401k Plan data: ROSEN PUBLISHING GROUP 401(K) PLAN plan

ROSEN PUBLISHING GROUP 401(K) PLAN 401k Plan overview

Plan Name	ROSEN PUBLISHING GROUP 401(K) PLAN
Plan identification number	001

ROSEN PUBLISHING GROUP 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ROSEN PUBLISHING GROUP INC. has sponsored the creation of one or more 401k plans.

Company Name: ROSEN PUBLISHING GROUP INC.

Employer identification number (EIN): 133129750

NAIC Classification: 511130
NAIC Description: Book Publishers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROSEN PUBLISHING GROUP 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
001 2020-01-01

Plan Statistics for ROSEN PUBLISHING GROUP 401(K) PLAN

401k plan membership statisitcs for ROSEN PUBLISHING GROUP 401(K) PLAN

Measure Date Value
2022: ROSEN PUBLISHING GROUP 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 136
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 71
Number of retired or separated participants receiving benefits 2022-01-01 2
Number of other retired or separated participants entitled to future benefits 2022-01-01 54
Total of all active and inactive participants 2022-01-01 127
Total participants 2022-01-01 127
Number of participants with account balances 2022-01-01 111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 1
2021: ROSEN PUBLISHING GROUP 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 142
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 74
Number of other retired or separated participants entitled to future benefits 2021-01-01 60
Total of all active and inactive participants 2021-01-01 134
Total participants 2021-01-01 134
Number of participants with account balances 2021-01-01 114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 3
2020: ROSEN PUBLISHING GROUP 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 178
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 73
Number of other retired or separated participants entitled to future benefits 2020-01-01 64
Total of all active and inactive participants 2020-01-01 137
Total participants 2020-01-01 137
Number of participants with account balances 2020-01-01 121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 8

Measure	Date	Value
2022: ROSEN PUBLISHING GROUP 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	136
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	71
Number of retired or separated participants receiving benefits	2022-01-01	2
Number of other retired or separated participants entitled to future benefits	2022-01-01	54
Total of all active and inactive participants	2022-01-01	127
Total participants	2022-01-01	127
Number of participants with account balances	2022-01-01	111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	1
2021: ROSEN PUBLISHING GROUP 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	142
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	74
Number of other retired or separated participants entitled to future benefits	2021-01-01	60
Total of all active and inactive participants	2021-01-01	134
Total participants	2021-01-01	134
Number of participants with account balances	2021-01-01	114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	3
2020: ROSEN PUBLISHING GROUP 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	178
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	73
Number of other retired or separated participants entitled to future benefits	2020-01-01	64
Total of all active and inactive participants	2020-01-01	137
Total participants	2020-01-01	137
Number of participants with account balances	2020-01-01	121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	8

Financial Data on ROSEN PUBLISHING GROUP 401(K) PLAN

Measure	Date	Value
2022 : ROSEN PUBLISHING GROUP 401(K) PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$-1,703,476
Total of all expenses incurred	2022-12-31	$264,672
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$205,154
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$363,274
Value of total assets at end of year	2022-12-31	$9,096,810
Value of total assets at beginning of year	2022-12-31	$11,064,958
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$59,518
Total interest from all sources	2022-12-31	$3,814
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Administrative expenses professional fees incurred	2022-12-31	$3,616
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	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$287,301
Participant contributions at end of year	2022-12-31	$78,394
Participant contributions at beginning of year	2022-12-31	$47,244
Total non interest bearing cash at end of year	2022-12-31	$6,288
Total non interest bearing cash at beginning of year	2022-12-31	$2,505
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	$-1,968,148
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$9,096,810
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$11,064,958
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
Investment advisory and management fees	2022-12-31	$28,067
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$9,001,113
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$11,004,167
Interest on participant loans	2022-12-31	$3,726
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$11,015
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$11,042
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$11,042
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$88
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-2,070,564
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$75,973
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$205,154
Contract administrator fees	2022-12-31	$27,835
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	FRSCPA, PLLC
Accountancy firm EIN	2022-12-31	592482214
2021 : ROSEN PUBLISHING GROUP 401(K) PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$1,841,894
Total of all expenses incurred	2021-12-31	$295,375
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$221,601
Value of total corrective distributions	2021-12-31	$7,346
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$357,483
Value of total assets at end of year	2021-12-31	$11,064,958
Value of total assets at beginning of year	2021-12-31	$9,518,439
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$66,428
Total interest from all sources	2021-12-31	$2,762
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Administrative expenses professional fees incurred	2021-12-31	$5,027
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$257,483
Participant contributions at end of year	2021-12-31	$47,244
Participant contributions at beginning of year	2021-12-31	$57,999
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$100,000
Total non interest bearing cash at end of year	2021-12-31	$2,505
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	$1,546,519
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$11,064,958
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$9,518,439
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
Investment advisory and management fees	2021-12-31	$30,949
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$11,004,167
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$9,447,695
Interest on participant loans	2021-12-31	$2,674
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$11,042
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$12,745
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$12,745
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$88
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$1,481,649
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$221,601
Contract administrator fees	2021-12-31	$30,452
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	FRSCPA, PLLC
Accountancy firm EIN	2021-12-31	592482214
2020 : ROSEN PUBLISHING GROUP 401(K) PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$1,823,755
Total of all expenses incurred	2020-12-31	$1,132,712
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,071,408
Value of total corrective distributions	2020-12-31	$4,865
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$278,416
Value of total assets at end of year	2020-12-31	$9,518,439
Value of total assets at beginning of year	2020-12-31	$8,827,396
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$56,439
Total interest from all sources	2020-12-31	$1,637
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Administrative expenses professional fees incurred	2020-12-31	$6,526
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$278,416
Participant contributions at end of year	2020-12-31	$57,999
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	$691,043
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$9,518,439
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$8,827,396
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
Investment advisory and management fees	2020-12-31	$25,172
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$9,447,695
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$8,796,708
Interest on participant loans	2020-12-31	$1,537
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$12,745
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$30,688
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$30,688
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$100
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$1,543,702
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,071,408
Contract administrator fees	2020-12-31	$24,741
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	FRSCPA, PLLC
Accountancy firm EIN	2020-12-31	592482214

Form 5500 Responses for ROSEN PUBLISHING GROUP 401(K) PLAN

2022: ROSEN PUBLISHING GROUP 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
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: ROSEN PUBLISHING GROUP 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
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: ROSEN PUBLISHING GROUP 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

82496

Policy instance

Insurance contract or identification number	82496
Number of Individuals Covered	113
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $3,616
Total amount of fees paid to insurance company	USD $4,802
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,616
Amount paid for insurance broker fees	4802
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

82496

Policy instance

Insurance contract or identification number	82496
Number of Individuals Covered	116
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $5,126
Total amount of fees paid to insurance company	USD $5,027
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,126
Amount paid for insurance broker fees	5027
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

82496

Policy instance

Insurance contract or identification number	82496
Number of Individuals Covered	122
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $4,187
Total amount of fees paid to insurance company	USD $6,526
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,187
Amount paid for insurance broker fees	6526
Insurance broker organization code?	5

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Company Name:	ROSEN PUBLISHING GROUP INC.
Employer identification number (EIN):	133129750
NAIC Classification:	511130
NAIC Description:	Book Publishers