401k Plan data: LOCAL 1996-1 401(K) PLAN plan

LOCAL 1996-1 401(K) PLAN 401k Plan overview

Plan Name	LOCAL 1996-1 401(K) PLAN
Plan identification number	001

LOCAL 1996-1 401(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.
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

NORTH ATLANTIC DISTRIBUTION, INC. has sponsored the creation of one or more 401k plans.

Company Name: NORTH ATLANTIC DISTRIBUTION, INC.

Employer identification number (EIN): 050411279

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LOCAL 1996-1 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01 ALDO CAPUTO 2022-07-12
001 2020-01-01 ALDO CAPUTO 2021-07-15
001 2019-01-01 ALDO CAPUTO 2020-07-15
001 2018-01-01 ALDO CAPUTO 2019-09-19
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 ALDO CAPUTO 2015-04-23
001 2013-01-01 ALDO CAPUTO 2014-07-11
001 2012-01-01 ALDO CAPUTO 2013-10-04
001 2011-01-01 ALDO CAPUTO 2012-09-11
001 2010-01-01 ALDO CAPUTO 2011-07-06

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01	ALDO CAPUTO	2022-07-12
001	2020-01-01	ALDO CAPUTO	2021-07-15
001	2019-01-01	ALDO CAPUTO	2020-07-15
001	2018-01-01	ALDO CAPUTO	2019-09-19
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	ALDO CAPUTO	2015-04-23
001	2013-01-01	ALDO CAPUTO	2014-07-11
001	2012-01-01	ALDO CAPUTO	2013-10-04
001	2011-01-01	ALDO CAPUTO	2012-09-11
001	2010-01-01	ALDO CAPUTO	2011-07-06

Plan Statistics for LOCAL 1996-1 401(K) PLAN

401k plan membership statisitcs for LOCAL 1996-1 401(K) PLAN

Measure Date Value
2021: LOCAL 1996-1 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 86
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 5
Total of all active and inactive participants 2021-01-01 91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 91
Number of participants with account balances 2021-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: LOCAL 1996-1 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 143
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 122
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 4
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 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 1
2019: LOCAL 1996-1 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 140
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 3
Total of all active and inactive participants 2019-01-01 143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 143
Number of participants with account balances 2019-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: LOCAL 1996-1 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 156
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 128
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 3
Total of all active and inactive participants 2018-01-01 131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 131
Number of participants with account balances 2018-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: LOCAL 1996-1 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 145
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 153
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 2
Total of all active and inactive participants 2017-01-01 155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 156
Number of participants with account balances 2017-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1

Measure	Date	Value
2021: LOCAL 1996-1 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	86
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	5
Total of all active and inactive participants	2021-01-01	91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	91
Number of participants with account balances	2021-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: LOCAL 1996-1 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	143
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	122
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	4
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	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	1
2019: LOCAL 1996-1 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	140
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	3
Total of all active and inactive participants	2019-01-01	143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	143
Number of participants with account balances	2019-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: LOCAL 1996-1 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	156
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	128
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	3
Total of all active and inactive participants	2018-01-01	131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	131
Number of participants with account balances	2018-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: LOCAL 1996-1 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	145
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	153
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	2
Total of all active and inactive participants	2017-01-01	155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	156
Number of participants with account balances	2017-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1

Financial Data on LOCAL 1996-1 401(K) PLAN

Measure	Date	Value
2021 : LOCAL 1996-1 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$149,557
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$20,325
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$10,466
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$76,333
Value of total assets at end of year	2021-12-31	$797,391
Value of total assets at beginning of year	2021-12-31	$668,159
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$9,859
Total interest from all sources	2021-12-31	$112
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$73,112
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$73,112
Administrative expenses professional fees incurred	2021-12-31	$9,859
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$60,201
Participant contributions at end of year	2021-12-31	$1,087
Participant contributions at beginning of year	2021-12-31	$3,062
Participant contributions at end of year	2021-12-31	$0
Participant contributions at beginning of year	2021-12-31	$1,169
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	$129,232
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$797,391
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$668,159
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	$795,244
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$663,604
Interest on participant loans	2021-12-31	$112
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$1,060
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$0
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	$16,132
Employer contributions (assets) at end of year	2021-12-31	$0
Employer contributions (assets) at beginning of year	2021-12-31	$324
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$10,466
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	WARD, FISHER & COMPANY, LLP
Accountancy firm EIN	2021-12-31	050234540
2020 : LOCAL 1996-1 401(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	$137,823
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$17,107
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$9,238
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$64,460
Value of total assets at end of year	2020-12-31	$668,159
Value of total assets at beginning of year	2020-12-31	$547,443
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$7,869
Total interest from all sources	2020-12-31	$210
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$73,153
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$73,153
Administrative expenses professional fees incurred	2020-12-31	$7,869
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$51,161
Participant contributions at end of year	2020-12-31	$1,169
Participant contributions at beginning of year	2020-12-31	$0
Assets. Loans (other than to participants) at end of year	2020-12-31	$3,062
Assets. Loans (other than to participants) at beginning of year	2020-12-31	$4,899
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	$120,716
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$668,159
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$547,443
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	$663,604
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$542,544
Interest on participant loans	2020-12-31	$210
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	Yes
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	$13,299
Employer contributions (assets) at end of year	2020-12-31	$324
Employer contributions (assets) at beginning of year	2020-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$9,238
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	WARD, FISHER & COMPANY, LLP
Accountancy firm EIN	2020-12-31	050234540
2019 : LOCAL 1996-1 401(K) PLAN 2019 401k financial data
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 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	$148,858
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$13,102
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$4,300
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$70,581
Value of total assets at end of year	2019-12-31	$547,443
Value of total assets at beginning of year	2019-12-31	$411,687
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$8,802
Total interest from all sources	2019-12-31	$366
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$77,911
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$77,911
Was this plan covered by a fidelity bond	2019-12-31	Yes
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
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
Contributions received from participants	2019-12-31	$56,162
Assets. Loans (other than to participants) at end of year	2019-12-31	$4,899
Assets. Loans (other than to participants) at beginning of year	2019-12-31	$9,029
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	$135,756
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$547,443
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$411,687
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 leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$8,802
Value of interest in pooled separate accounts at end of year	2019-12-31	$542,544
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$402,276
Income. Interest from loans (other than to participants)	2019-12-31	$366
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$382
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$382
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
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	$14,419
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$4,300
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
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
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	WARD, FISHER & COMPANY, LLP
Accountancy firm EIN	2019-12-31	050234540
2018 : LOCAL 1996-1 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$56,862
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$5,964
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$5,964
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$67,005
Value of total assets at end of year	2018-12-31	$411,687
Value of total assets at beginning of year	2018-12-31	$360,789
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$0
Total interest from all sources	2018-12-31	$584
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$22,433
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$22,433
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$53,723
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$1,119
Assets. Loans (other than to participants) at end of year	2018-12-31	$9,029
Assets. Loans (other than to participants) at beginning of year	2018-12-31	$13,554
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$50,898
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$411,687
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$360,789
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$260,442
Value of interest in pooled separate accounts at end of year	2018-12-31	$402,276
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$0
Interest on participant loans	2018-12-31	$584
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$382
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$85,395
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$85,395
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-33,160
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$13,282
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$279
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$5,964
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	2018-12-31	Yes
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WARD, FISHER & COMPANY, LLP
Accountancy firm EIN	2018-12-31	050234540
2017 : LOCAL 1996-1 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$88,389
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$19,882
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$19,882
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$45,093
Value of total assets at end of year	2017-12-31	$360,789
Value of total assets at beginning of year	2017-12-31	$292,282
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$0
Total interest from all sources	2017-12-31	$456
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$13,578
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$13,578
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$36,333
Participant contributions at end of year	2017-12-31	$1,119
Participant contributions at beginning of year	2017-12-31	$606
Assets. Loans (other than to participants) at end of year	2017-12-31	$13,554
Assets. Loans (other than to participants) at beginning of year	2017-12-31	$1,039
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	$68,507
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$360,789
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$292,282
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	$260,442
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$203,032
Interest on participant loans	2017-12-31	$285
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$85,395
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$87,456
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$87,456
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$171
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$29,262
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	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$8,760
Employer contributions (assets) at end of year	2017-12-31	$279
Employer contributions (assets) at beginning of year	2017-12-31	$149
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$19,882
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	WARD, FISHER & COMPANY, LLP
Accountancy firm EIN	2017-12-31	050234540

Form 5500 Responses for LOCAL 1996-1 401(K) PLAN

2021: LOCAL 1996-1 401(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: LOCAL 1996-1 401(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: LOCAL 1996-1 401(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
2018: LOCAL 1996-1 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
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: LOCAL 1996-1 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP41556/FZ15

Policy instance

Insurance contract or identification number	GP41556/FZ15
Number of Individuals Covered	27
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $2,903
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
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?	No
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
Other information about contract	GROUP VAR ANNUITY W/GUAR FUND
Commission paid to Insurance Broker	USD $1,407
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	SALES AND BASE COMMISSIONS
Insurance broker organization code?	4

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP41556/FZ15

Policy instance

Insurance contract or identification number	GP41556/FZ15
Number of Individuals Covered	23
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $2,244
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
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?	No
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
Other information about contract	GROUP VAR ANNUITY W/GUAR FUND
Commission paid to Insurance Broker	USD $1,633
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	SALES AND BASE COMMISSIONS
Insurance broker organization code?	4

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP41556/FZ15

Policy instance

Insurance contract or identification number	GP41556/FZ15
Number of Individuals Covered	20
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $645
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
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?	No
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
Other information about contract	GROUP VAR ANNUITY W/GUAR FUND
Commission paid to Insurance Broker	USD $645
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	SALES AND BASE COMMISSIONS
Insurance broker organization code?	4

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Company Name:	NORTH ATLANTIC DISTRIBUTION, INC.
Employer identification number (EIN):	050411279
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services