401k Plan data: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	003

J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.

401k Sponsoring company profile

J.E. SAWYER & CO. INC. has sponsored the creation of one or more 401k plans.

Company Name: J.E. SAWYER & CO. INC.

Employer identification number (EIN): 141037180

NAIC Classification: 423700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 FRED TWISS
003 2015-01-01 FRED TWISS
003 2014-01-01 FRED TWISS
003 2013-01-01 FRED TWISS
003 2012-01-01 FRED TWISS
003 2011-01-01 FRED TWISS
003 2010-01-01 FRED TWISS
003 2009-01-01 FRED TWISS

Plan id#	Filing Submission Date	Name of Administrator
003	2016-01-01	FRED TWISS
003	2015-01-01	FRED TWISS
003	2014-01-01	FRED TWISS
003	2013-01-01	FRED TWISS
003	2012-01-01	FRED TWISS
003	2011-01-01	FRED TWISS
003	2010-01-01	FRED TWISS
003	2009-01-01	FRED TWISS

Plan Statistics for J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2016: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 21
Number of retired or separated participants receiving benefits 2015-01-01 2
Number of other retired or separated participants entitled to future benefits 2015-01-01 1
Total of all active and inactive participants 2015-01-01 24
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 24
Number of participants with account balances 2015-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 24
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 4
Total of all active and inactive participants 2014-01-01 29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 29
Number of participants with account balances 2014-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 26
Number of retired or separated participants receiving benefits 2013-01-01 2
Number of other retired or separated participants entitled to future benefits 2013-01-01 1
Total of all active and inactive participants 2013-01-01 29
Total participants 2013-01-01 29
Number of participants with account balances 2013-01-01 22
2012: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 27
Number of retired or separated participants receiving benefits 2012-01-01 4
Number of other retired or separated participants entitled to future benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 33
Total participants 2012-01-01 33
Number of participants with account balances 2012-01-01 25
2011: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 26
Number of retired or separated participants receiving benefits 2011-01-01 3
Number of other retired or separated participants entitled to future benefits 2011-01-01 12
Total of all active and inactive participants 2011-01-01 41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 41
Number of participants with account balances 2011-01-01 36
2010: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 23
Number of other retired or separated participants entitled to future benefits 2010-01-01 16
Total of all active and inactive participants 2010-01-01 39
Total participants 2010-01-01 39
Number of participants with account balances 2010-01-01 38
2009: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 38
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 27
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 4
Total of all active and inactive participants 2009-01-01 31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 31
Number of participants with account balances 2009-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2016: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	21
Number of retired or separated participants receiving benefits	2015-01-01	2
Number of other retired or separated participants entitled to future benefits	2015-01-01	1
Total of all active and inactive participants	2015-01-01	24
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	24
Number of participants with account balances	2015-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	24
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	4
Total of all active and inactive participants	2014-01-01	29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	29
Number of participants with account balances	2014-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	26
Number of retired or separated participants receiving benefits	2013-01-01	2
Number of other retired or separated participants entitled to future benefits	2013-01-01	1
Total of all active and inactive participants	2013-01-01	29
Total participants	2013-01-01	29
Number of participants with account balances	2013-01-01	22
2012: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	27
Number of retired or separated participants receiving benefits	2012-01-01	4
Number of other retired or separated participants entitled to future benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	33
Total participants	2012-01-01	33
Number of participants with account balances	2012-01-01	25
2011: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	26
Number of retired or separated participants receiving benefits	2011-01-01	3
Number of other retired or separated participants entitled to future benefits	2011-01-01	12
Total of all active and inactive participants	2011-01-01	41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	41
Number of participants with account balances	2011-01-01	36
2010: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	23
Number of other retired or separated participants entitled to future benefits	2010-01-01	16
Total of all active and inactive participants	2010-01-01	39
Total participants	2010-01-01	39
Number of participants with account balances	2010-01-01	38
2009: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	38
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	27
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	4
Total of all active and inactive participants	2009-01-01	31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	31
Number of participants with account balances	2009-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2016 : J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Total income from all sources	2016-10-14	$48,184
Expenses. Total of all expenses incurred	2016-10-14	$478,311
Benefits paid (including direct rollovers)	2016-10-14	$478,311
Total plan assets at end of year	2016-10-14	$0
Total plan assets at beginning of year	2016-10-14	$430,127
Value of fidelity bond covering the plan	2016-10-14	$250,000
Other income received	2016-10-14	$48,184
Net income (gross income less expenses)	2016-10-14	$-430,127
Net plan assets at end of year (total assets less liabilities)	2016-10-14	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-10-14	$430,127
Assets. Value of employer securities	2016-10-14	$0
2015 : J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$94,323
Expenses. Total of all expenses incurred	2015-12-31	$50,609
Benefits paid (including direct rollovers)	2015-12-31	$50,609
Total plan assets at end of year	2015-12-31	$430,127
Total plan assets at beginning of year	2015-12-31	$386,413
Value of fidelity bond covering the plan	2015-12-31	$250,000
Other income received	2015-12-31	$94,323
Net income (gross income less expenses)	2015-12-31	$43,714
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$430,127
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$386,413
Assets. Value of employer securities	2015-12-31	$430,127
2014 : J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$-173,023
Expenses. Total of all expenses incurred	2014-12-31	$79,114
Benefits paid (including direct rollovers)	2014-12-31	$79,114
Total plan assets at end of year	2014-12-31	$386,413
Total plan assets at beginning of year	2014-12-31	$638,550
Value of fidelity bond covering the plan	2014-12-31	$250,000
Other income received	2014-12-31	$-173,023
Net income (gross income less expenses)	2014-12-31	$-252,137
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$386,413
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$638,550
Assets. Value of employer securities	2014-12-31	$386,413
2013 : J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$-64,070
Expenses. Total of all expenses incurred	2013-12-31	$67,641
Benefits paid (including direct rollovers)	2013-12-31	$67,641
Total plan assets at end of year	2013-12-31	$638,550
Total plan assets at beginning of year	2013-12-31	$770,261
Value of fidelity bond covering the plan	2013-12-31	$250,000
Other income received	2013-12-31	$-64,070
Net income (gross income less expenses)	2013-12-31	$-131,711
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$638,550
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$770,261
Assets. Value of employer securities	2013-12-31	$638,010
2012 : J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$-7,007
Expenses. Total of all expenses incurred	2012-12-31	$137,018
Benefits paid (including direct rollovers)	2012-12-31	$137,018
Total plan assets at end of year	2012-12-31	$770,261
Total plan assets at beginning of year	2012-12-31	$914,286
Value of fidelity bond covering the plan	2012-12-31	$250,000
Other income received	2012-12-31	$-7,007
Net income (gross income less expenses)	2012-12-31	$-144,025
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$770,261
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$914,286
Assets. Value of employer securities	2012-12-31	$769,721
2011 : J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$11,160
Expenses. Total of all expenses incurred	2011-12-31	$49,508
Benefits paid (including direct rollovers)	2011-12-31	$49,508
Total plan assets at end of year	2011-12-31	$914,286
Total plan assets at beginning of year	2011-12-31	$952,634
Value of fidelity bond covering the plan	2011-12-31	$250,000
Other income received	2011-12-31	$11,160
Net income (gross income less expenses)	2011-12-31	$-38,348
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$914,286
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$952,634
Assets. Value of employer securities	2011-12-31	$913,746
Total contributions received or receivable from employer(s)	2011-12-31	$0
2010 : J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$23,081
Expenses. Total of all expenses incurred	2010-12-31	$98,982
Benefits paid (including direct rollovers)	2010-12-31	$98,982
Total plan assets at end of year	2010-12-31	$952,634
Total plan assets at beginning of year	2010-12-31	$1,028,535
Value of fidelity bond covering the plan	2010-12-31	$250,000
Other income received	2010-12-31	$-16,919
Net income (gross income less expenses)	2010-12-31	$-75,901
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$952,634
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,028,535
Assets. Value of employer securities	2010-12-31	$952,094
Total contributions received or receivable from employer(s)	2010-12-31	$40,000

Form 5500 Responses for J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

2016: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: J.E. SAWYER & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	J.E. SAWYER & CO. INC.
Employer identification number (EIN):	141037180
NAIC Classification:	423700