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

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

Plan Name	DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN
Plan identification number	002

DWS ASSOCIATES, INC. 401(K) 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

Company Name: DWS ASSOCIATES, INC.

Employer identification number (EIN): 112212904

NAIC Classification: 323100

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01 ANDREW STAIB 2024-04-09 ANDREW STAIB 2024-04-09
002 2022-01-01 ANDREW STAIB 2023-07-14 ANDREW STAIB 2023-07-14
002 2021-01-01 ANDREW STAIB 2022-07-12
002 2020-01-01 ANDREW STAIB 2021-07-23
002 2018-01-01 THOMAS STAIB 2019-07-22 THOMAS STAIB 2019-07-22
002 2017-01-01 THOMAS STAIB 2018-05-09
002 2016-01-01 THOMAS STAIB 2017-05-17
002 2015-01-01 THOMAS STAIB 2016-05-25
002 2014-01-01 THOMAS STAIB 2015-04-27
002 2013-01-01 THOMAS STAIB 2014-05-06
002 2012-01-01 THOMAS STAIB 2013-05-30 THOMAS STAIB 2013-05-30
002 2011-01-01 THOMAS STAIB 2013-05-30 THOMAS STAIB 2013-05-30
002 2009-01-01 CRAIG SMITH

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2023-01-01	ANDREW STAIB	2024-04-09	ANDREW STAIB	2024-04-09
002	2022-01-01	ANDREW STAIB	2023-07-14	ANDREW STAIB	2023-07-14
002	2021-01-01	ANDREW STAIB	2022-07-12
002	2020-01-01	ANDREW STAIB	2021-07-23
002	2018-01-01	THOMAS STAIB	2019-07-22	THOMAS STAIB	2019-07-22
002	2017-01-01	THOMAS STAIB	2018-05-09
002	2016-01-01	THOMAS STAIB	2017-05-17
002	2015-01-01	THOMAS STAIB	2016-05-25
002	2014-01-01	THOMAS STAIB	2015-04-27
002	2013-01-01	THOMAS STAIB	2014-05-06
002	2012-01-01	THOMAS STAIB	2013-05-30	THOMAS STAIB	2013-05-30
002	2011-01-01	THOMAS STAIB	2013-05-30	THOMAS STAIB	2013-05-30
002	2009-01-01	CRAIG SMITH

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

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

Measure Date Value
2025: DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2025 401k membership
Total number of particpants at beginning of year 2025-07-14 55
Total number of particpants at end of year 2025-07-14 53
Number of Participants With Account Balances 2025-07-14 33
2024: DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2024 401k membership
Total number of particpants at beginning of year 2024-04-09 54
Total number of particpants at end of year 2024-04-09 55
Number of Participants With Account Balances 2024-04-09 34
2009: DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 13
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 2
Total of all active and inactive participants 2009-01-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 15
Number of participants with account balances 2009-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2025: DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2025 401k membership
Total number of particpants at beginning of year	2025-07-14	55
Total number of particpants at end of year	2025-07-14	53
Number of Participants With Account Balances	2025-07-14	33
2024: DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2024 401k membership
Total number of particpants at beginning of year	2024-04-09	54
Total number of particpants at end of year	2024-04-09	55
Number of Participants With Account Balances	2024-04-09	34
2009: DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	13
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	2
Total of all active and inactive participants	2009-01-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	15
Number of participants with account balances	2009-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

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

Measure	Date	Value
2025 : DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2025 401k financial data
Total expenses incurred by plan in this plan year	2025-07-14	365140
Net assets as of the end of the plan year	2025-07-14	5247245
Total assets as of the beginning of the plan year	2025-07-14	4598474
Value of plan covered by a fidelity bond	2025-07-14	500000
Participant contributions to plan in this plan year	2025-07-14	263276
Value of participant loans at end of plan year	2025-07-14	171889
Other expenses paid from plan in this plan year	2025-07-14	0
Other income to plan in this plan year	2025-07-14	635737
Plan net income in this plan year	2025-07-14	648771
Net assets as of the end of the plan year	2025-07-14	5247245
Net assets as of the beginning of the plan year	2025-07-14	4598474
Employer contributions to plan in this plan year	2025-07-14	114898
Expensese paid to adminstrative service provicers from plan in this plan year	2025-07-14	27554
2024 : DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2024 401k financial data
Total expenses incurred by plan in this plan year	2024-04-09	129288
Net assets as of the end of the plan year	2024-04-09	4598474
Total assets as of the beginning of the plan year	2024-04-09	3879034
Value of plan covered by a fidelity bond	2024-04-09	500000
Participant contributions to plan in this plan year	2024-04-09	174633
Value of participant loans at end of plan year	2024-04-09	187466
Other expenses paid from plan in this plan year	2024-04-09	0
Other income to plan in this plan year	2024-04-09	674095
Plan net income in this plan year	2024-04-09	719440
Net assets as of the end of the plan year	2024-04-09	4598474
Net assets as of the beginning of the plan year	2024-04-09	3879034
Employer contributions to plan in this plan year	2024-04-09	0
Expensese paid to adminstrative service provicers from plan in this plan year	2024-04-09	28671
2010 : DWS ASSOCIATES, INC. 401(K) SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$218,516
Expenses. Total of all expenses incurred	2010-12-31	$49,398
Benefits paid (including direct rollovers)	2010-12-31	$48,749
Total plan assets at end of year	2010-12-31	$942,614
Total plan assets at beginning of year	2010-12-31	$773,496
Value of fidelity bond covering the plan	2010-12-31	$100,000
Total contributions received or receivable from participants	2010-12-31	$95,429
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$74,457
Net income (gross income less expenses)	2010-12-31	$169,118
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$942,614
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$773,496
Assets. Value of participant loans	2010-12-31	$6,147
Total contributions received or receivable from employer(s)	2010-12-31	$48,630
Value of certain deemed distributions of participant loans	2010-12-31	$349
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$300

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

2009: DWS ASSOCIATES, INC. 401(K) 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 – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )
Policy contract number	938445
Policy instance	1

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Company Name:	DWS ASSOCIATES, INC.
Employer identification number (EIN):	112212904
NAIC Classification:	323100