401k Plan data: M W & A RETIREMENT PLAN plan

M W & A RETIREMENT PLAN 401k Plan overview

Plan Name	M W & A RETIREMENT PLAN
Plan identification number	001

M W & A RETIREMENT 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
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.

401k Sponsoring company profile

MICHAEL WINSTON & ASSOCIATES INC has sponsored the creation of one or more 401k plans.

Company Name: MICHAEL WINSTON & ASSOCIATES INC

Employer identification number (EIN): 591225424

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan M W & A RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-10-01 MICHAEL WINSTON
001 2013-10-01 MICHAEL WINSTON
001 2012-10-01 MICHAEL WINSTON
001 2011-10-01 MICHAEL WINSTON
001 2010-10-01 MICHAEL WINSTON
001 2009-10-01 MICHAEL WINSTON
001 2008-10-01

Plan Statistics for M W & A RETIREMENT PLAN

401k plan membership statisitcs for M W & A RETIREMENT PLAN

Measure Date Value
2014: M W & A RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-10-01 2
Total number of active participants reported on line 7a of the Form 5500 2014-10-01 2
Number of retired or separated participants receiving benefits 2014-10-01 0
Number of other retired or separated participants entitled to future benefits 2014-10-01 0
Total of all active and inactive participants 2014-10-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-10-01 0
Total participants 2014-10-01 2
Number of participants with account balances 2014-10-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-10-01 0
2013: M W & A RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-10-01 4
Total number of active participants reported on line 7a of the Form 5500 2013-10-01 2
Number of retired or separated participants receiving benefits 2013-10-01 0
Number of other retired or separated participants entitled to future benefits 2013-10-01 0
Total of all active and inactive participants 2013-10-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-10-01 0
Total participants 2013-10-01 2
Number of participants with account balances 2013-10-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-10-01 0
2012: M W & A RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-10-01 4
Total number of active participants reported on line 7a of the Form 5500 2012-10-01 2
Number of retired or separated participants receiving benefits 2012-10-01 0
Number of other retired or separated participants entitled to future benefits 2012-10-01 2
Total of all active and inactive participants 2012-10-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-10-01 0
Total participants 2012-10-01 4
Number of participants with account balances 2012-10-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-10-01 0
2011: M W & A RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-10-01 4
Total number of active participants reported on line 7a of the Form 5500 2011-10-01 2
Number of retired or separated participants receiving benefits 2011-10-01 0
Number of other retired or separated participants entitled to future benefits 2011-10-01 2
Total of all active and inactive participants 2011-10-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-01 0
Total participants 2011-10-01 4
Number of participants with account balances 2011-10-01 4
2010: M W & A RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-10-01 5
Total number of active participants reported on line 7a of the Form 5500 2010-10-01 2
Number of retired or separated participants receiving benefits 2010-10-01 0
Number of other retired or separated participants entitled to future benefits 2010-10-01 2
Total of all active and inactive participants 2010-10-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-10-01 0
Total participants 2010-10-01 4
Number of participants with account balances 2010-10-01 4
2009: M W & A RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-10-01 5
Total number of active participants reported on line 7a of the Form 5500 2009-10-01 2
Number of other retired or separated participants entitled to future benefits 2009-10-01 3
Total of all active and inactive participants 2009-10-01 5
Total participants 2009-10-01 5
Number of participants with account balances 2009-10-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-10-01 0

Measure	Date	Value
2014: M W & A RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-10-01	2
Total number of active participants reported on line 7a of the Form 5500	2014-10-01	2
Number of retired or separated participants receiving benefits	2014-10-01	0
Number of other retired or separated participants entitled to future benefits	2014-10-01	0
Total of all active and inactive participants	2014-10-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-10-01	0
Total participants	2014-10-01	2
Number of participants with account balances	2014-10-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-10-01	0
2013: M W & A RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-10-01	4
Total number of active participants reported on line 7a of the Form 5500	2013-10-01	2
Number of retired or separated participants receiving benefits	2013-10-01	0
Number of other retired or separated participants entitled to future benefits	2013-10-01	0
Total of all active and inactive participants	2013-10-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-10-01	0
Total participants	2013-10-01	2
Number of participants with account balances	2013-10-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-10-01	0
2012: M W & A RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-10-01	4
Total number of active participants reported on line 7a of the Form 5500	2012-10-01	2
Number of retired or separated participants receiving benefits	2012-10-01	0
Number of other retired or separated participants entitled to future benefits	2012-10-01	2
Total of all active and inactive participants	2012-10-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-10-01	0
Total participants	2012-10-01	4
Number of participants with account balances	2012-10-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-10-01	0
2011: M W & A RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-10-01	4
Total number of active participants reported on line 7a of the Form 5500	2011-10-01	2
Number of retired or separated participants receiving benefits	2011-10-01	0
Number of other retired or separated participants entitled to future benefits	2011-10-01	2
Total of all active and inactive participants	2011-10-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-01	0
Total participants	2011-10-01	4
Number of participants with account balances	2011-10-01	4
2010: M W & A RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-10-01	5
Total number of active participants reported on line 7a of the Form 5500	2010-10-01	2
Number of retired or separated participants receiving benefits	2010-10-01	0
Number of other retired or separated participants entitled to future benefits	2010-10-01	2
Total of all active and inactive participants	2010-10-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-10-01	0
Total participants	2010-10-01	4
Number of participants with account balances	2010-10-01	4
2009: M W & A RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-10-01	5
Total number of active participants reported on line 7a of the Form 5500	2009-10-01	2
Number of other retired or separated participants entitled to future benefits	2009-10-01	3
Total of all active and inactive participants	2009-10-01	5
Total participants	2009-10-01	5
Number of participants with account balances	2009-10-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-10-01	0

Financial Data on M W & A RETIREMENT PLAN

Measure	Date	Value
2015 : M W & A RETIREMENT PLAN 2015 401k financial data
Total income from all sources	2015-09-30	$56,143
Expenses. Total of all expenses incurred	2015-09-30	$0
Total plan assets at end of year	2015-09-30	$103,869
Total plan assets at beginning of year	2015-09-30	$47,726
Total contributions received or receivable from participants	2015-09-30	$46,000
Other income received	2015-09-30	$-2,357
Net income (gross income less expenses)	2015-09-30	$56,143
Net plan assets at end of year (total assets less liabilities)	2015-09-30	$103,869
Net plan assets at beginning of year (total assets less liabilities)	2015-09-30	$47,726
Total contributions received or receivable from employer(s)	2015-09-30	$12,500
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-09-30	$0
2014 : M W & A RETIREMENT PLAN 2014 401k financial data
Total income from all sources	2014-09-30	$-10,757
Expenses. Total of all expenses incurred	2014-09-30	$43,524
Benefits paid (including direct rollovers)	2014-09-30	$43,524
Total plan assets at end of year	2014-09-30	$47,726
Total plan assets at beginning of year	2014-09-30	$102,007
Other income received	2014-09-30	$-10,757
Net income (gross income less expenses)	2014-09-30	$-54,281
Net plan assets at end of year (total assets less liabilities)	2014-09-30	$47,726
Net plan assets at beginning of year (total assets less liabilities)	2014-09-30	$102,007
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-09-30	$0
2013 : M W & A RETIREMENT PLAN 2013 401k financial data
Total income from all sources	2013-09-30	$39,192
Expenses. Total of all expenses incurred	2013-09-30	$89,674
Benefits paid (including direct rollovers)	2013-09-30	$89,674
Total plan assets at end of year	2013-09-30	$102,007
Total plan assets at beginning of year	2013-09-30	$152,489
Value of fidelity bond covering the plan	2013-09-30	$40,000
Other income received	2013-09-30	$39,192
Net income (gross income less expenses)	2013-09-30	$-50,482
Net plan assets at end of year (total assets less liabilities)	2013-09-30	$102,007
Net plan assets at beginning of year (total assets less liabilities)	2013-09-30	$152,489
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-09-30	$0
2012 : M W & A RETIREMENT PLAN 2012 401k financial data
Total income from all sources	2012-09-30	$-44,724
Expenses. Total of all expenses incurred	2012-09-30	$0
Total plan assets at end of year	2012-09-30	$152,489
Total plan assets at beginning of year	2012-09-30	$197,213
Value of fidelity bond covering the plan	2012-09-30	$40,000
Total contributions received or receivable from participants	2012-09-30	$44,000
Other income received	2012-09-30	$-103,724
Net income (gross income less expenses)	2012-09-30	$-44,724
Net plan assets at end of year (total assets less liabilities)	2012-09-30	$152,489
Net plan assets at beginning of year (total assets less liabilities)	2012-09-30	$197,213
Total contributions received or receivable from employer(s)	2012-09-30	$15,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-09-30	$0
2011 : M W & A RETIREMENT PLAN 2011 401k financial data
Total income from all sources	2011-09-30	$69,235
Expenses. Total of all expenses incurred	2011-09-30	$273,225
Benefits paid (including direct rollovers)	2011-09-30	$273,225
Total plan assets at end of year	2011-09-30	$197,213
Total plan assets at beginning of year	2011-09-30	$401,203
Value of fidelity bond covering the plan	2011-09-30	$40,000
Total contributions received or receivable from participants	2011-09-30	$44,000
Other income received	2011-09-30	$-4,765
Net income (gross income less expenses)	2011-09-30	$-203,990
Net plan assets at end of year (total assets less liabilities)	2011-09-30	$197,213
Net plan assets at beginning of year (total assets less liabilities)	2011-09-30	$401,203
Total contributions received or receivable from employer(s)	2011-09-30	$30,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-09-30	$0

Form 5500 Responses for M W & A RETIREMENT PLAN

2014: M W & A RETIREMENT PLAN 2014 form 5500 responses
2014-10-01	Type of plan entity	Single employer plan
2014-10-01	Submission has been amended	No
2014-10-01	This submission is the final filing	No
2014-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-10-01	Plan is a collectively bargained plan	No
2014-10-01	Plan funding arrangement – Trust	Yes
2014-10-01	Plan benefit arrangement – Insurance	Yes
2014-10-01	Plan benefit arrangement - Trust	Yes
2013: M W & A RETIREMENT PLAN 2013 form 5500 responses
2013-10-01	Type of plan entity	Single employer plan
2013-10-01	Submission has been amended	No
2013-10-01	This submission is the final filing	No
2013-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-10-01	Plan is a collectively bargained plan	No
2013-10-01	Plan funding arrangement – Trust	Yes
2013-10-01	Plan benefit arrangement – Insurance	Yes
2013-10-01	Plan benefit arrangement - Trust	Yes
2012: M W & A RETIREMENT PLAN 2012 form 5500 responses
2012-10-01	Type of plan entity	Single employer plan
2012-10-01	Submission has been amended	No
2012-10-01	This submission is the final filing	No
2012-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-10-01	Plan is a collectively bargained plan	No
2012-10-01	Plan funding arrangement – Trust	Yes
2012-10-01	Plan benefit arrangement – Insurance	Yes
2012-10-01	Plan benefit arrangement - Trust	Yes
2011: M W & A RETIREMENT PLAN 2011 form 5500 responses
2011-10-01	Type of plan entity	Single employer plan
2011-10-01	Submission has been amended	No
2011-10-01	This submission is the final filing	No
2011-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-10-01	Plan is a collectively bargained plan	No
2011-10-01	Plan funding arrangement – Trust	Yes
2011-10-01	Plan benefit arrangement – Insurance	Yes
2011-10-01	Plan benefit arrangement - Trust	Yes
2010: M W & A RETIREMENT PLAN 2010 form 5500 responses
2010-10-01	Type of plan entity	Single employer plan
2010-10-01	Submission has been amended	No
2010-10-01	This submission is the final filing	No
2010-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-10-01	Plan is a collectively bargained plan	No
2010-10-01	Plan funding arrangement – Trust	Yes
2010-10-01	Plan benefit arrangement – Insurance	Yes
2010-10-01	Plan benefit arrangement - Trust	Yes
2009: M W & A RETIREMENT PLAN 2009 form 5500 responses
2009-10-01	Type of plan entity	Single employer plan
2009-10-01	Submission has been amended	No
2009-10-01	This submission is the final filing	No
2009-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-10-01	Plan is a collectively bargained plan	No
2009-10-01	Plan funding arrangement – Trust	Yes
2009-10-01	Plan benefit arrangement – Insurance	Yes
2009-10-01	Plan benefit arrangement - Trust	Yes
2008: M W & A RETIREMENT PLAN 2008 form 5500 responses
2008-10-01	Type of plan entity	Single employer plan
2008-10-01	Submission has been amended	No
2008-10-01	This submission is the final filing	No
2008-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-10-01	Plan is a collectively bargained plan	No

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016078796
Policy instance	1
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079305
Policy instance	3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079311
Policy instance	2
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079311
Policy instance	2
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016078796
Policy instance	1
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079305
Policy instance	3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016078796
Policy instance	1
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079305
Policy instance	3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079311
Policy instance	2
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016078796
Policy instance	1
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079311
Policy instance	2
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079305
Policy instance	3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016078796
Policy instance	1
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079311
Policy instance	2
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number	016079305
Policy instance	3

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Company Name:	MICHAEL WINSTON & ASSOCIATES INC
Employer identification number (EIN):	591225424
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages

Plan id#	Filing Submission Date	Name of Administrator
001	2014-10-01	MICHAEL WINSTON
001	2013-10-01	MICHAEL WINSTON
001	2012-10-01	MICHAEL WINSTON
001	2011-10-01	MICHAEL WINSTON
001	2010-10-01	MICHAEL WINSTON
001	2009-10-01	MICHAEL WINSTON
001	2008-10-01