401k Plan data: FOUR ROSES DISTILLERY LLC SAVINGS PLAN plan

FOUR ROSES DISTILLERY LLC SAVINGS PLAN 401k Plan overview

Plan Name	FOUR ROSES DISTILLERY LLC SAVINGS PLAN
Plan identification number	001

FOUR ROSES DISTILLERY LLC SAVINGS 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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)).
U.S.-based plan that covers residents of Puerto Rico and is qualified under both Code section 401 and section 1165 of the Puerto Rico Code.

401k Sponsoring company profile

FOUR ROSES DISTILLERY, LLC has sponsored the creation of one or more 401k plans.

Company Name: FOUR ROSES DISTILLERY, LLC

Employer identification number (EIN): 061636822

NAIC Classification: 312140
NAIC Description: Distilleries

Additional information about FOUR ROSES DISTILLERY, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3423314

More information about FOUR ROSES DISTILLERY, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FOUR ROSES DISTILLERY LLC SAVINGS 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
001 2020-01-01 CATHY J WELCH 2021-07-22
001 2019-01-01 CATHY J WELCH 2020-07-30 CATHY J WELCH 2020-07-30
001 2018-01-01 CATHY J WELCH 2019-06-17 CATHY J WELCH 2019-06-17
001 2017-01-01 CATHY J WELCH 2018-06-25 CATHY J WELCH 2018-06-25
001 2016-01-01 CATHY J WELCH 2017-07-24 CATHY J WELCH 2017-07-24
001 2015-01-01 CATHY J WELCH 2016-07-20 CATHY J WELCH 2016-07-20
001 2014-01-01 JOHN DUFFY 2015-07-22 JOHN DUFFY 2015-07-22
001 2013-01-01 JOHN DUFFY 2014-07-28 JOHN DUFFY 2014-07-28
001 2012-01-01 JOHN DUFFY 2013-07-10 JOHN DUFFY 2013-07-10
001 2011-01-01 JOHN DUFFY 2012-06-07
001 2010-01-01 JOHN DUFFY 2011-09-26 JOHN DUFFY 2011-09-26
001 2009-01-01 JEANETTE PFALZER
001 2009-01-01 JEANETTE PFALZER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01	CATHY J WELCH	2021-07-22
001	2019-01-01	CATHY J WELCH	2020-07-30	CATHY J WELCH	2020-07-30
001	2018-01-01	CATHY J WELCH	2019-06-17	CATHY J WELCH	2019-06-17
001	2017-01-01	CATHY J WELCH	2018-06-25	CATHY J WELCH	2018-06-25
001	2016-01-01	CATHY J WELCH	2017-07-24	CATHY J WELCH	2017-07-24
001	2015-01-01	CATHY J WELCH	2016-07-20	CATHY J WELCH	2016-07-20
001	2014-01-01	JOHN DUFFY	2015-07-22	JOHN DUFFY	2015-07-22
001	2013-01-01	JOHN DUFFY	2014-07-28	JOHN DUFFY	2014-07-28
001	2012-01-01	JOHN DUFFY	2013-07-10	JOHN DUFFY	2013-07-10
001	2011-01-01	JOHN DUFFY	2012-06-07
001	2010-01-01	JOHN DUFFY	2011-09-26	JOHN DUFFY	2011-09-26
001	2009-01-01	JEANETTE PFALZER
001	2009-01-01	JEANETTE PFALZER

Plan Statistics for FOUR ROSES DISTILLERY LLC SAVINGS PLAN

401k plan membership statisitcs for FOUR ROSES DISTILLERY LLC SAVINGS PLAN

Measure Date Value
2022: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 112
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 2
Total of all active and inactive participants 2022-01-01 114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 114
Number of participants with account balances 2022-01-01 113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 1
2021: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 106
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 20
Total of all active and inactive participants 2021-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 126
Number of participants with account balances 2021-01-01 126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 3
2009: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 69
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 69
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 70
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 70
Number of participants with account balances 2009-01-01 70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2022: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	112
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	2
Total of all active and inactive participants	2022-01-01	114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	114
Number of participants with account balances	2022-01-01	113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	1
2021: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	106
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	20
Total of all active and inactive participants	2021-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	126
Number of participants with account balances	2021-01-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	3
2009: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	69
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	69
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	70
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	70
Number of participants with account balances	2009-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on FOUR ROSES DISTILLERY LLC SAVINGS PLAN

Measure	Date	Value
2022 : FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-245,799
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$1,743,410
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$1,741,585
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$2,234,649
Value of total assets at end of year	2022-12-31	$15,624,832
Value of total assets at beginning of year	2022-12-31	$17,614,041
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$1,825
Total interest from all sources	2022-12-31	$7,779
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$32,834
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$32,834
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$821,010
Participant contributions at end of year	2022-12-31	$224,042
Participant contributions at beginning of year	2022-12-31	$218,288
Participant contributions at end of year	2022-12-31	$21,467
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$208,942
Total non interest bearing cash at end of year	2022-12-31	$15,166,022
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	$-1,989,209
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$15,624,832
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$17,614,041
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 registered invesment companies (eg mutual funds) at end of year	2022-12-31	$22,942
Value of interest in pooled separate accounts at end of year	2022-12-31	$112,184
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$15,464,501
Interest on participant loans	2022-12-31	$7,774
Interest earned on other investments	2022-12-31	$5
Value of interest in common/collective trusts at end of year	2022-12-31	$27,120
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$17,496
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$1,931,252
Expenses. Payments to insurance carriers foe the provision of benefits	2022-12-31	$7,954
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-2,521,066
Net investment gain/loss from pooled separate accounts	2022-12-31	$-18
Net investment gain or loss from common/collective trusts	2022-12-31	$23
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	Yes
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	$1,204,697
Employer contributions (assets) at end of year	2022-12-31	$33,559
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$1,733,631
Contract administrator fees	2022-12-31	$1,825
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	2022-12-31	Yes
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	MCM CPAS & ADVISORS, LLP
Accountancy firm EIN	2022-12-31	271235638
2021 : FOUR ROSES DISTILLERY LLC SAVINGS 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	$3,847,659
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$1,077,305
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,074,805
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,804,123
Value of total assets at end of year	2021-12-31	$17,614,041
Value of total assets at beginning of year	2021-12-31	$14,843,687
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$2,500
Total interest from all sources	2021-12-31	$30,428
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
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	$693,835
Participant contributions at end of year	2021-12-31	$218,288
Participant contributions at beginning of year	2021-12-31	$205,317
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$139,037
Administrative expenses (other) incurred	2021-12-31	$2,500
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	$2,770,354
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$17,614,041
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$14,843,687
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	$15,464,501
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$12,623,690
Interest on participant loans	2021-12-31	$8,127
Interest earned on other investments	2021-12-31	$22,301
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$1,931,252
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$2,014,680
Net investment gain/loss from pooled separate accounts	2021-12-31	$2,013,108
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	Yes
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	$971,251
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,074,805
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	MCM CPAS & ADVISORS LLP
Accountancy firm EIN	2021-12-31	271235638
2009 : FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for FOUR ROSES DISTILLERY LLC SAVINGS PLAN

2022: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	Yes
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: FOUR ROSES DISTILLERY LLC SAVINGS 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
2009: FOUR ROSES DISTILLERY LLC SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	114
Insurance policy start date	2022-12-15
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

728607

Policy instance

Insurance contract or identification number	728607
Number of Individuals Covered	114
Insurance policy start date	2022-12-15
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

040569

Policy instance

Insurance contract or identification number	040569
Number of Individuals Covered	126
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
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?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	FOUR ROSES DISTILLERY, LLC
Employer identification number (EIN):	061636822
NAIC Classification:	312140
NAIC Description:	Distilleries

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3423314