401k Plan data: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN plan

HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN
Plan identification number	001

HOLT AND PATTERSON LLC RETIREMENT SAVINGS 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
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.

401k Sponsoring company profile

HOLT AND PATTERSON LLC has sponsored the creation of one or more 401k plans.

Company Name: HOLT AND PATTERSON LLC

Employer identification number (EIN): 841684254

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 MICHAEL PATTERSON 2018-08-17
001 2016-01-01 MICHAEL PATTERSON 2017-10-12
001 2015-06-01 MICHAEL PATTERSON 2016-10-13
001 2014-06-01
001 2013-06-01
001 2012-06-01 TAMARA SCHOCH
001 2011-06-01 TAMARA SCHOCH
001 2010-06-01 TAMARA SCHOCH 2012-03-15
001 2009-06-01 MICHAEL PATTERSON

Plan Statistics for HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN

Measure Date Value
2012: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-06-01 13
Total number of active participants reported on line 7a of the Form 5500 2012-06-01 12
Number of retired or separated participants receiving benefits 2012-06-01 0
Number of other retired or separated participants entitled to future benefits 2012-06-01 3
Total of all active and inactive participants 2012-06-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-06-01 0
Total participants 2012-06-01 15
Number of participants with account balances 2012-06-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-06-01 0
2011: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-06-01 11
Total number of active participants reported on line 7a of the Form 5500 2011-06-01 11
Number of retired or separated participants receiving benefits 2011-06-01 0
Number of other retired or separated participants entitled to future benefits 2011-06-01 0
Total of all active and inactive participants 2011-06-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-06-01 0
Total participants 2011-06-01 11
Number of participants with account balances 2011-06-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-06-01 0
2009: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-06-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-06-01 11
Number of retired or separated participants receiving benefits 2009-06-01 0
Number of other retired or separated participants entitled to future benefits 2009-06-01 2
Total of all active and inactive participants 2009-06-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-06-01 0
Total participants 2009-06-01 13
Number of participants with account balances 2009-06-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-06-01 0

Measure	Date	Value
2012: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-06-01	13
Total number of active participants reported on line 7a of the Form 5500	2012-06-01	12
Number of retired or separated participants receiving benefits	2012-06-01	0
Number of other retired or separated participants entitled to future benefits	2012-06-01	3
Total of all active and inactive participants	2012-06-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-06-01	0
Total participants	2012-06-01	15
Number of participants with account balances	2012-06-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-06-01	0
2011: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-06-01	11
Total number of active participants reported on line 7a of the Form 5500	2011-06-01	11
Number of retired or separated participants receiving benefits	2011-06-01	0
Number of other retired or separated participants entitled to future benefits	2011-06-01	0
Total of all active and inactive participants	2011-06-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-06-01	0
Total participants	2011-06-01	11
Number of participants with account balances	2011-06-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-06-01	0
2009: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-06-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-06-01	11
Number of retired or separated participants receiving benefits	2009-06-01	0
Number of other retired or separated participants entitled to future benefits	2009-06-01	2
Total of all active and inactive participants	2009-06-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-06-01	0
Total participants	2009-06-01	13
Number of participants with account balances	2009-06-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-06-01	0

Financial Data on HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN

Measure	Date	Value
2013 : HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2013 401k financial data
Transfers to/from the plan	2013-05-31	$0
Total plan liabilities at end of year	2013-05-31	$0
Total plan liabilities at beginning of year	2013-05-31	$0
Total income from all sources	2013-05-31	$203,510
Expenses. Total of all expenses incurred	2013-05-31	$57,541
Benefits paid (including direct rollovers)	2013-05-31	$49,082
Total plan assets at end of year	2013-05-31	$915,213
Total plan assets at beginning of year	2013-05-31	$769,244
Value of fidelity bond covering the plan	2013-05-31	$50,000
Total contributions received or receivable from participants	2013-05-31	$61,292
Expenses. Other expenses not covered elsewhere	2013-05-31	$0
Contributions received from other sources (not participants or employers)	2013-05-31	$0
Other income received	2013-05-31	$113,196
Noncash contributions received	2013-05-31	$0
Net income (gross income less expenses)	2013-05-31	$145,969
Net plan assets at end of year (total assets less liabilities)	2013-05-31	$915,213
Net plan assets at beginning of year (total assets less liabilities)	2013-05-31	$769,244
Assets. Value of participant loans	2013-05-31	$29,334
Total contributions received or receivable from employer(s)	2013-05-31	$29,022
Value of certain deemed distributions of participant loans	2013-05-31	$0
Value of corrective distributions	2013-05-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-05-31	$8,459
2012 : HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2012 401k financial data
Transfers to/from the plan	2012-05-31	$0
Total income from all sources	2012-05-31	$82,294
Expenses. Total of all expenses incurred	2012-05-31	$9,307
Benefits paid (including direct rollovers)	2012-05-31	$0
Total plan assets at end of year	2012-05-31	$769,244
Total plan assets at beginning of year	2012-05-31	$696,257
Value of fidelity bond covering the plan	2012-05-31	$50,000
Total contributions received or receivable from participants	2012-05-31	$62,821
Expenses. Other expenses not covered elsewhere	2012-05-31	$0
Contributions received from other sources (not participants or employers)	2012-05-31	$0
Other income received	2012-05-31	$-20,341
Noncash contributions received	2012-05-31	$0
Net income (gross income less expenses)	2012-05-31	$72,987
Net plan assets at end of year (total assets less liabilities)	2012-05-31	$769,244
Net plan assets at beginning of year (total assets less liabilities)	2012-05-31	$696,257
Assets. Value of participant loans	2012-05-31	$39,498
Total contributions received or receivable from employer(s)	2012-05-31	$39,814
Value of certain deemed distributions of participant loans	2012-05-31	$0
Value of corrective distributions	2012-05-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-05-31	$9,307

Form 5500 Responses for HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN

2012: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2012 form 5500 responses
2012-06-01	Type of plan entity	Single employer plan
2012-06-01	Submission has been amended	No
2012-06-01	This submission is the final filing	No
2012-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-06-01	Plan is a collectively bargained plan	No
2012-06-01	Plan funding arrangement – Insurance	Yes
2012-06-01	Plan funding arrangement – Trust	Yes
2012-06-01	Plan benefit arrangement – Insurance	Yes
2012-06-01	Plan benefit arrangement - Trust	Yes
2011: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2011 form 5500 responses
2011-06-01	Type of plan entity	Single employer plan
2011-06-01	Submission has been amended	No
2011-06-01	This submission is the final filing	No
2011-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-06-01	Plan is a collectively bargained plan	No
2011-06-01	Plan funding arrangement – Insurance	Yes
2011-06-01	Plan funding arrangement – Trust	Yes
2011-06-01	Plan benefit arrangement – Insurance	Yes
2011-06-01	Plan benefit arrangement - Trust	Yes
2009: HOLT AND PATTERSON LLC RETIREMENT SAVINGS PLAN 2009 form 5500 responses
2009-06-01	Type of plan entity	Single employer plan
2009-06-01	Submission has been amended	No
2009-06-01	This submission is the final filing	No
2009-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-06-01	Plan is a collectively bargained plan	No
2009-06-01	Plan funding arrangement – Insurance	Yes
2009-06-01	Plan funding arrangement – Trust	Yes
2009-06-01	Plan benefit arrangement – Insurance	Yes
2009-06-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP36852

Policy instance

Insurance contract or identification number	GP36852
Number of Individuals Covered	10
Insurance policy start date	2012-06-01
Insurance policy end date	2013-05-31
Total amount of commissions paid to insurance broker	USD $2,020
Total amount of fees paid to insurance company	USD $26
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $2,020
Amount paid for insurance broker fees	26
Additional information about fees paid to insurance broker	NON MONETARY COMPENSATION TO SALES REP
Insurance broker organization code?	4
Insurance broker name	CUTTER AND COMPANY BROKERAGE INC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP36852

Policy instance

Insurance contract or identification number	GP36852
Number of Individuals Covered	11
Insurance policy start date	2011-06-01
Insurance policy end date	2012-05-31
Total amount of commissions paid to insurance broker	USD $1,669
Total amount of fees paid to insurance company	USD $44

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Company Name:	HOLT AND PATTERSON LLC
Employer identification number (EIN):	841684254
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	MICHAEL PATTERSON	2018-08-17
001	2016-01-01	MICHAEL PATTERSON	2017-10-12
001	2015-06-01	MICHAEL PATTERSON	2016-10-13
001	2014-06-01
001	2013-06-01
001	2012-06-01	TAMARA SCHOCH
001	2011-06-01	TAMARA SCHOCH
001	2010-06-01	TAMARA SCHOCH	2012-03-15
001	2009-06-01	MICHAEL PATTERSON