J. A. ROTH & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN
401k plan membership statisitcs for J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN
| Measure | Date | Value |
|---|
| 2016: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2016 401k membership |
|---|
| Total participants, beginning-of-year | 2016-10-01 | 5 |
| Total number of active participants reported on line 7a of the Form 5500 | 2016-10-01 | 0 |
| Number of retired or separated participants receiving benefits | 2016-10-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2016-10-01 | 0 |
| Total of all active and inactive participants | 2016-10-01 | 0 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2016-10-01 | 0 |
| Total participants | 2016-10-01 | 0 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2016-10-01 | 0 |
| 2015: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2015 401k membership |
|---|
| Total participants, beginning-of-year | 2015-10-01 | 5 |
| Total number of active participants reported on line 7a of the Form 5500 | 2015-10-01 | 1 |
| Number of retired or separated participants receiving benefits | 2015-10-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2015-10-01 | 3 |
| Total of all active and inactive participants | 2015-10-01 | 4 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-10-01 | 1 |
| Total participants | 2015-10-01 | 5 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2015-10-01 | 0 |
| 2014: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2014 401k membership |
|---|
| Total participants, beginning-of-year | 2014-10-01 | 5 |
| Total number of active participants reported on line 7a of the Form 5500 | 2014-10-01 | 1 |
| Number of retired or separated participants receiving benefits | 2014-10-01 | 3 |
| 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 | 4 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-10-01 | 1 |
| Total participants | 2014-10-01 | 5 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-10-01 | 0 |
| 2013: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2013 401k membership |
|---|
| Total participants, beginning-of-year | 2013-10-01 | 5 |
| Total number of active participants reported on line 7a of the Form 5500 | 2013-10-01 | 1 |
| 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 | 3 |
| Total of all active and inactive participants | 2013-10-01 | 4 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-10-01 | 1 |
| Total participants | 2013-10-01 | 5 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-10-01 | 0 |
| 2012: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION 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 | 1 |
| 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 | 3 |
| 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 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-10-01 | 0 |
| 2011: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION 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 | 1 |
| 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 | 3 |
| 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 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-10-01 | 0 |
| Measure | Date | Value |
|---|
| 2017 : J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2017 401k financial data |
|---|
| Transfers to/from the plan | 2017-08-31 | $0 |
| Total plan liabilities at end of year | 2017-08-31 | $0 |
| Total plan liabilities at beginning of year | 2017-08-31 | $0 |
| Total income from all sources | 2017-08-31 | $11,603 |
| Expenses. Total of all expenses incurred | 2017-08-31 | $684,047 |
| Benefits paid (including direct rollovers) | 2017-08-31 | $684,047 |
| Total plan assets at end of year | 2017-08-31 | $0 |
| Total plan assets at beginning of year | 2017-08-31 | $672,444 |
| Other income received | 2017-08-31 | $11,603 |
| Net income (gross income less expenses) | 2017-08-31 | $-672,444 |
| Net plan assets at end of year (total assets less liabilities) | 2017-08-31 | $0 |
| Net plan assets at beginning of year (total assets less liabilities) | 2017-08-31 | $672,444 |
| 2016 : J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2016 401k financial data |
|---|
| Total plan liabilities at end of year | 2016-09-30 | $0 |
| Total plan liabilities at beginning of year | 2016-09-30 | $0 |
| Total income from all sources | 2016-09-30 | $151,813 |
| Expenses. Total of all expenses incurred | 2016-09-30 | $2,354 |
| Benefits paid (including direct rollovers) | 2016-09-30 | $0 |
| Total plan assets at end of year | 2016-09-30 | $672,444 |
| Total plan assets at beginning of year | 2016-09-30 | $522,985 |
| Other income received | 2016-09-30 | $151,813 |
| Net income (gross income less expenses) | 2016-09-30 | $149,459 |
| Net plan assets at end of year (total assets less liabilities) | 2016-09-30 | $672,444 |
| Net plan assets at beginning of year (total assets less liabilities) | 2016-09-30 | $522,985 |
| Assets. Value of assets in partnership/joint-venture interests | 2016-09-30 | $43,050 |
| Total contributions received or receivable from employer(s) | 2016-09-30 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2016-09-30 | $2,354 |
| 2015 : J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2015 401k financial data |
|---|
| Total plan liabilities at end of year | 2015-09-30 | $0 |
| Total income from all sources | 2015-09-30 | $-23,084 |
| Expenses. Total of all expenses incurred | 2015-09-30 | $33,656 |
| Benefits paid (including direct rollovers) | 2015-09-30 | $31,591 |
| Total plan assets at end of year | 2015-09-30 | $522,985 |
| Total plan assets at beginning of year | 2015-09-30 | $579,725 |
| Other income received | 2015-09-30 | $-69,684 |
| Net income (gross income less expenses) | 2015-09-30 | $-56,740 |
| Net plan assets at end of year (total assets less liabilities) | 2015-09-30 | $522,985 |
| Net plan assets at beginning of year (total assets less liabilities) | 2015-09-30 | $579,725 |
| Assets. Value of assets in partnership/joint-venture interests | 2015-09-30 | $43,097 |
| Total contributions received or receivable from employer(s) | 2015-09-30 | $46,600 |
| Value of certain deemed distributions of participant loans | 2015-09-30 | $2,065 |
| 2014 : J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2014 401k financial data |
|---|
| Total income from all sources | 2014-09-30 | $90,243 |
| Expenses. Total of all expenses incurred | 2014-09-30 | $138,010 |
| Benefits paid (including direct rollovers) | 2014-09-30 | $138,010 |
| Total plan assets at end of year | 2014-09-30 | $579,725 |
| Total plan assets at beginning of year | 2014-09-30 | $627,492 |
| Total contributions received or receivable from participants | 2014-09-30 | $0 |
| Assets. Value of loans (other than to participants) | 2014-09-30 | $25,000 |
| Expenses. Other expenses not covered elsewhere | 2014-09-30 | $0 |
| Contributions received from other sources (not participants or employers) | 2014-09-30 | $0 |
| Other income received | 2014-09-30 | $51,143 |
| Net income (gross income less expenses) | 2014-09-30 | $-47,767 |
| Net plan assets at end of year (total assets less liabilities) | 2014-09-30 | $579,725 |
| Net plan assets at beginning of year (total assets less liabilities) | 2014-09-30 | $627,492 |
| Assets. Value of assets in partnership/joint-venture interests | 2014-09-30 | $98,487 |
| Total contributions received or receivable from employer(s) | 2014-09-30 | $39,100 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2014-09-30 | $0 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-09-30 | $0 |
| 2013 : J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2013 401k financial data |
|---|
| Total income from all sources | 2013-09-30 | $236,003 |
| Expenses. Total of all expenses incurred | 2013-09-30 | $149,100 |
| Benefits paid (including direct rollovers) | 2013-09-30 | $149,100 |
| Total plan assets at end of year | 2013-09-30 | $627,492 |
| Total plan assets at beginning of year | 2013-09-30 | $540,589 |
| Total contributions received or receivable from participants | 2013-09-30 | $0 |
| Assets. Value of loans (other than to participants) | 2013-09-30 | $25,000 |
| Expenses. Other expenses not covered elsewhere | 2013-09-30 | $0 |
| Contributions received from other sources (not participants or employers) | 2013-09-30 | $0 |
| Other income received | 2013-09-30 | $11,593 |
| Net income (gross income less expenses) | 2013-09-30 | $86,903 |
| Net plan assets at end of year (total assets less liabilities) | 2013-09-30 | $627,492 |
| Net plan assets at beginning of year (total assets less liabilities) | 2013-09-30 | $540,589 |
| Assets. Value of assets in partnership/joint-venture interests | 2013-09-30 | $102,136 |
| Total contributions received or receivable from employer(s) | 2013-09-30 | $224,410 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2013-09-30 | $0 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-09-30 | $0 |
| 2012 : J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2012 401k financial data |
|---|
| Transfers to/from the plan | 2012-09-30 | $0 |
| Total plan liabilities at beginning of year | 2012-09-30 | $0 |
| Total income from all sources | 2012-09-30 | $191,879 |
| Expenses. Total of all expenses incurred | 2012-09-30 | $68,800 |
| Benefits paid (including direct rollovers) | 2012-09-30 | $68,800 |
| Total plan assets at end of year | 2012-09-30 | $540,589 |
| Total plan assets at beginning of year | 2012-09-30 | $417,510 |
| Total contributions received or receivable from participants | 2012-09-30 | $0 |
| Assets. Value of loans (other than to participants) | 2012-09-30 | $25,000 |
| Expenses. Other expenses not covered elsewhere | 2012-09-30 | $0 |
| Contributions received from other sources (not participants or employers) | 2012-09-30 | $0 |
| Other income received | 2012-09-30 | $42,779 |
| Net income (gross income less expenses) | 2012-09-30 | $123,079 |
| Net plan assets at end of year (total assets less liabilities) | 2012-09-30 | $540,589 |
| Net plan assets at beginning of year (total assets less liabilities) | 2012-09-30 | $417,510 |
| Assets. Value of assets in partnership/joint-venture interests | 2012-09-30 | $104,068 |
| Total contributions received or receivable from employer(s) | 2012-09-30 | $149,100 |
| Value of certain deemed distributions of participant loans | 2012-09-30 | $0 |
| Value of corrective distributions | 2012-09-30 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2012-09-30 | $0 |
| 2011 : J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2011 401k financial data |
|---|
| Transfers to/from the plan | 2011-09-30 | $0 |
| Total plan liabilities at end of year | 2011-09-30 | $0 |
| Total plan liabilities at beginning of year | 2011-09-30 | $0 |
| Total income from all sources | 2011-09-30 | $13,245 |
| Expenses. Total of all expenses incurred | 2011-09-30 | $75,000 |
| Benefits paid (including direct rollovers) | 2011-09-30 | $75,000 |
| Total plan assets at end of year | 2011-09-30 | $417,510 |
| Total plan assets at beginning of year | 2011-09-30 | $479,265 |
| Total contributions received or receivable from participants | 2011-09-30 | $0 |
| Expenses. Other expenses not covered elsewhere | 2011-09-30 | $0 |
| Contributions received from other sources (not participants or employers) | 2011-09-30 | $0 |
| Other income received | 2011-09-30 | $-55,555 |
| Noncash contributions received | 2011-09-30 | $0 |
| Net income (gross income less expenses) | 2011-09-30 | $-61,755 |
| Net plan assets at end of year (total assets less liabilities) | 2011-09-30 | $417,510 |
| Net plan assets at beginning of year (total assets less liabilities) | 2011-09-30 | $479,265 |
| Assets. Value of assets in partnership/joint-venture interests | 2011-09-30 | $123,068 |
| Total contributions received or receivable from employer(s) | 2011-09-30 | $68,800 |
| Value of certain deemed distributions of participant loans | 2011-09-30 | $0 |
| Value of corrective distributions | 2011-09-30 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2011-09-30 | $0 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-09-30 | $0 |
| 2016: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2016 form 5500 responses |
|---|
| 2016-10-01 | Type of plan entity | Single employer plan |
| 2016-10-01 | Submission has been amended | No |
| 2016-10-01 | This submission is the final filing | Yes |
| 2016-10-01 | This return/report is a short plan year return/report (less than 12 months) | Yes |
| 2016-10-01 | Plan is a collectively bargained plan | No |
| 2016-10-01 | Plan funding arrangement – Trust | Yes |
| 2016-10-01 | Plan benefit arrangement - Trust | Yes |
| 2015: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2015 form 5500 responses |
|---|
| 2015-10-01 | Type of plan entity | Single employer plan |
| 2015-10-01 | Submission has been amended | No |
| 2015-10-01 | This submission is the final filing | No |
| 2015-10-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2015-10-01 | Plan is a collectively bargained plan | No |
| 2015-10-01 | Plan funding arrangement – Trust | Yes |
| 2015-10-01 | Plan benefit arrangement - Trust | Yes |
| 2014: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION 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 - Trust | Yes |
| 2013: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION 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 - Trust | Yes |
| 2012: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION PLAN 2012 form 5500 responses |
|---|
| 2012-10-01 | Type of plan entity | Single employer plan |
| 2012-10-01 | Submission has been amended | Yes |
| 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 - Trust | Yes |
| 2011: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION 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 - Trust | Yes |
| 2008: J. A. ROTH & ASSOCIATES, INC. DEFINED BENEFIT PENSION 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 |
