401k Plan data: HEADWATER COMPANIES LLC 401(K) PLAN plan

HEADWATER COMPANIES LLC 401(K) PLAN 401k Plan overview

Plan Name	HEADWATER COMPANIES LLC 401(K) PLAN
Plan identification number	001

HEADWATER COMPANIES LLC 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
Life insurance

401k Sponsoring company profile

HEADWATER COMPANIES, LLC has sponsored the creation of one or more 401k plans.

Company Name: HEADWATER COMPANIES, LLC

Employer identification number (EIN): 200319914

NAIC Classification: 335900

Additional information about HEADWATER COMPANIES, LLC

Jurisdiction of Incorporation: Indiana Secretary of State

Incorporation Date:

Company Identification Number: 611041165727

More information about HEADWATER COMPANIES, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HEADWATER COMPANIES LLC 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 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01

Plan Statistics for HEADWATER COMPANIES LLC 401(K) PLAN

401k plan membership statisitcs for HEADWATER COMPANIES LLC 401(K) PLAN

Measure Date Value
2022: HEADWATER COMPANIES LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 1,065
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 903
Number of retired or separated participants receiving benefits 2022-01-01 2
Number of other retired or separated participants entitled to future benefits 2022-01-01 159
Total of all active and inactive participants 2022-01-01 1,064
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 1
Total participants 2022-01-01 1,065
Number of participants with account balances 2022-01-01 1,018
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 1
2021: HEADWATER COMPANIES LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 801
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 765
Number of retired or separated participants receiving benefits 2021-01-01 3
Number of other retired or separated participants entitled to future benefits 2021-01-01 69
Total of all active and inactive participants 2021-01-01 837
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 1
Total participants 2021-01-01 838
Number of participants with account balances 2021-01-01 752
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 2
2020: HEADWATER COMPANIES LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 621
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 592
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 78
Total of all active and inactive participants 2020-01-01 670
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 4
Total participants 2020-01-01 674
Number of participants with account balances 2020-01-01 621
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: HEADWATER COMPANIES LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 564
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 478
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 50
Total of all active and inactive participants 2019-01-01 528
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 2
Total participants 2019-01-01 530
Number of participants with account balances 2019-01-01 493
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: HEADWATER COMPANIES LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 514
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 522
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 39
Total of all active and inactive participants 2018-01-01 561
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 2
Total participants 2018-01-01 563
Number of participants with account balances 2018-01-01 479
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1

Measure	Date	Value
2022: HEADWATER COMPANIES LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	1,065
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	903
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	159
Total of all active and inactive participants	2022-01-01	1,064
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	1
Total participants	2022-01-01	1,065
Number of participants with account balances	2022-01-01	1,018
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	1
2021: HEADWATER COMPANIES LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	801
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	765
Number of retired or separated participants receiving benefits	2021-01-01	3
Number of other retired or separated participants entitled to future benefits	2021-01-01	69
Total of all active and inactive participants	2021-01-01	837
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	1
Total participants	2021-01-01	838
Number of participants with account balances	2021-01-01	752
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	2
2020: HEADWATER COMPANIES LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	621
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	592
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	78
Total of all active and inactive participants	2020-01-01	670
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	4
Total participants	2020-01-01	674
Number of participants with account balances	2020-01-01	621
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: HEADWATER COMPANIES LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	564
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	478
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	50
Total of all active and inactive participants	2019-01-01	528
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	2
Total participants	2019-01-01	530
Number of participants with account balances	2019-01-01	493
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: HEADWATER COMPANIES LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	514
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	522
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	39
Total of all active and inactive participants	2018-01-01	561
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	2
Total participants	2018-01-01	563
Number of participants with account balances	2018-01-01	479
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1

Financial Data on HEADWATER COMPANIES LLC 401(K) PLAN

Measure	Date	Value
2022 : HEADWATER COMPANIES LLC 401(K) PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2022-12-31	$-129,942
Total unrealized appreciation/depreciation of assets	2022-12-31	$-129,942
Total transfer of assets to this plan	2022-12-31	$11,132,993
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-1,459,559
Total loss/gain on sale of assets	2022-12-31	$-7,412
Total of all expenses incurred	2022-12-31	$5,130,022
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$4,968,549
Expenses. Certain deemed distributions of participant loans	2022-12-31	$-1,047
Value of total corrective distributions	2022-12-31	$29,563
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$6,302,514
Value of total assets at end of year	2022-12-31	$44,191,812
Value of total assets at beginning of year	2022-12-31	$39,648,400
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$132,957
Total interest from all sources	2022-12-31	$24,495
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$91,059
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$82,844
Administrative expenses professional fees incurred	2022-12-31	$19,551
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$10,000,000
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	$3,417,987
Participant contributions at end of year	2022-12-31	$486,895
Participant contributions at beginning of year	2022-12-31	$443,100
Participant contributions at end of year	2022-12-31	$223,211
Participant contributions at beginning of year	2022-12-31	$88,300
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$757,081
Administrative expenses (other) incurred	2022-12-31	$4,420
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	$-6,589,581
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$44,191,812
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$39,648,400
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	$11,253
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$5,445,983
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$6,855,200
Interest on participant loans	2022-12-31	$24,130
Interest earned on other investments	2022-12-31	$365
Value of interest in common/collective trusts at end of year	2022-12-31	$34,937,523
Value of interest in common/collective trusts at beginning of year	2022-12-31	$30,054,300
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$15,338
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$16,500
Expenses. Payments to insurance carriers foe the provision of benefits	2022-12-31	$2,388
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-1,887,211
Net investment gain or loss from common/collective trusts	2022-12-31	$-5,853,062
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	Yes
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Assets. Invements in employer securities at end of year	2022-12-31	$955,416
Assets. Invements in employer securities at beginning of year	2022-12-31	$886,000
Contributions received in cash from employer	2022-12-31	$2,127,446
Employer contributions (assets) at end of year	2022-12-31	$2,127,446
Employer contributions (assets) at beginning of year	2022-12-31	$1,305,000
Income. Dividends from common stock	2022-12-31	$8,215
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$4,966,161
Contract administrator fees	2022-12-31	$97,733
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
Aggregate proceeds on sale of assets	2022-12-31	$57,649
Aggregate carrying amount (costs) on sale of assets	2022-12-31	$65,061
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	GEORGE JOHNSON & COMPANY
Accountancy firm EIN	2022-12-31	270475249
2021 : HEADWATER COMPANIES LLC 401(K) PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2021-12-31	$101,410
Total unrealized appreciation/depreciation of assets	2021-12-31	$101,410
Total transfer of assets to this plan	2021-12-31	$2,915,400
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$7,993,600
Total loss/gain on sale of assets	2021-12-31	$19,133
Total of all expenses incurred	2021-12-31	$3,584,200
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$3,401,412
Value of total corrective distributions	2021-12-31	$64,988
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$3,695,800
Value of total assets at end of year	2021-12-31	$39,648,400
Value of total assets at beginning of year	2021-12-31	$32,323,600
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$117,800
Total interest from all sources	2021-12-31	$27,600
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$43,400
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$37,400
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$2,234,800
Participant contributions at end of year	2021-12-31	$443,100
Participant contributions at beginning of year	2021-12-31	$550,400
Participant contributions at end of year	2021-12-31	$88,300
Participant contributions at beginning of year	2021-12-31	$56,700
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$156,000
Other income not declared elsewhere	2021-12-31	$1,900
Administrative expenses (other) incurred	2021-12-31	$34,900
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	$4,409,400
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$39,648,400
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$32,323,600
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	$38,400
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$6,855,200
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$26,416,300
Interest on participant loans	2021-12-31	$27,600
Value of interest in common/collective trusts at end of year	2021-12-31	$30,054,300
Value of interest in common/collective trusts at beginning of year	2021-12-31	$4,407,400
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$16,500
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$36,900
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$2,513,262
Net investment gain or loss from common/collective trusts	2021-12-31	$1,591,095
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	Yes
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Assets. Invements in employer securities at end of year	2021-12-31	$886,000
Contributions received in cash from employer	2021-12-31	$1,305,000
Employer contributions (assets) at end of year	2021-12-31	$1,305,000
Employer contributions (assets) at beginning of year	2021-12-31	$307,900
Income. Dividends from common stock	2021-12-31	$6,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$3,401,412
Contract administrator fees	2021-12-31	$44,500
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2021-12-31	Yes
Assets. Corporate common stocks other than exployer securities at beginning of year	2021-12-31	$548,000
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
Aggregate proceeds on sale of assets	2021-12-31	$19,133
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	BDO USA, LLP
Accountancy firm EIN	2021-12-31	135381590
2020 : HEADWATER COMPANIES LLC 401(K) PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$88,393
Total unrealized appreciation/depreciation of assets	2020-12-31	$88,393
Total transfer of assets to this plan	2020-12-31	$15,590,800
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$7,140,100
Total loss/gain on sale of assets	2020-12-31	$-1,587
Total of all expenses incurred	2020-12-31	$2,087,400
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,868,500
Expenses. Certain deemed distributions of participant loans	2020-12-31	$21,600
Value of total corrective distributions	2020-12-31	$101,400
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$2,634,800
Value of total assets at end of year	2020-12-31	$32,323,600
Value of total assets at beginning of year	2020-12-31	$11,680,100
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$95,900
Total interest from all sources	2020-12-31	$32,600
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$363,900
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$363,900
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,838,400
Participant contributions at end of year	2020-12-31	$550,400
Participant contributions at beginning of year	2020-12-31	$373,800
Participant contributions at end of year	2020-12-31	$56,700
Participant contributions at beginning of year	2020-12-31	$35,200
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$445,500
Other income not declared elsewhere	2020-12-31	$9,600
Administrative expenses (other) incurred	2020-12-31	$95,900
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	$5,052,700
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$32,323,600
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$11,680,100
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$26,416,300
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$9,440,700
Interest on participant loans	2020-12-31	$31,600
Interest earned on other investments	2020-12-31	$1,000
Value of interest in common/collective trusts at end of year	2020-12-31	$4,407,400
Value of interest in common/collective trusts at beginning of year	2020-12-31	$1,747,500
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$36,900
Expenses. Payments to insurance carriers foe the provision of benefits	2020-12-31	$3,600
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$3,637,533
Net investment gain or loss from common/collective trusts	2020-12-31	$374,861
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
Contributions received in cash from employer	2020-12-31	$350,900
Employer contributions (assets) at end of year	2020-12-31	$307,900
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,864,900
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2020-12-31	$548,000
Assets. Corporate common stocks other than exployer securities at beginning of year	2020-12-31	$82,900
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
Aggregate proceeds on sale of assets	2020-12-31	$13,240
Aggregate carrying amount (costs) on sale of assets	2020-12-31	$14,827
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	BDO USA LLP
Accountancy firm EIN	2020-12-31	135381590
2019 : HEADWATER COMPANIES LLC 401(K) PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$16,200
Total unrealized appreciation/depreciation of assets	2019-12-31	$16,200
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$3,921,300
Total loss/gain on sale of assets	2019-12-31	$418,500
Total of all expenses incurred	2019-12-31	$1,025,500
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$894,200
Expenses. Certain deemed distributions of participant loans	2019-12-31	$37,300
Value of total corrective distributions	2019-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,790,200
Value of total assets at end of year	2019-12-31	$11,680,100
Value of total assets at beginning of year	2019-12-31	$8,784,300
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$94,000
Total interest from all sources	2019-12-31	$18,800
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$163,000
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,479,800
Participant contributions at end of year	2019-12-31	$373,800
Participant contributions at beginning of year	2019-12-31	$323,900
Participant contributions at end of year	2019-12-31	$35,200
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$310,400
Other income not declared elsewhere	2019-12-31	$2,600
Administrative expenses (other) incurred	2019-12-31	$94,000
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$2,895,800
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$11,680,100
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$8,784,300
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$9,440,700
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$6,683,400
Interest on participant loans	2019-12-31	$18,000
Interest earned on other investments	2019-12-31	$800
Value of interest in common/collective trusts at end of year	2019-12-31	$1,747,500
Value of interest in common/collective trusts at beginning of year	2019-12-31	$1,734,700
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,228,100
Net investment gain or loss from common/collective trusts	2019-12-31	$283,900
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Income. Dividends from common stock	2019-12-31	$163,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$894,200
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2019-12-31	$82,900
Assets. Corporate common stocks other than exployer securities at beginning of year	2019-12-31	$42,300
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Aggregate proceeds on sale of assets	2019-12-31	$1,976,600
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$1,558,100
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	CROWE LLP
Accountancy firm EIN	2019-12-31	350921680
2018 : HEADWATER COMPANIES LLC 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$-2,643
Total unrealized appreciation/depreciation of assets	2018-12-31	$-2,643
Total transfer of assets to this plan	2018-12-31	$9,456,200
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$1,052,000
Total loss/gain on sale of assets	2018-12-31	$389
Total of all expenses incurred	2018-12-31	$1,723,900
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,641,092
Value of total corrective distributions	2018-12-31	$33,708
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,549,000
Value of total assets at end of year	2018-12-31	$8,784,300
Value of total assets at beginning of year	2018-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$49,100
Total interest from all sources	2018-12-31	$14,740
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$111,208
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$111,208
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,354,700
Participant contributions at end of year	2018-12-31	$323,900
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$194,300
Other income not declared elsewhere	2018-12-31	$138
Administrative expenses (other) incurred	2018-12-31	$49,100
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-671,900
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$8,784,300
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$6,683,400
Interest on participant loans	2018-12-31	$14,740
Value of interest in common/collective trusts at end of year	2018-12-31	$1,734,700
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-540,481
Net investment gain or loss from common/collective trusts	2018-12-31	$-80,351
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,641,092
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2018-12-31	$42,300
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$4,855
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$4,466
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	CROWE LLP
Accountancy firm EIN	2018-12-31	350921680

Form 5500 Responses for HEADWATER COMPANIES LLC 401(K) PLAN

2022: HEADWATER COMPANIES LLC 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	Yes
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
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: HEADWATER COMPANIES LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
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: HEADWATER COMPANIES LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: HEADWATER COMPANIES LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: HEADWATER COMPANIES LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	First time form 5500 has been submitted	Yes
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 90611 )

Policy contract number

99400012

Policy instance

Insurance contract or identification number	99400012
Number of Individuals Covered	1
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Life Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GENWORTH LIFE AND ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65536 )

Policy contract number

S0004058

Policy instance

Insurance contract or identification number	S0004058
Number of Individuals Covered	4
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Life Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GENWORTH LIFE AND ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65536 )

Policy contract number

S0004058

Policy instance

Insurance contract or identification number	S0004058
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 90611 )

Policy contract number

99400012

Policy instance

Insurance contract or identification number	99400012
Number of Individuals Covered	4
Insurance policy start date	2019-02-01
Insurance policy end date	2020-01-31
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?	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
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
Welfare Benefit Premiums Paid to Carrier	USD $3,322
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GENWORTH LIFE AND ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65536 )

Policy contract number

S0004058

Policy instance

Insurance contract or identification number	S0004058
Number of Individuals Covered	5
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
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?	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
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
Welfare Benefit Premiums Paid to Carrier	USD $2,266
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Insurance broker organization code?	3

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Company Name:	HEADWATER COMPANIES, LLC
Employer identification number (EIN):	200319914
NAIC Classification:	335900

Jurisdiction of Incorporation:	Indiana Secretary of State
Incorporation Date:
Company Identification Number:	611041165727