401k Plan data: 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. plan

401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 401k Plan overview

Plan Name	401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC.
Plan identification number	002

401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
U.S.-based plan that covers residents of Puerto Rico and is qualified under both Code section 401 and section 1165 of the Puerto Rico Code.

401k Sponsoring company profile

COOPER/T. SMITH STEVEDORING CO., INC. has sponsored the creation of one or more 401k plans.

Company Name: COOPER/T. SMITH STEVEDORING CO., INC.

Employer identification number (EIN): 720319560

NAIC Classification: 488300
NAIC Description: Support Activities for Water Transportation

Form 5500 Filing Information

Submission information for form 5500 for 401k plan 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC.

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2020-01-01
002 2019-01-01
002 2017-01-01 WENDELL LANDRY 2018-05-02
002 2016-01-01 WENDELL LANDRY 2017-04-17
002 2013-01-01 WENDELL LANDRY 2014-06-11
002 2012-01-01 WENDELL LANDRY 2013-07-02
002 2011-01-01 WENDELL LANDRY 2012-07-27
002 2010-01-01 WENDELL LANDRY 2011-07-22 WENDELL LANDRY 2011-07-22

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2020-01-01
002	2019-01-01
002	2017-01-01	WENDELL LANDRY	2018-05-02
002	2016-01-01	WENDELL LANDRY	2017-04-17
002	2013-01-01	WENDELL LANDRY	2014-06-11
002	2012-01-01	WENDELL LANDRY	2013-07-02
002	2011-01-01	WENDELL LANDRY	2012-07-27
002	2010-01-01	WENDELL LANDRY	2011-07-22	WENDELL LANDRY	2011-07-22

Plan Statistics for 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC.

401k plan membership statisitcs for 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC.

Measure Date Value
2020: 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2020 401k membership
Total participants, beginning-of-year 2020-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 104
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 13
Total of all active and inactive participants 2020-01-01 117
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 117
Number of participants with account balances 2020-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2019 401k membership
Total participants, beginning-of-year 2019-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 105
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 21
Total of all active and inactive participants 2019-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 126
Number of participants with account balances 2019-01-01 73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0

Measure	Date	Value
2020: 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2020 401k membership
Total participants, beginning-of-year	2020-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	104
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	13
Total of all active and inactive participants	2020-01-01	117
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	117
Number of participants with account balances	2020-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2019 401k membership
Total participants, beginning-of-year	2019-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	105
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	21
Total of all active and inactive participants	2019-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	126
Number of participants with account balances	2019-01-01	73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0

Financial Data on 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC.

Measure	Date	Value
2020 : 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$10,755
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$1,142
Total income from all sources (including contributions)	2020-12-31	$976,931
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$705,303
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$681,179
Value of total corrective distributions	2020-12-31	$11,080
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$261,480
Value of total assets at end of year	2020-12-31	$4,880,749
Value of total assets at beginning of year	2020-12-31	$4,599,508
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$13,044
Total interest from all sources	2020-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$602,200
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$602,200
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$261,474
Participant contributions at end of year	2020-12-31	$5,353
Participant contributions at beginning of year	2020-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$6
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$10,755
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$1,142
Administrative expenses (other) incurred	2020-12-31	$13,044
Total non interest bearing cash at end of year	2020-12-31	$4,837
Total non interest bearing cash at beginning of year	2020-12-31	$631,179
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$271,628
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$4,869,994
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$4,598,366
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$4,804,119
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$3,906,648
Value of interest in common/collective trusts at end of year	2020-12-31	$66,440
Value of interest in common/collective trusts at beginning of year	2020-12-31	$61,681
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$112,246
Net investment gain or loss from common/collective trusts	2020-12-31	$1,005
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$681,179
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	BLACK & PINCKARD LLC
Accountancy firm EIN	2020-12-31	260079381
2019 : 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$1,142
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$1,356,135
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$644,643
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$627,102
Value of total corrective distributions	2019-12-31	$8,754
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$438,479
Value of total assets at end of year	2019-12-31	$4,599,508
Value of total assets at beginning of year	2019-12-31	$3,886,874
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$8,787
Total interest from all sources	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$418,091
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$418,091
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$302,285
Participant contributions at beginning of year	2019-12-31	$5,818
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$136,194
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$1,142
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$8,787
Total non interest bearing cash at end of year	2019-12-31	$631,179
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$711,492
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$4,598,366
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$3,886,874
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$3,906,648
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$3,664,603
Value of interest in common/collective trusts at end of year	2019-12-31	$61,681
Value of interest in common/collective trusts at beginning of year	2019-12-31	$216,453
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$496,132
Net investment gain or loss from common/collective trusts	2019-12-31	$3,433
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$627,102
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	BLACK & PINCKARD LLC
Accountancy firm EIN	2019-12-31	260079381
2018 : 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$222,743
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$88,899
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$78,140
Value of total corrective distributions	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$382,385
Value of total assets at end of year	2018-12-31	$3,886,874
Value of total assets at beginning of year	2018-12-31	$3,753,030
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$10,759
Total interest from all sources	2018-12-31	$2
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$790,453
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$790,453
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$309,713
Participant contributions at end of year	2018-12-31	$5,818
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$72,672
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$10,759
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$133,844
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$3,886,874
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$3,753,030
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$3,664,603
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$3,677,345
Value of interest in common/collective trusts at end of year	2018-12-31	$216,453
Value of interest in common/collective trusts at beginning of year	2018-12-31	$75,685
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$2
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-952,703
Net investment gain or loss from common/collective trusts	2018-12-31	$2,606
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$78,140
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	BLACK & PINCKARD LLC
Accountancy firm EIN	2018-12-31	260079381

Form 5500 Responses for 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC.

2020: 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: 401(K) PLAN FOR OPERATING ENGINEERS LOCAL 406 - COOPER/ T. SMITH STEVEDORING CO, INC. 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	COOPER/T. SMITH STEVEDORING CO., INC.
Employer identification number (EIN):	720319560
NAIC Classification:	488300
NAIC Description:	Support Activities for Water Transportation