401k Plan data: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST plan

AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 401k Plan overview

Plan Name	AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST
Plan identification number	001

AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 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.
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)).

401k Sponsoring company profile

AERION CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: AERION CORPORATION

Employer identification number (EIN): 200438778

NAIC Classification: 541330
NAIC Description: Engineering Services

Additional information about AERION CORPORATION

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3689892

More information about AERION CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01 LISA HOLDEN
001 2016-01-01 LISA HOLDEN 2017-07-14
001 2015-01-01 LISA HOLDEN 2016-06-28
001 2014-01-01 LISA HOLDEN 2015-07-13
001 2013-01-01 WARREN Z MAZER 2014-07-25

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01
001	2018-01-01
001	2017-01-01	LISA HOLDEN
001	2016-01-01	LISA HOLDEN	2017-07-14
001	2015-01-01	LISA HOLDEN	2016-06-28
001	2014-01-01	LISA HOLDEN	2015-07-13
001	2013-01-01	WARREN Z MAZER	2014-07-25

Plan Statistics for AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST

401k plan membership statisitcs for AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST

Measure Date Value
2019: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2019 401k membership
Total participants, beginning-of-year 2019-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 122
Number of other retired or separated participants entitled to future benefits 2019-01-01 8
Total of all active and inactive participants 2019-01-01 130
Total participants 2019-01-01 130
Number of participants with account balances 2019-01-01 128
2018: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2018 401k membership
Total participants, beginning-of-year 2018-01-01 47
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 53
Number of other retired or separated participants entitled to future benefits 2018-01-01 9
Total of all active and inactive participants 2018-01-01 62
Total participants 2018-01-01 62
Number of participants with account balances 2018-01-01 61
2017: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2017 401k membership
Total participants, beginning-of-year 2017-01-01 46
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 43
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 4
Total of all active and inactive participants 2017-01-01 47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 47
Number of participants with account balances 2017-01-01 47

Measure	Date	Value
2019: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2019 401k membership
Total participants, beginning-of-year	2019-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	122
Number of other retired or separated participants entitled to future benefits	2019-01-01	8
Total of all active and inactive participants	2019-01-01	130
Total participants	2019-01-01	130
Number of participants with account balances	2019-01-01	128
2018: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2018 401k membership
Total participants, beginning-of-year	2018-01-01	47
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	53
Number of other retired or separated participants entitled to future benefits	2018-01-01	9
Total of all active and inactive participants	2018-01-01	62
Total participants	2018-01-01	62
Number of participants with account balances	2018-01-01	61
2017: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2017 401k membership
Total participants, beginning-of-year	2017-01-01	46
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	43
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	4
Total of all active and inactive participants	2017-01-01	47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	47
Number of participants with account balances	2017-01-01	47

Financial Data on AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST

Measure	Date	Value
2019 : AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$4,053,074
Expenses. Total of all expenses incurred	2019-12-31	$297,892
Benefits paid (including direct rollovers)	2019-12-31	$297,566
Total plan assets at end of year	2019-12-31	$6,377,899
Total plan assets at beginning of year	2019-12-31	$2,622,717
Value of fidelity bond covering the plan	2019-12-31	$500,000
Total contributions received or receivable from participants	2019-12-31	$852,251
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$1,859,611
Other income received	2019-12-31	$816,784
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$3,755,182
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$6,377,899
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$2,622,717
Assets. Value of participant loans	2019-12-31	$62,445
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2019-12-31	$0
Total contributions received or receivable from employer(s)	2019-12-31	$524,428
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$326
2018 : AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$525,147
Expenses. Total of all expenses incurred	2018-12-31	$268,972
Benefits paid (including direct rollovers)	2018-12-31	$268,745
Total plan assets at end of year	2018-12-31	$2,622,717
Total plan assets at beginning of year	2018-12-31	$2,366,542
Value of fidelity bond covering the plan	2018-12-31	$132,403
Total contributions received or receivable from participants	2018-12-31	$470,645
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-189,039
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$256,175
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$2,622,717
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$2,366,542
Assets. Value of participant loans	2018-12-31	$0
Total contributions received or receivable from employer(s)	2018-12-31	$243,541
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$227
2017 : AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$1,044,825
Expenses. Total of all expenses incurred	2017-12-31	$2,312
Benefits paid (including direct rollovers)	2017-12-31	$2,045
Total plan assets at end of year	2017-12-31	$2,366,542
Total plan assets at beginning of year	2017-12-31	$1,324,029
Value of fidelity bond covering the plan	2017-12-31	$132,403
Total contributions received or receivable from participants	2017-12-31	$470,724
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$28,807
Other income received	2017-12-31	$318,320
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$1,042,513
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$2,366,542
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$1,324,029
Assets. Value of participant loans	2017-12-31	$2,441
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2017-12-31	$0
Total contributions received or receivable from employer(s)	2017-12-31	$226,974
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$267

Form 5500 Responses for AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST

2019: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 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: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
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
2017: AERION CORPORATION 401 K PROFIT SHARING PLAN TRUST 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	AERION CORPORATION
Employer identification number (EIN):	200438778
NAIC Classification:	541330
NAIC Description:	Engineering Services

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3689892