401k Plan data: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN plan

DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN
Plan identification number	003

DUNCAN ENTERPRISES 401(K) PROFIT SHARING 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

DUNCAN ENTERPRISES has sponsored the creation of one or more 401k plans.

Company Name: DUNCAN ENTERPRISES

Employer identification number (EIN): 911322399

NAIC Classification: 325500

Additional information about DUNCAN ENTERPRISES

Jurisdiction of Incorporation: Colorado Department of State

Incorporation Date: 2013-09-11

Company Identification Number: 20131526026

Legal Registered Office Address: 4616 S Wolff St

Denver
United States of America (USA)
80236

More information about DUNCAN ENTERPRISES

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-06-01 TODD ROSE TODD ROSE 2018-02-21
003 2015-06-01 SCOTT KRIEBEL
003 2014-06-01 SCOTT KRIEBEL

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2016-06-01	TODD ROSE	TODD ROSE	2018-02-21
003	2015-06-01	SCOTT KRIEBEL
003	2014-06-01	SCOTT KRIEBEL

Plan Statistics for DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN

Measure Date Value
2016: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-06-01 170
Total number of active participants reported on line 7a of the Form 5500 2016-06-01 171
Number of other retired or separated participants entitled to future benefits 2016-06-01 79
Total of all active and inactive participants 2016-06-01 250
Total participants 2016-06-01 250
Number of participants with account balances 2016-06-01 242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-06-01 21
2015: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-06-01 138
Total number of active participants reported on line 7a of the Form 5500 2015-06-01 170
Number of retired or separated participants receiving benefits 2015-06-01 63
Total of all active and inactive participants 2015-06-01 233
Total participants 2015-06-01 233
Number of participants with account balances 2015-06-01 226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-06-01 20
2014: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-06-01 178
Total number of active participants reported on line 7a of the Form 5500 2014-06-01 138
Number of retired or separated participants receiving benefits 2014-06-01 0
Number of other retired or separated participants entitled to future benefits 2014-06-01 47
Total of all active and inactive participants 2014-06-01 185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-06-01 0
Total participants 2014-06-01 185
Number of participants with account balances 2014-06-01 182
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-06-01 8

Measure	Date	Value
2016: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-06-01	170
Total number of active participants reported on line 7a of the Form 5500	2016-06-01	171
Number of other retired or separated participants entitled to future benefits	2016-06-01	79
Total of all active and inactive participants	2016-06-01	250
Total participants	2016-06-01	250
Number of participants with account balances	2016-06-01	242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-06-01	21
2015: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-06-01	138
Total number of active participants reported on line 7a of the Form 5500	2015-06-01	170
Number of retired or separated participants receiving benefits	2015-06-01	63
Total of all active and inactive participants	2015-06-01	233
Total participants	2015-06-01	233
Number of participants with account balances	2015-06-01	226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-06-01	20
2014: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-06-01	178
Total number of active participants reported on line 7a of the Form 5500	2014-06-01	138
Number of retired or separated participants receiving benefits	2014-06-01	0
Number of other retired or separated participants entitled to future benefits	2014-06-01	47
Total of all active and inactive participants	2014-06-01	185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-06-01	0
Total participants	2014-06-01	185
Number of participants with account balances	2014-06-01	182
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-06-01	8

Financial Data on DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2017 : DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-05-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-05-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-05-31	$0
Total income from all sources (including contributions)	2017-05-31	$2,351,441
Total loss/gain on sale of assets	2017-05-31	$0
Total of all expenses incurred	2017-05-31	$1,163,857
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-05-31	$1,159,782
Value of total corrective distributions	2017-05-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-05-31	$857,212
Value of total assets at end of year	2017-05-31	$12,626,612
Value of total assets at beginning of year	2017-05-31	$11,439,028
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-05-31	$4,075
Total interest from all sources	2017-05-31	$1,513
Total dividends received (eg from common stock, registered investment company shares)	2017-05-31	$323,786
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-05-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-05-31	$323,786
Was this plan covered by a fidelity bond	2017-05-31	Yes
Value of fidelity bond cover	2017-05-31	$500,000
If this is an individual account plan, was there a blackout period	2017-05-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-05-31	No
Contributions received from participants	2017-05-31	$745,029
Participant contributions at end of year	2017-05-31	$96,928
Participant contributions at beginning of year	2017-05-31	$56,481
Income. Received or receivable in cash from other sources (including rollovers)	2017-05-31	$428
Administrative expenses (other) incurred	2017-05-31	$438
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-05-31	No
Value of net income/loss	2017-05-31	$1,187,584
Value of net assets at end of year (total assets less liabilities)	2017-05-31	$12,626,612
Value of net assets at beginning of year (total assets less liabilities)	2017-05-31	$11,439,028
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-05-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-05-31	No
Were any leases to which the plan was party in default or uncollectible	2017-05-31	No
Investment advisory and management fees	2017-05-31	$3,637
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-05-31	$11,251,905
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-05-31	$9,931,498
Interest on participant loans	2017-05-31	$1,513
Value of interest in common/collective trusts at end of year	2017-05-31	$1,277,779
Value of interest in common/collective trusts at beginning of year	2017-05-31	$1,451,049
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-05-31	$1,150,270
Net investment gain or loss from common/collective trusts	2017-05-31	$18,660
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-05-31	No
Was there a failure to transmit to the plan any participant contributions	2017-05-31	No
Has the plan failed to provide any benefit when due under the plan	2017-05-31	No
Contributions received in cash from employer	2017-05-31	$111,755
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-05-31	$1,159,782
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-05-31	No
Did the plan have assets held for investment	2017-05-31	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	2017-05-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-05-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-05-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-05-31	Disclaimer
Accountancy firm name	2017-05-31	MOSS ADAMS
Accountancy firm EIN	2017-05-31	910189318
2016 : DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-05-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-05-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-05-31	$0
Total income from all sources (including contributions)	2016-05-31	$773,668
Total loss/gain on sale of assets	2016-05-31	$0
Total of all expenses incurred	2016-05-31	$646,156
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-05-31	$637,452
Value of total corrective distributions	2016-05-31	$3,028
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-05-31	$997,211
Value of total assets at end of year	2016-05-31	$11,439,028
Value of total assets at beginning of year	2016-05-31	$11,311,516
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-05-31	$5,676
Total interest from all sources	2016-05-31	$835
Total dividends received (eg from common stock, registered investment company shares)	2016-05-31	$414,083
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-05-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-05-31	$414,083
Was this plan covered by a fidelity bond	2016-05-31	Yes
Value of fidelity bond cover	2016-05-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-05-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-05-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-05-31	No
Contributions received from participants	2016-05-31	$832,358
Participant contributions at end of year	2016-05-31	$56,481
Participant contributions at beginning of year	2016-05-31	$31,492
Income. Received or receivable in cash from other sources (including rollovers)	2016-05-31	$39,999
Administrative expenses (other) incurred	2016-05-31	$2,983
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-05-31	No
Value of net income/loss	2016-05-31	$127,512
Value of net assets at end of year (total assets less liabilities)	2016-05-31	$11,439,028
Value of net assets at beginning of year (total assets less liabilities)	2016-05-31	$11,311,516
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-05-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-05-31	No
Were any leases to which the plan was party in default or uncollectible	2016-05-31	No
Investment advisory and management fees	2016-05-31	$2,693
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-05-31	$9,931,498
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-05-31	$9,949,853
Interest on participant loans	2016-05-31	$835
Value of interest in common/collective trusts at end of year	2016-05-31	$1,451,049
Value of interest in common/collective trusts at beginning of year	2016-05-31	$1,330,171
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-05-31	$-655,015
Net investment gain or loss from common/collective trusts	2016-05-31	$16,554
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-05-31	No
Was there a failure to transmit to the plan any participant contributions	2016-05-31	No
Has the plan failed to provide any benefit when due under the plan	2016-05-31	No
Contributions received in cash from employer	2016-05-31	$124,854
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-05-31	$637,452
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-05-31	No
Did the plan have assets held for investment	2016-05-31	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	2016-05-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-05-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-05-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-05-31	Disclaimer
Accountancy firm name	2016-05-31	MOSS ADAMS
Accountancy firm EIN	2016-05-31	910189318
2015 : DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-05-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-05-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-05-31	$0
Total income from all sources (including contributions)	2015-05-31	$1,716,014
Total loss/gain on sale of assets	2015-05-31	$0
Total of all expenses incurred	2015-05-31	$1,404,519
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-05-31	$1,397,230
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-05-31	$832,953
Value of total assets at end of year	2015-05-31	$11,311,516
Value of total assets at beginning of year	2015-05-31	$11,000,021
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-05-31	$7,289
Total interest from all sources	2015-05-31	$1,139
Total dividends received (eg from common stock, registered investment company shares)	2015-05-31	$498,773
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-05-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-05-31	$498,773
Was this plan covered by a fidelity bond	2015-05-31	Yes
Value of fidelity bond cover	2015-05-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-05-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-05-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-05-31	No
Contributions received from participants	2015-05-31	$678,232
Participant contributions at end of year	2015-05-31	$31,492
Participant contributions at beginning of year	2015-05-31	$41,237
Income. Received or receivable in cash from other sources (including rollovers)	2015-05-31	$52,986
Administrative expenses (other) incurred	2015-05-31	$5,521
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-05-31	No
Value of net income/loss	2015-05-31	$311,495
Value of net assets at end of year (total assets less liabilities)	2015-05-31	$11,311,516
Value of net assets at beginning of year (total assets less liabilities)	2015-05-31	$11,000,021
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-05-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-05-31	No
Were any leases to which the plan was party in default or uncollectible	2015-05-31	No
Investment advisory and management fees	2015-05-31	$1,768
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-05-31	$9,949,853
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-05-31	$9,650,522
Income. Interest from loans (other than to participants)	2015-05-31	$1,139
Value of interest in common/collective trusts at end of year	2015-05-31	$1,330,171
Value of interest in common/collective trusts at beginning of year	2015-05-31	$1,308,262
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-05-31	$368,703
Net investment gain or loss from common/collective trusts	2015-05-31	$14,446
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-05-31	No
Was there a failure to transmit to the plan any participant contributions	2015-05-31	No
Has the plan failed to provide any benefit when due under the plan	2015-05-31	No
Contributions received in cash from employer	2015-05-31	$101,735
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-05-31	$1,397,230
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-05-31	No
Did the plan have assets held for investment	2015-05-31	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	2015-05-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-05-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-05-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-05-31	Disclaimer
Accountancy firm name	2015-05-31	MORSE WITTWER SAMPSON LLP
Accountancy firm EIN	2015-05-31	262521787

Form 5500 Responses for DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN

2016: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-06-01	Type of plan entity	Single employer plan
2016-06-01	Submission has been amended	No
2016-06-01	This submission is the final filing	No
2016-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-06-01	Plan is a collectively bargained plan	No
2016-06-01	Plan funding arrangement – Trust	Yes
2016-06-01	Plan benefit arrangement - Trust	Yes
2015: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-06-01	Type of plan entity	Single employer plan
2015-06-01	Submission has been amended	No
2015-06-01	This submission is the final filing	No
2015-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-06-01	Plan is a collectively bargained plan	No
2015-06-01	Plan funding arrangement – Trust	Yes
2015-06-01	Plan benefit arrangement - Trust	Yes
2014: DUNCAN ENTERPRISES 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-06-01	Type of plan entity	Single employer plan
2014-06-01	Submission has been amended	No
2014-06-01	This submission is the final filing	No
2014-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-06-01	Plan is a collectively bargained plan	No
2014-06-01	Plan funding arrangement – Trust	Yes
2014-06-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DUNCAN ENTERPRISES
Employer identification number (EIN):	911322399
NAIC Classification:	325500

Jurisdiction of Incorporation:	Colorado Department of State
Incorporation Date:	2013-09-11
Company Identification Number:	20131526026
Legal Registered Office Address:	4616 S Wolff St Denver United States of America (USA) 80236