401k Plan data: THE GRANTHAM CORPORATION, INC. 401(K) PLAN plan

THE GRANTHAM CORPORATION, INC. 401(K) PLAN 401k Plan overview

Plan Name	THE GRANTHAM CORPORATION, INC. 401(K) PLAN
Plan identification number	002

THE GRANTHAM CORPORATION, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
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

THE GRANTHAM CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: THE GRANTHAM CORPORATION

Employer identification number (EIN): 043466555

NAIC Classification: 623000
NAIC Description: Nursing and Residential Care Facilities

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE GRANTHAM CORPORATION, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01
002 2017-01-01
002 2016-10-01
002 2016-10-01 WALTER OHANIAN 2018-10-09

Plan Statistics for THE GRANTHAM CORPORATION, INC. 401(K) PLAN

401k plan membership statisitcs for THE GRANTHAM CORPORATION, INC. 401(K) PLAN

Measure Date Value
2018: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 190
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 98
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 10
Total of all active and inactive participants 2017-01-01 108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 108
Number of participants with account balances 2017-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-10-01 199
Total number of active participants reported on line 7a of the Form 5500 2016-10-01 194
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 2016-10-01 194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-10-01 0
Total participants 2016-10-01 194
Number of participants with account balances 2016-10-01 25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-10-01 0

Measure	Date	Value
2018: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	190
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	98
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	10
Total of all active and inactive participants	2017-01-01	108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	108
Number of participants with account balances	2017-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-10-01	199
Total number of active participants reported on line 7a of the Form 5500	2016-10-01	194
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	194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-10-01	0
Total participants	2016-10-01	194
Number of participants with account balances	2016-10-01	25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-10-01	0

Financial Data on THE GRANTHAM CORPORATION, INC. 401(K) PLAN

Measure	Date	Value
2018 : THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-09-28	$16,008
Total of all expenses incurred	2018-09-28	$94,749
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-09-28	$92,775
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-09-28	$14,571
Value of total assets at end of year	2018-09-28	$0
Value of total assets at beginning of year	2018-09-28	$78,741
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-09-28	$1,974
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-09-28	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-09-28	$0
Was this plan covered by a fidelity bond	2018-09-28	Yes
Value of fidelity bond cover	2018-09-28	$7,900
If this is an individual account plan, was there a blackout period	2018-09-28	No
Were there any nonexempt tranactions with any party-in-interest	2018-09-28	No
Contributions received from participants	2018-09-28	$14,571
Participant contributions at end of year	2018-09-28	$0
Participant contributions at beginning of year	2018-09-28	$146
Administrative expenses (other) incurred	2018-09-28	$1,125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-09-28	No
Value of net income/loss	2018-09-28	$-78,741
Value of net assets at end of year (total assets less liabilities)	2018-09-28	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-09-28	$78,741
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-09-28	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-09-28	No
Were any leases to which the plan was party in default or uncollectible	2018-09-28	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-09-28	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-09-28	$78,595
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-09-28	$1,437
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-09-28	No
Was there a failure to transmit to the plan any participant contributions	2018-09-28	Yes
Has the plan failed to provide any benefit when due under the plan	2018-09-28	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-09-28	$92,775
Contract administrator fees	2018-09-28	$849
Did the plan have assets held for investment	2018-09-28	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	2018-09-28	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-09-28	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-09-28	Yes
Opinion of an independent qualified public accountant for this plan	2018-09-28	Disclaimer
Accountancy firm name	2018-09-28	COHNREZNICK LLP
Accountancy firm EIN	2018-09-28	221487099
2017 : THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$59,078
Total of all expenses incurred	2017-12-31	$27,021
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$25,297
Expenses. Certain deemed distributions of participant loans	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$48,603
Value of total assets at end of year	2017-12-31	$78,741
Value of total assets at beginning of year	2017-12-31	$46,684
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,724
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$47,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$48,603
Participant contributions at end of year	2017-12-31	$146
Participant contributions at beginning of year	2017-12-31	$1,070
Administrative expenses (other) incurred	2017-12-31	$300
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$32,057
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$78,741
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$46,684
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$78,595
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$45,614
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$10,475
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$25,297
Contract administrator fees	2017-12-31	$1,424
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	COHNREZNICK LLP
Accountancy firm EIN	2017-12-31	221487099
2016 : THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$46,684
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$46,119
Value of total assets at end of year	2016-12-31	$46,684
Value of total assets at beginning of year	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$47,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$5,573
Participant contributions at end of year	2016-12-31	$1,070
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$40,546
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$46,684
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$46,684
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$45,614
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$565
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No

Form 5500 Responses for THE GRANTHAM CORPORATION, INC. 401(K) PLAN

2018: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: THE GRANTHAM CORPORATION, INC. 401(K) PLAN 2016 form 5500 responses
2016-10-01	Type of plan entity	Single employer plan
2016-10-01	First time form 5500 has been submitted	Yes
2016-10-01	Submission has been amended	Yes
2016-10-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-10-01	Plan funding arrangement – Insurance	Yes
2016-10-01	Plan funding arrangement – Trust	Yes
2016-10-01	Plan benefit arrangement – Insurance	Yes
2016-10-01	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

126144

Policy instance

Insurance contract or identification number	126144
Number of Individuals Covered	0
Insurance policy start date	2018-01-01
Insurance policy end date	2018-10-01
Total amount of commissions paid to insurance broker	USD $300
Total amount of fees paid to insurance company	USD $1,155
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1125
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $300

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

Policy contract number

126144

Policy instance

Insurance contract or identification number	126144
Number of Individuals Covered	27
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $365
Total amount of fees paid to insurance company	USD $894
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	594
Additional information about fees paid to insurance broker	TPA COMPENSATION
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $214
Insurance broker name	LPL FINANCIAL CORPORATION

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Company Name:	THE GRANTHAM CORPORATION
Employer identification number (EIN):	043466555
NAIC Classification:	623000
NAIC Description:	Nursing and Residential Care Facilities