401k Plan data: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN plan

PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 401k Plan overview

Plan Name	PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN
Plan identification number	003

PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

PHILLIPS LYTLE LLP has sponsored the creation of one or more 401k plans.

Company Name: PHILLIPS LYTLE LLP

Employer identification number (EIN): 160505790

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Additional information about PHILLIPS LYTLE LLP

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1997-07-24

Company Identification Number: 2165173

Legal Registered Office Address: ONE CANALSIDE, 125 MAIN ST

BUFFALO
United States of America (USA)
14203

More information about PHILLIPS LYTLE LLP

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2022-01-01 KENNETH GROSSBERG 2023-10-11
003 2021-01-01 DAVID H. KERNAN 2022-10-12 DAVID H. KERNAN 2022-10-12
003 2020-01-01 DAVID H. KERNAN 2021-10-14 DAVID H. KERNAN 2021-10-14
003 2019-01-01 DAVID H. KERNAN 2020-09-23 DAVID H. KERNAN 2020-09-23
003 2018-01-01 DAVID KERNAN 2019-10-11 DAVID KERNAN 2019-10-11
003 2017-01-01 DAVID KERNAN 2018-10-11 DAVID KERNAN 2018-10-11
003 2016-01-01 DAVID H. KERNAN 2017-10-10 DAVID H. KERNAN 2017-10-10
003 2015-01-01 DAVID H. KERNAN 2016-10-11 DAVID H. KERNAN 2016-10-11
003 2014-01-01 DAVID H. KERNAN 2015-10-14 DAVID H. KERNAN 2015-10-14
003 2013-01-01 DAVID H. KERNAN 2014-10-13 DAVID H. KERNAN 2014-10-13
003 2012-01-01 DAVID H. KERNAN 2013-10-10 DAVID H. KERNAN 2013-10-10
003 2011-01-01 DAVID H. KERNAN
003 2010-01-01 DAVID H. KERNAN, PARTNER DAVID H. KERNAN, PARTNER 2011-10-12
003 2009-01-01 DAVID H. KERNAN DAVID H. KERNAN 2010-10-13

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2022-01-01	KENNETH GROSSBERG	2023-10-11
003	2021-01-01	DAVID H. KERNAN	2022-10-12	DAVID H. KERNAN	2022-10-12
003	2020-01-01	DAVID H. KERNAN	2021-10-14	DAVID H. KERNAN	2021-10-14
003	2019-01-01	DAVID H. KERNAN	2020-09-23	DAVID H. KERNAN	2020-09-23
003	2018-01-01	DAVID KERNAN	2019-10-11	DAVID KERNAN	2019-10-11
003	2017-01-01	DAVID KERNAN	2018-10-11	DAVID KERNAN	2018-10-11
003	2016-01-01	DAVID H. KERNAN	2017-10-10	DAVID H. KERNAN	2017-10-10
003	2015-01-01	DAVID H. KERNAN	2016-10-11	DAVID H. KERNAN	2016-10-11
003	2014-01-01	DAVID H. KERNAN	2015-10-14	DAVID H. KERNAN	2015-10-14
003	2013-01-01	DAVID H. KERNAN	2014-10-13	DAVID H. KERNAN	2014-10-13
003	2012-01-01	DAVID H. KERNAN	2013-10-10	DAVID H. KERNAN	2013-10-10
003	2011-01-01	DAVID H. KERNAN
003	2010-01-01	DAVID H. KERNAN, PARTNER		DAVID H. KERNAN, PARTNER	2011-10-12
003	2009-01-01	DAVID H. KERNAN		DAVID H. KERNAN	2010-10-13

Plan Statistics for PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN

401k plan membership statisitcs for PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN

Measure Date Value
2011: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 67
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 47
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 20
Total of all active and inactive participants 2011-01-01 67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 67
Number of participants with account balances 2011-01-01 67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 58
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 50
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 17
Total of all active and inactive participants 2010-01-01 67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 67
Number of participants with account balances 2010-01-01 67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 52
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 42
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 16
Total of all active and inactive participants 2009-01-01 58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 58
Number of participants with account balances 2009-01-01 58

Measure	Date	Value
2011: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	67
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	47
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	20
Total of all active and inactive participants	2011-01-01	67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	67
Number of participants with account balances	2011-01-01	67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	58
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	50
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	17
Total of all active and inactive participants	2010-01-01	67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	67
Number of participants with account balances	2010-01-01	67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	52
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	42
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	16
Total of all active and inactive participants	2009-01-01	58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	58
Number of participants with account balances	2009-01-01	58

Financial Data on PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN

Measure	Date	Value
2011 : PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total income from all sources	2011-12-31	$340,962
Expenses. Total of all expenses incurred	2011-12-31	$121,465
Benefits paid (including direct rollovers)	2011-12-31	$121,415
Total plan assets at end of year	2011-12-31	$2,657,347
Total plan assets at beginning of year	2011-12-31	$2,437,850
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$364,535
Other income received	2011-12-31	$-102,254
Net income (gross income less expenses)	2011-12-31	$219,497
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,657,347
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,437,850
Assets. Value of participant loans	2011-12-31	$13,012
Total contributions received or receivable from employer(s)	2011-12-31	$78,681
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$50
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$776,539
Expenses. Total of all expenses incurred	2010-12-31	$486,656
Benefits paid (including direct rollovers)	2010-12-31	$486,595
Total plan assets at end of year	2010-12-31	$2,437,850
Total plan assets at beginning of year	2010-12-31	$2,147,967
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$395,713
Expenses. Other expenses not covered elsewhere	2010-12-31	$61
Contributions received from other sources (not participants or employers)	2010-12-31	$22,028
Other income received	2010-12-31	$281,928
Net income (gross income less expenses)	2010-12-31	$289,883
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,437,850
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,147,967
Assets. Value of participant loans	2010-12-31	$38,220
Total contributions received or receivable from employer(s)	2010-12-31	$76,870
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN

2011: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: PHILLIPS LYTLE LLP ASSOCIATE RETIREMENT PLAN 401K 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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

GA-040147

Policy instance

Insurance contract or identification number	GA-040147
Number of Individuals Covered	67
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
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?	No
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

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

Policy contract number

GA-040147

Policy instance

Insurance contract or identification number	GA-040147
Number of Individuals Covered	67
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
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?	No
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

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Company Name:	PHILLIPS LYTLE LLP
Employer identification number (EIN):	160505790
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1997-07-24
Company Identification Number:	2165173
Legal Registered Office Address:	ONE CANALSIDE, 125 MAIN ST BUFFALO United States of America (USA) 14203