-31	$150,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$34,739
Other income received	2014-12-31	$205,082
Net income (gross income less expenses)	2014-12-31	$369,224
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$302,565
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$-66,659
Assets. Value of employer securities	2014-12-31	$665,048
Total contributions received or receivable from employer(s)	2014-12-31	$274,487
2013 : ALLEN & GRAHAM ESOP TRUST 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$770,763
Total plan liabilities at beginning of year	2013-12-31	$994,826
Total income from all sources	2013-12-31	$151,651
Expenses. Total of all expenses incurred	2013-12-31	$50,423
Total plan assets at end of year	2013-12-31	$704,104
Total plan assets at beginning of year	2013-12-31	$826,939
Value of fidelity bond covering the plan	2013-12-31	$150,000
Expenses. Other expenses not covered elsewhere	2013-12-31	$50,423
Other income received	2013-12-31	$-122,836
Net income (gross income less expenses)	2013-12-31	$101,228
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$-66,659
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$-167,887
Assets. Value of employer securities	2013-12-31	$531,631
Total contributions received or receivable from employer(s)	2013-12-31	$274,487
2012 : ALLEN & GRAHAM ESOP TRUST 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$994,826
Total plan liabilities at beginning of year	2012-12-31	$1,204,230
Total income from all sources	2012-12-31	$322,633
Expenses. Total of all expenses incurred	2012-12-31	$65,082
Total plan assets at end of year	2012-12-31	$826,939
Total plan assets at beginning of year	2012-12-31	$778,792
Value of fidelity bond covering the plan	2012-12-31	$150,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$65,082
Other income received	2012-12-31	$48,146
Net income (gross income less expenses)	2012-12-31	$257,551
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$-167,887
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$-425,438
Assets. Value of employer securities	2012-12-31	$645,372
Total contributions received or receivable from employer(s)	2012-12-31	$274,487
2011 : ALLEN & GRAHAM ESOP TRUST 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$1,204,230
Total plan liabilities at beginning of year	2011-12-31	$1,399,936
Total income from all sources	2011-12-31	$611,140
Expenses. Total of all expenses incurred	2011-12-31	$78,781
Total plan assets at end of year	2011-12-31	$778,792
Total plan assets at beginning of year	2011-12-31	$442,139
Value of fidelity bond covering the plan	2011-12-31	$150,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$78,781
Other income received	2011-12-31	$336,653
Net income (gross income less expenses)	2011-12-31	$532,359
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$-425,438
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$-957,797
Assets. Value of employer securities	2011-12-31	$567,985
Total contributions received or receivable from employer(s)	2011-12-31	$274,487
2010 : ALLEN & GRAHAM ESOP TRUST 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$1,399,936
Total plan liabilities at beginning of year	2010-12-31	$1,582,838
Total income from all sources	2010-12-31	$311,041
Expenses. Total of all expenses incurred	2010-12-31	$91,585
Total plan assets at end of year	2010-12-31	$442,139
Total plan assets at beginning of year	2010-12-31	$405,585
Value of fidelity bond covering the plan	2010-12-31	$150,000
Expenses. Other expenses not covered elsewhere	2010-12-31	$91,585
Other income received	2010-12-31	$36,554
Net income (gross income less expenses)	2010-12-31	$219,456
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$-957,797
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$-1,177,253
Assets. Value of employer securities	2010-12-31	$383,696
Total contributions received or receivable from employer(s)	2010-12-31	$274,487

Form 5500 Responses for ALLEN & GRAHAM ESOP TRUST

2020: ALLEN & GRAHAM ESOP TRUST 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: ALLEN & GRAHAM ESOP TRUST 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2017: ALLEN & GRAHAM ESOP TRUST 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ALLEN & GRAHAM ESOP TRUST 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ALLEN & GRAHAM ESOP TRUST 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ALLEN & GRAHAM ESOP TRUST 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ALLEN & GRAHAM ESOP TRUST 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ALLEN & GRAHAM ESOP TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ALLEN & GRAHAM ESOP TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ALLEN & GRAHAM ESOP TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ALLEN & GRAHAM ESOP TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ALLEN & GRAHAM INC.
Employer identification number (EIN):	581658662
NAIC Classification:	237990
NAIC Description:	Other Heavy and Civil Engineering Construction