401k Plan data: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST plan

NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 401k Plan overview

Plan Name	NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST
Plan identification number	001

NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 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.
Plan covering Self-Employed individuals.
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

NORTHEAST EARTH MECHANICS, LLC has sponsored the creation of one or more 401k plans.

Company Name: NORTHEAST EARTH MECHANICS, LLC

Employer identification number (EIN): 020428194

NAIC Classification: 237990
NAIC Description: Other Heavy and Civil Engineering Construction

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST

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 JAMES N. LOCKE, II 2021-07-29
001 2019-01-01 JAMES N. LOCKE, II 2020-07-22
001 2018-01-01 JAMES N. LOCKE, II 2019-05-03
001 2017-01-01 JAMES N. LOCKE, II 2018-05-15
001 2016-01-01 JAMES N. LOCKE, II 2017-07-26
001 2015-01-01
001 2014-01-01 JAMES N. LOCKE, II 2015-07-20
001 2013-01-01 JAMES N. LOCKE, II 2014-04-22
001 2012-01-01 JAMES N. LOCKE, II 2013-05-07
001 2011-01-01 JAMES N. LOCKE, II
001 2010-01-01 SUSAN TIEDE
001 2009-01-01 JAMES N. LOCKE, II

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01	JAMES N. LOCKE, II	2021-07-29
001	2019-01-01	JAMES N. LOCKE, II	2020-07-22
001	2018-01-01	JAMES N. LOCKE, II	2019-05-03
001	2017-01-01	JAMES N. LOCKE, II	2018-05-15
001	2016-01-01	JAMES N. LOCKE, II	2017-07-26
001	2015-01-01
001	2014-01-01	JAMES N. LOCKE, II	2015-07-20
001	2013-01-01	JAMES N. LOCKE, II	2014-04-22
001	2012-01-01	JAMES N. LOCKE, II	2013-05-07
001	2011-01-01	JAMES N. LOCKE, II
001	2010-01-01	SUSAN TIEDE
001	2009-01-01	JAMES N. LOCKE, II

Plan Statistics for NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST

401k plan membership statisitcs for NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST

Measure Date Value
2022: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2022 401k membership
Total participants, beginning-of-year 2022-01-01 46
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 47
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 3
Total of all active and inactive participants 2022-01-01 50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 50
Number of participants with account balances 2022-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2021 401k membership
Total participants, beginning-of-year 2021-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 42
Number of retired or separated participants receiving benefits 2021-01-01 1
Number of other retired or separated participants entitled to future benefits 2021-01-01 3
Total of all active and inactive participants 2021-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 46
Number of participants with account balances 2021-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2011: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 43
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 33
Number of other retired or separated participants entitled to future benefits 2011-01-01 8
Total of all active and inactive participants 2011-01-01 41
Total participants 2011-01-01 41
Number of participants with account balances 2011-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 47
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 33
Number of other retired or separated participants entitled to future benefits 2010-01-01 10
Total of all active and inactive participants 2010-01-01 43
Total participants 2010-01-01 43
Number of participants with account balances 2010-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 54
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 36
Number of other retired or separated participants entitled to future benefits 2009-01-01 10
Total of all active and inactive participants 2009-01-01 46
Total participants 2009-01-01 46
Number of participants with account balances 2009-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2022: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2022 401k membership
Total participants, beginning-of-year	2022-01-01	46
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	47
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	3
Total of all active and inactive participants	2022-01-01	50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	50
Number of participants with account balances	2022-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2021 401k membership
Total participants, beginning-of-year	2021-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	42
Number of retired or separated participants receiving benefits	2021-01-01	1
Number of other retired or separated participants entitled to future benefits	2021-01-01	3
Total of all active and inactive participants	2021-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	46
Number of participants with account balances	2021-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2011: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	43
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	33
Number of other retired or separated participants entitled to future benefits	2011-01-01	8
Total of all active and inactive participants	2011-01-01	41
Total participants	2011-01-01	41
Number of participants with account balances	2011-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	47
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	33
Number of other retired or separated participants entitled to future benefits	2010-01-01	10
Total of all active and inactive participants	2010-01-01	43
Total participants	2010-01-01	43
Number of participants with account balances	2010-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	54
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	36
Number of other retired or separated participants entitled to future benefits	2009-01-01	10
Total of all active and inactive participants	2009-01-01	46
Total participants	2009-01-01	46
Number of participants with account balances	2009-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST

Measure	Date	Value
2022 : NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2022 401k financial data
Transfers to/from the plan	2022-12-31	$0
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-953,448
Expenses. Total of all expenses incurred	2022-12-31	$263,055
Benefits paid (including direct rollovers)	2022-12-31	$239,648
Total plan assets at end of year	2022-12-31	$7,000,724
Total plan assets at beginning of year	2022-12-31	$8,217,227
Value of fidelity bond covering the plan	2022-12-31	$500,000
Total contributions received or receivable from participants	2022-12-31	$286,349
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$0
Other income received	2022-12-31	$-1,338,826
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-1,216,503
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$7,000,724
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$8,217,227
Assets. Value of participant loans	2022-12-31	$23,573
Total contributions received or receivable from employer(s)	2022-12-31	$99,029
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$23,407
2021 : NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$1,446,871
Expenses. Total of all expenses incurred	2021-12-31	$1,144,312
Benefits paid (including direct rollovers)	2021-12-31	$1,106,184
Total plan assets at end of year	2021-12-31	$8,217,227
Total plan assets at beginning of year	2021-12-31	$7,914,668
Value of fidelity bond covering the plan	2021-12-31	$500,000
Total contributions received or receivable from participants	2021-12-31	$264,384
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$0
Other income received	2021-12-31	$1,086,059
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$302,559
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$8,217,227
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$7,914,668
Assets. Value of participant loans	2021-12-31	$39,603
Total contributions received or receivable from employer(s)	2021-12-31	$96,428
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$38,128
2011 : NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$92,968
Expenses. Total of all expenses incurred	2011-12-31	$37,987
Benefits paid (including direct rollovers)	2011-12-31	$37,581
Total plan assets at end of year	2011-12-31	$1,932,135
Total plan assets at beginning of year	2011-12-31	$1,877,154
Value of fidelity bond covering the plan	2011-12-31	$240,000
Total contributions received or receivable from participants	2011-12-31	$114,274
Other income received	2011-12-31	$-66,146
Net income (gross income less expenses)	2011-12-31	$54,981
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,932,135
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,877,154
Assets. Value of participant loans	2011-12-31	$52,232
Total contributions received or receivable from employer(s)	2011-12-31	$44,840
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$406
2010 : NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$342,301
Expenses. Total of all expenses incurred	2010-12-31	$33,539
Benefits paid (including direct rollovers)	2010-12-31	$33,177
Total plan assets at end of year	2010-12-31	$1,877,154
Total plan assets at beginning of year	2010-12-31	$1,568,392
Value of fidelity bond covering the plan	2010-12-31	$240,000
Total contributions received or receivable from participants	2010-12-31	$103,755
Other income received	2010-12-31	$200,739
Net income (gross income less expenses)	2010-12-31	$308,762
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,877,154
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,568,392
Assets. Value of participant loans	2010-12-31	$65,553
Total contributions received or receivable from employer(s)	2010-12-31	$37,807
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$362

Form 5500 Responses for NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST

2022: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2011: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: NORTHEAST EARTH MECHANICS, LLC 401(K) PLAN & TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

37578001

Policy instance

Insurance contract or identification number	37578001
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-10-29
Total amount of commissions paid to insurance broker	USD $2,578
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $2,578
Insurance broker organization code?	3

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Company Name:	NORTHEAST EARTH MECHANICS, LLC
Employer identification number (EIN):	020428194
NAIC Classification:	237990
NAIC Description:	Other Heavy and Civil Engineering Construction