401k Plan data: TRANSACTION ASSOCIATES, INC. 401(K) PLAN plan

TRANSACTION ASSOCIATES, INC. 401(K) PLAN 401k Plan overview

Plan Name	TRANSACTION ASSOCIATES, INC. 401(K) PLAN
Plan identification number	001

TRANSACTION ASSOCIATES, INC. 401(K) 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.
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)).

401k Sponsoring company profile

TRANSACTION ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: TRANSACTION ASSOCIATES, INC.

Employer identification number (EIN): 043197981

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TRANSACTION ASSOCIATES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 CYNTHIA FRENE 2023-10-12 CYNTHIA FRENE 2023-10-12
001 2021-01-01 CYNTHIA FRENE 2022-08-30 CYNTHIA FRENE 2022-08-30
001 2020-01-01 CYNTHIA FRENE 2021-09-28 CYNTHIA FRENE 2021-09-28
001 2019-01-01 CYNTHIA FRENE 2020-10-14 CYNTHIA FRENE 2020-10-14
001 2018-01-01
001 2017-01-01 CYNTHIA FRENE 2018-07-26 CYNTHIA FRENE 2018-07-26
001 2016-01-01
001 2016-01-01
001 2015-01-01 CYNTHIA FRENE 2016-09-15 CYNTHIA FRENE 2016-09-15
001 2014-01-01 CYNTHIA FRENE 2015-07-20 CYNTHIA FRENE 2015-07-20
001 2013-01-01 CYNTHIA FRENE 2014-07-14 CYNTHIA FRENE 2014-07-14
001 2012-01-01 CYNTHIA FRENE 2013-07-01 CYNTHIA FRENE 2013-07-01
001 2011-01-01 CYNTHIA FRENE 2012-07-19 CYNTHIA FRENE 2012-07-19
001 2010-01-01 CYNTHIA FRENE 2011-07-11 CYNTHIA FRENE 2011-07-11

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	CYNTHIA FRENE	2023-10-12	CYNTHIA FRENE	2023-10-12
001	2021-01-01	CYNTHIA FRENE	2022-08-30	CYNTHIA FRENE	2022-08-30
001	2020-01-01	CYNTHIA FRENE	2021-09-28	CYNTHIA FRENE	2021-09-28
001	2019-01-01	CYNTHIA FRENE	2020-10-14	CYNTHIA FRENE	2020-10-14
001	2018-01-01
001	2017-01-01	CYNTHIA FRENE	2018-07-26	CYNTHIA FRENE	2018-07-26
001	2016-01-01
001	2016-01-01
001	2015-01-01	CYNTHIA FRENE	2016-09-15	CYNTHIA FRENE	2016-09-15
001	2014-01-01	CYNTHIA FRENE	2015-07-20	CYNTHIA FRENE	2015-07-20
001	2013-01-01	CYNTHIA FRENE	2014-07-14	CYNTHIA FRENE	2014-07-14
001	2012-01-01	CYNTHIA FRENE	2013-07-01	CYNTHIA FRENE	2013-07-01
001	2011-01-01	CYNTHIA FRENE	2012-07-19	CYNTHIA FRENE	2012-07-19
001	2010-01-01	CYNTHIA FRENE	2011-07-11	CYNTHIA FRENE	2011-07-11

Plan Statistics for TRANSACTION ASSOCIATES, INC. 401(K) PLAN

401k plan membership statisitcs for TRANSACTION ASSOCIATES, INC. 401(K) PLAN

Measure Date Value
2022: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 144
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 119
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 32
Total of all active and inactive participants 2022-01-01 151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 151
Number of participants with account balances 2022-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 116
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 25
Total of all active and inactive participants 2021-01-01 141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 141
Number of participants with account balances 2021-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 168
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 100
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 26
Total of all active and inactive participants 2020-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 126
Number of participants with account balances 2020-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 154
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 11
Total of all active and inactive participants 2019-01-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 165
Number of participants with account balances 2019-01-01 85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0

Measure	Date	Value
2022: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	144
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	119
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	32
Total of all active and inactive participants	2022-01-01	151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	151
Number of participants with account balances	2022-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	116
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	25
Total of all active and inactive participants	2021-01-01	141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	141
Number of participants with account balances	2021-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	168
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	100
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	26
Total of all active and inactive participants	2020-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	126
Number of participants with account balances	2020-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	154
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	11
Total of all active and inactive participants	2019-01-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	165
Number of participants with account balances	2019-01-01	85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0

Financial Data on TRANSACTION ASSOCIATES, INC. 401(K) PLAN

Measure	Date	Value
2022 : TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$-89,925
Total of all expenses incurred	2022-12-31	$171,618
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$149,786
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$485,329
Value of total assets at end of year	2022-12-31	$3,176,698
Value of total assets at beginning of year	2022-12-31	$3,438,241
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$21,832
Total interest from all sources	2022-12-31	$-575,254
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Administrative expenses professional fees incurred	2022-12-31	$21,832
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$326,792
Participant contributions at end of year	2022-12-31	$34,438
Participant contributions at beginning of year	2022-12-31	$45,221
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-261,543
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$3,176,698
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$3,438,241
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in pooled separate accounts at end of year	2022-12-31	$3,142,260
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$3,393,020
Interest on participant loans	2022-12-31	$2,272
Interest earned on other investments	2022-12-31	$-577,526
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$158,537
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$149,786
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	CARAS & SHULMAN, P.C.
Accountancy firm EIN	2022-12-31	042629080
2021 : TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$787,814
Total of all expenses incurred	2021-12-31	$147,793
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$116,009
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$421,240
Value of total assets at end of year	2021-12-31	$3,438,241
Value of total assets at beginning of year	2021-12-31	$2,798,220
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$31,784
Total interest from all sources	2021-12-31	$366,574
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Administrative expenses professional fees incurred	2021-12-31	$31,784
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$283,377
Participant contributions at end of year	2021-12-31	$45,221
Participant contributions at beginning of year	2021-12-31	$23,921
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$640,021
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$3,438,241
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$2,798,220
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in pooled separate accounts at end of year	2021-12-31	$3,393,020
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$2,774,299
Interest on participant loans	2021-12-31	$2,075
Interest earned on other investments	2021-12-31	$364,499
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$137,863
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$116,009
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	CARAS & SHULMAN, P.C.
Accountancy firm EIN	2021-12-31	042629080
2020 : TRANSACTION ASSOCIATES, INC. 401(K) PLAN 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	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$959,558
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$111,840
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$85,552
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$605,341
Value of total assets at end of year	2020-12-31	$2,798,220
Value of total assets at beginning of year	2020-12-31	$1,950,502
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$26,288
Total interest from all sources	2020-12-31	$354,217
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Administrative expenses professional fees incurred	2020-12-31	$26,288
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
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	$283,992
Participant contributions at end of year	2020-12-31	$23,921
Participant contributions at beginning of year	2020-12-31	$33,210
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$179,125
Administrative expenses (other) incurred	2020-12-31	$0
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	$847,718
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$2,798,220
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$1,950,502
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 pooled separate accounts at end of year	2020-12-31	$2,774,299
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$1,917,292
Interest on participant loans	2020-12-31	$1,966
Interest earned on other investments	2020-12-31	$352,251
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
Contributions received in cash from employer	2020-12-31	$142,224
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$85,552
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	CARAS & SHULMAN, P.C.
Accountancy firm EIN	2020-12-31	042629080
2019 : TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
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	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
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	$961,327
Total income from all sources (including contributions)	2019-12-31	$961,327
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$304,484
Total of all expenses incurred	2019-12-31	$304,484
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$286,255
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$286,255
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$669,742
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$669,742
Value of total assets at end of year	2019-12-31	$1,950,502
Value of total assets at end of year	2019-12-31	$1,950,502
Value of total assets at beginning of year	2019-12-31	$1,293,659
Value of total assets at beginning of year	2019-12-31	$1,293,659
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$18,229
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$18,229
Total interest from all sources	2019-12-31	$1,751
Total interest from all sources	2019-12-31	$1,751
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Administrative expenses professional fees incurred	2019-12-31	$600
Administrative expenses professional fees incurred	2019-12-31	$600
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	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	$297,553
Contributions received from participants	2019-12-31	$297,553
Participant contributions at end of year	2019-12-31	$33,210
Participant contributions at end of year	2019-12-31	$33,210
Participant contributions at beginning of year	2019-12-31	$19,799
Participant contributions at beginning of year	2019-12-31	$19,799
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$228,992
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$228,992
Administrative expenses (other) incurred	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
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
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	$656,843
Value of net income/loss	2019-12-31	$656,843
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,950,502
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,950,502
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,293,659
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,293,659
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
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 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
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$1,556
Investment advisory and management fees	2019-12-31	$1,556
Value of interest in pooled separate accounts at end of year	2019-12-31	$1,917,292
Value of interest in pooled separate accounts at end of year	2019-12-31	$1,917,292
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$1,273,860
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$1,273,860
Interest on participant loans	2019-12-31	$1,751
Interest on participant loans	2019-12-31	$1,751
Interest earned on other investments	2019-12-31	$0
Interest earned on other investments	2019-12-31	$0
Net investment gain/loss from pooled separate accounts	2019-12-31	$289,834
Net investment gain/loss from pooled separate accounts	2019-12-31	$289,834
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
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
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
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$143,197
Contributions received in cash from employer	2019-12-31	$143,197
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$286,255
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$286,255
Contract administrator fees	2019-12-31	$16,073
Contract administrator fees	2019-12-31	$16,073
Did the plan have assets held for investment	2019-12-31	Yes
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
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
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
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
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	CARAS & SHULMAN, P.C.
Accountancy firm name	2019-12-31	CARAS & SHULMAN, P.C.
Accountancy firm EIN	2019-12-31	042629080
Accountancy firm EIN	2019-12-31	042629080

Form 5500 Responses for TRANSACTION ASSOCIATES, INC. 401(K) PLAN

2022: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 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
2020: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 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 – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: TRANSACTION ASSOCIATES, INC. 401(K) PLAN 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 – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

126331

Policy instance

Insurance contract or identification number	126331
Number of Individuals Covered	92
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $1,591
Total amount of fees paid to insurance company	USD $675
Commission paid to Insurance Broker	USD $1,591
Amount paid for insurance broker fees	675
Additional information about fees paid to insurance broker	TPA COMPENSATION FEES
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

126331

Policy instance

Insurance contract or identification number	126331
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $1,543
Total amount of fees paid to insurance company	USD $825
Commission paid to Insurance Broker	USD $1,543
Amount paid for insurance broker fees	825
Additional information about fees paid to insurance broker	TPA COMPENSATION AND FEES
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

126331

Policy instance

Insurance contract or identification number	126331
Number of Individuals Covered	90
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,810
Amount paid for insurance broker fees	1810
Additional information about fees paid to insurance broker	TPA COMPENSATION AND FEES
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

126331

Policy instance

Insurance contract or identification number	126331
Number of Individuals Covered	86
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $5,528
Total amount of fees paid to insurance company	USD $960
Commission paid to Insurance Broker	USD $5,528
Amount paid for insurance broker fees	140
Additional information about fees paid to insurance broker	BROKER COMMISSION
Insurance broker organization code?	3

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Company Name:	TRANSACTION ASSOCIATES, INC.
Employer identification number (EIN):	043197981
NAIC Classification:	541600