401k Plan data: LIGHTHOUSE 401(K) PLAN plan

LIGHTHOUSE 401(K) PLAN 401k Plan overview

Plan Name	LIGHTHOUSE 401(K) PLAN
Plan identification number	001

LIGHTHOUSE 401(K) 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

LIGHTHOUSE CAPITAL PARTNERS, INC. has sponsored the creation of one or more 401k plans.

Company Name: LIGHTHOUSE CAPITAL PARTNERS, INC.

Employer identification number (EIN): 680343452

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LIGHTHOUSE 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 MICHAEL ULYATT
001 2012-01-01 MIKE ULYATT MIKE ULYATT 2013-06-17
001 2011-01-01 MIKE ULYATT
001 2010-01-01 MIKE ULYATT
001 2009-01-01 MIKE ULYATT

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2013-01-01	MICHAEL ULYATT
001	2012-01-01	MIKE ULYATT	MIKE ULYATT	2013-06-17
001	2011-01-01	MIKE ULYATT
001	2010-01-01	MIKE ULYATT
001	2009-01-01	MIKE ULYATT

Plan Statistics for LIGHTHOUSE 401(K) PLAN

401k plan membership statisitcs for LIGHTHOUSE 401(K) PLAN

Measure Date Value
2013: LIGHTHOUSE 401(K) PLAN 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 4
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 10
Total of all active and inactive participants 2013-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 14
Number of participants with account balances 2013-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: LIGHTHOUSE 401(K) PLAN 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 5
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 8
Total of all active and inactive participants 2012-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 13
Number of participants with account balances 2012-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: LIGHTHOUSE 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 8
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 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 15
Number of participants with account balances 2011-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: LIGHTHOUSE 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 9
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 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 16
Number of participants with account balances 2010-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: LIGHTHOUSE 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 12
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 8
Total of all active and inactive participants 2009-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 20
Number of participants with account balances 2009-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: LIGHTHOUSE 401(K) PLAN 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	4
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	10
Total of all active and inactive participants	2013-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	14
Number of participants with account balances	2013-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: LIGHTHOUSE 401(K) PLAN 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	5
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	8
Total of all active and inactive participants	2012-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	13
Number of participants with account balances	2012-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: LIGHTHOUSE 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	8
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	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	15
Number of participants with account balances	2011-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: LIGHTHOUSE 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	9
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	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	16
Number of participants with account balances	2010-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: LIGHTHOUSE 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	12
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	8
Total of all active and inactive participants	2009-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	20
Number of participants with account balances	2009-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on LIGHTHOUSE 401(K) PLAN

Measure	Date	Value
2013 : LIGHTHOUSE 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$887,506
Expenses. Total of all expenses incurred	2013-12-31	$446,714
Benefits paid (including direct rollovers)	2013-12-31	$446,714
Total plan assets at end of year	2013-12-31	$4,548,071
Total plan assets at beginning of year	2013-12-31	$4,107,279
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$69,442
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$689,454
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$440,792
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$4,548,071
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$4,107,279
Total contributions received or receivable from employer(s)	2013-12-31	$128,610
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
2012 : LIGHTHOUSE 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$712,504
Expenses. Total of all expenses incurred	2012-12-31	$117,315
Benefits paid (including direct rollovers)	2012-12-31	$110,534
Total plan assets at end of year	2012-12-31	$4,107,279
Total plan assets at beginning of year	2012-12-31	$3,512,090
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$95,469
Other income received	2012-12-31	$491,873
Net income (gross income less expenses)	2012-12-31	$595,189
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$4,107,279
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$3,512,090
Total contributions received or receivable from employer(s)	2012-12-31	$125,162
Value of corrective distributions	2012-12-31	$6,781
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : LIGHTHOUSE 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$125,221
Expenses. Total of all expenses incurred	2011-12-31	$216,325
Benefits paid (including direct rollovers)	2011-12-31	$216,325
Total plan assets at end of year	2011-12-31	$3,512,090
Total plan assets at beginning of year	2011-12-31	$3,603,194
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$93,544
Other income received	2011-12-31	$-129,436
Net income (gross income less expenses)	2011-12-31	$-91,104
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,512,090
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,603,194
Total contributions received or receivable from employer(s)	2011-12-31	$161,113
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : LIGHTHOUSE 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$774,511
Expenses. Total of all expenses incurred	2010-12-31	$482,147
Benefits paid (including direct rollovers)	2010-12-31	$482,083
Total plan assets at end of year	2010-12-31	$3,603,194
Total plan assets at beginning of year	2010-12-31	$3,310,830
Value of fidelity bond covering the plan	2010-12-31	$250,000
Total contributions received or receivable from participants	2010-12-31	$105,100
Other income received	2010-12-31	$458,570
Net income (gross income less expenses)	2010-12-31	$292,364
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,603,194
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,310,830
Assets. Value of participant loans	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$210,841
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$64
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : LIGHTHOUSE 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for LIGHTHOUSE 401(K) PLAN

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

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Company Name:	LIGHTHOUSE CAPITAL PARTNERS, INC.
Employer identification number (EIN):	680343452
NAIC Classification:	523900