401k Plan data: CFE 401K PLAN plan

CFE 401K PLAN 401k Plan overview

Plan Name	CFE 401K PLAN
Plan identification number	001

CFE 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.
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

COOKE FAMILY ENTERPRISES, LLC has sponsored the creation of one or more 401k plans.

Company Name: COOKE FAMILY ENTERPRISES, LLC

Employer identification number (EIN): 200416613

NAIC Classification: 812990
NAIC Description: All Other Personal Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CFE 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 BOB RUBIN 2016-10-17
001 2014-01-01 ROBERT RUBIN
001 2014-01-01
001 2013-01-01 ROBERT RUBIN 2014-07-08
001 2012-01-01 ROBERT RUBIN 2013-06-21
001 2011-01-01 ROBERT RUBIN 2012-07-25

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01	BOB RUBIN	2016-10-17
001	2014-01-01	ROBERT RUBIN
001	2014-01-01
001	2013-01-01	ROBERT RUBIN	2014-07-08
001	2012-01-01	ROBERT RUBIN	2013-06-21
001	2011-01-01	ROBERT RUBIN	2012-07-25

Plan Statistics for CFE 401K PLAN

401k plan membership statisitcs for CFE 401K PLAN

Measure Date Value
2015: CFE 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 132
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
2014: CFE 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 84
Number of retired or separated participants receiving benefits 2014-01-01 48
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 132
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 132
Number of participants with account balances 2014-01-01 109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 11

Measure	Date	Value
2015: CFE 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	132
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
2014: CFE 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	84
Number of retired or separated participants receiving benefits	2014-01-01	48
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	132
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	132
Number of participants with account balances	2014-01-01	109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	11

Financial Data on CFE 401K PLAN

Measure	Date	Value
2015 : CFE 401K PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-07-22	$0
Total transfer of assets from this plan	2015-07-22	$2,051,414
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-07-22	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-07-22	$0
Total income from all sources (including contributions)	2015-07-22	$216,594
Total loss/gain on sale of assets	2015-07-22	$0
Total of all expenses incurred	2015-07-22	$493,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-07-22	$492,507
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-07-22	$234,994
Value of total assets at end of year	2015-07-22	$0
Value of total assets at beginning of year	2015-07-22	$2,328,701
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-07-22	$1,374
Total interest from all sources	2015-07-22	$1,966
Total dividends received (eg from common stock, registered investment company shares)	2015-07-22	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-07-22	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-07-22	$0
Administrative expenses professional fees incurred	2015-07-22	$1,374
Was this plan covered by a fidelity bond	2015-07-22	No
If this is an individual account plan, was there a blackout period	2015-07-22	No
Were there any nonexempt tranactions with any party-in-interest	2015-07-22	No
Contributions received from participants	2015-07-22	$127,712
Participant contributions at end of year	2015-07-22	$0
Participant contributions at beginning of year	2015-07-22	$94,342
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-07-22	No
Value of net income/loss	2015-07-22	$-277,287
Value of net assets at end of year (total assets less liabilities)	2015-07-22	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-07-22	$2,328,701
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-07-22	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-07-22	No
Were any leases to which the plan was party in default or uncollectible	2015-07-22	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-07-22	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-07-22	$2,139,060
Interest on participant loans	2015-07-22	$1,966
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-07-22	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-07-22	$95,299
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-07-22	$-20,366
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-07-22	No
Was there a failure to transmit to the plan any participant contributions	2015-07-22	No
Has the plan failed to provide any benefit when due under the plan	2015-07-22	No
Contributions received in cash from employer	2015-07-22	$107,282
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-07-22	$492,507
Did the plan have assets held for investment	2015-07-22	No
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	2015-07-22	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-07-22	Yes
2014 : CFE 401K PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$617,778
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$365,523
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$356,320
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$567,976
Value of total assets at end of year	2014-12-31	$2,328,701
Value of total assets at beginning of year	2014-12-31	$2,076,446
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$9,203
Total interest from all sources	2014-12-31	$3,548
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,458
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$2,458
Was this plan covered by a fidelity bond	2014-12-31	No
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$313,385
Participant contributions at end of year	2014-12-31	$94,342
Participant contributions at beginning of year	2014-12-31	$71,816
Participant contributions at beginning of year	2014-12-31	$11,109
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$62,999
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$252,255
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,328,701
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$2,076,446
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$9,203
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$2,139,060
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$1,964,650
Income. Interest from loans (other than to participants)	2014-12-31	$3,548
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$95,299
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$39,980
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$43,796
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$191,592
Employer contributions (assets) at beginning of year	2014-12-31	$13,028
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$356,320
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2014-12-31	350921680

Form 5500 Responses for CFE 401K PLAN

2015: CFE 401K 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	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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
2014: CFE 401K PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-824602

Policy instance

Insurance contract or identification number	GA-824602
Number of Individuals Covered	104
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $8,180
Total amount of fees paid to insurance company	USD $1,023
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?	No
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
Commission paid to Insurance Broker	USD $8,180
Additional information about fees paid to insurance broker	COMMISSION
Insurance broker organization code?	5
Amount paid for insurance broker fees	1023
Insurance broker name	DYATECH, LLC

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Company Name:	COOKE FAMILY ENTERPRISES, LLC
Employer identification number (EIN):	200416613
NAIC Classification:	812990
NAIC Description:	All Other Personal Services