401k Plan data: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN plan

SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 401k Plan overview

Plan Name	SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN
Plan identification number	001

SANDBERG KESSLER ARCHITECTURE, P.C. 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.
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

SANDBERG KESSLER ARCHITECTURE, P.C. has sponsored the creation of one or more 401k plans.

Company Name: SANDBERG KESSLER ARCHITECTURE, P.C.

Employer identification number (EIN): 161385033

NAIC Classification: 541310
NAIC Description: Architectural Services

Additional information about SANDBERG KESSLER ARCHITECTURE, P.C.

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1990-10-22

Company Identification Number: 1483236

Legal Registered Office Address: 500 EAST SIXTH STREET

JAMESTOWN
United States of America (USA)
14701

More information about SANDBERG KESSLER ARCHITECTURE, P.C.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 STEVEN SANDBERG STEVEN SANDBERG 2018-08-31
001 2015-01-01 STEVEN SANDBERG STEVEN SANDBERG 2016-03-07
001 2014-01-01 STEVEN SANDBERG 2015-05-04 STEVEN SANDBERG 2015-05-04
001 2013-01-01 SUSAN WILCOX 2014-03-12 SUSAN WILCOX 2014-03-12
001 2012-01-01 SUSAN WILCOX SUSAN WILCOX 2013-02-14
001 2010-01-01 STEVEN A SANDBERG 2011-02-14 STEVEN A SANDBERG 2011-02-14

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01	STEVEN SANDBERG		STEVEN SANDBERG	2018-08-31
001	2015-01-01	STEVEN SANDBERG		STEVEN SANDBERG	2016-03-07
001	2014-01-01	STEVEN SANDBERG	2015-05-04	STEVEN SANDBERG	2015-05-04
001	2013-01-01	SUSAN WILCOX	2014-03-12	SUSAN WILCOX	2014-03-12
001	2012-01-01	SUSAN WILCOX		SUSAN WILCOX	2013-02-14
001	2010-01-01	STEVEN A SANDBERG	2011-02-14	STEVEN A SANDBERG	2011-02-14

Plan Statistics for SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN

401k plan membership statisitcs for SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN

Measure Date Value
2016: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 11
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: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 7
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 4
Total of all active and inactive participants 2015-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 11
Number of participants with account balances 2015-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2012: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 15
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 16
Number of participants with account balances 2012-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2016: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	11
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: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	7
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	4
Total of all active and inactive participants	2015-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	11
Number of participants with account balances	2015-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2012: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	15
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	16
Number of participants with account balances	2012-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN

Measure	Date	Value
2016 : SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$75,698
Expenses. Total of all expenses incurred	2016-12-31	$1,158,634
Benefits paid (including direct rollovers)	2016-12-31	$1,143,679
Total plan assets at end of year	2016-12-31	$0
Total plan assets at beginning of year	2016-12-31	$1,082,936
Value of fidelity bond covering the plan	2016-12-31	$250,000
Total contributions received or receivable from participants	2016-12-31	$16,290
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$55,146
Net income (gross income less expenses)	2016-12-31	$-1,082,936
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$1,082,936
Total contributions received or receivable from employer(s)	2016-12-31	$4,262
Value of certain deemed distributions of participant loans	2016-12-31	$13,630
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$1,325
2015 : SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$22,069
Expenses. Total of all expenses incurred	2015-12-31	$160,416
Benefits paid (including direct rollovers)	2015-12-31	$159,041
Total plan assets at end of year	2015-12-31	$1,082,936
Total plan assets at beginning of year	2015-12-31	$1,221,283
Value of fidelity bond covering the plan	2015-12-31	$250,000
Total contributions received or receivable from participants	2015-12-31	$28,064
Expenses. Other expenses not covered elsewhere	2015-12-31	$1,303
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$-15,070
Net income (gross income less expenses)	2015-12-31	$-138,347
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,082,936
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,221,283
Assets. Value of participant loans	2015-12-31	$15,973
Total contributions received or receivable from employer(s)	2015-12-31	$9,075
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$72
2012 : SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$190,120
Expenses. Total of all expenses incurred	2012-12-31	$521
Total plan assets at end of year	2012-12-31	$1,093,625
Total plan assets at beginning of year	2012-12-31	$904,026
Value of fidelity bond covering the plan	2012-12-31	$250,000
Total contributions received or receivable from participants	2012-12-31	$55,276
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$112,292
Net income (gross income less expenses)	2012-12-31	$189,599
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,093,625
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$904,026
Total contributions received or receivable from employer(s)	2012-12-31	$22,552
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$521

Form 5500 Responses for SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN

2016: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
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)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2012: SANDBERG KESSLER ARCHITECTURE, P.C. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	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

807989

Policy instance

Insurance contract or identification number	807989
Number of Individuals Covered	7
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $97
Total amount of fees paid to insurance company	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $97
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	UBS FINANCIAL SERVICES INC

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

Policy contract number

81070

Policy instance

Insurance contract or identification number	81070
Number of Individuals Covered	0
Insurance policy start date	2012-01-01
Insurance policy end date	2012-07-16
Total amount of commissions paid to insurance broker	USD $937
Total amount of fees paid to insurance company	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $937
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	UBS FINANCIAL SERVICES IN AGENCY

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Company Name:	SANDBERG KESSLER ARCHITECTURE, P.C.
Employer identification number (EIN):	161385033
NAIC Classification:	541310
NAIC Description:	Architectural Services

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1990-10-22
Company Identification Number:	1483236
Legal Registered Office Address:	500 EAST SIXTH STREET JAMESTOWN United States of America (USA) 14701