401k Plan data: EMERSON-SWAN, INC. RETIREMENT PLAN plan

EMERSON-SWAN, INC. RETIREMENT PLAN 401k Plan overview

Plan Name	EMERSON-SWAN, INC. RETIREMENT PLAN
Plan identification number	001

EMERSON-SWAN, INC. RETIREMENT 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)).

401k Sponsoring company profile

EMERSON SWAN has sponsored the creation of one or more 401k plans.

Company Name: EMERSON SWAN

Employer identification number (EIN): 200688536

NAIC Classification: 333410

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMERSON-SWAN, INC. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01
001 2017-01-01 JOANN NEWELL JOANN NEWELL 2018-07-31
001 2017-01-01 2018-07-30
001 2016-01-01 JOANN NEWELL JOANN NEWELL 2017-07-31
001 2015-01-01 JOANN NEWELL
001 2015-01-01 JOANN NEWELL
001 2014-01-01 JOANN NEWELL
001 2013-01-01 DAVID HUNTER
001 2012-01-01 DAVID HUNTER DAVID HUNTER 2013-07-10
001 2011-01-01 DAVID G. HUNTER
001 2010-01-01 DAVID HUNTER DAVID HUNTER 2011-07-11
001 2009-01-01 DAVID G. HUNTER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01
001	2017-01-01	JOANN NEWELL		JOANN NEWELL	2018-07-31
001	2017-01-01		2018-07-30
001	2016-01-01	JOANN NEWELL		JOANN NEWELL	2017-07-31
001	2015-01-01	JOANN NEWELL
001	2015-01-01	JOANN NEWELL
001	2014-01-01	JOANN NEWELL
001	2013-01-01	DAVID HUNTER
001	2012-01-01	DAVID HUNTER		DAVID HUNTER	2013-07-10
001	2011-01-01	DAVID G. HUNTER
001	2010-01-01	DAVID HUNTER		DAVID HUNTER	2011-07-11
001	2009-01-01	DAVID G. HUNTER

Plan Statistics for EMERSON-SWAN, INC. RETIREMENT PLAN

401k plan membership statisitcs for EMERSON-SWAN, INC. RETIREMENT PLAN

Measure Date Value
2018: EMERSON-SWAN, INC. RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 215
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 157
Number of retired or separated participants receiving benefits 2018-01-01 8
Number of other retired or separated participants entitled to future benefits 2018-01-01 46
Total of all active and inactive participants 2018-01-01 211
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 211
Number of participants with account balances 2018-01-01 210
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1
2017: EMERSON-SWAN, INC. RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 205
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 158
Number of retired or separated participants receiving benefits 2017-01-01 8
Number of other retired or separated participants entitled to future benefits 2017-01-01 48
Total of all active and inactive participants 2017-01-01 214
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 214
Number of participants with account balances 2017-01-01 207
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 5
2016: EMERSON-SWAN, INC. RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 205
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 158
Number of retired or separated participants receiving benefits 2016-01-01 8
Number of other retired or separated participants entitled to future benefits 2016-01-01 38
Total of all active and inactive participants 2016-01-01 204
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 204
Number of participants with account balances 2016-01-01 186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 4
2015: EMERSON-SWAN, INC. RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 204
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 159
Number of retired or separated participants receiving benefits 2015-01-01 5
Number of other retired or separated participants entitled to future benefits 2015-01-01 43
Total of all active and inactive participants 2015-01-01 207
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 207
Number of participants with account balances 2015-01-01 188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2014: EMERSON-SWAN, INC. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 204
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 157
Number of retired or separated participants receiving benefits 2014-01-01 3
Number of other retired or separated participants entitled to future benefits 2014-01-01 43
Total of all active and inactive participants 2014-01-01 203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 204
Number of participants with account balances 2014-01-01 185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 5
2013: EMERSON-SWAN, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 196
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 160
Number of retired or separated participants receiving benefits 2013-01-01 2
Number of other retired or separated participants entitled to future benefits 2013-01-01 41
Total of all active and inactive participants 2013-01-01 203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 204
Number of participants with account balances 2013-01-01 184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 4
2012: EMERSON-SWAN, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 162
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 32
Total of all active and inactive participants 2012-01-01 196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 196
Number of participants with account balances 2012-01-01 173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: EMERSON-SWAN, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 146
Number of retired or separated participants receiving benefits 2011-01-01 3
Number of other retired or separated participants entitled to future benefits 2011-01-01 32
Total of all active and inactive participants 2011-01-01 181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 181
Number of participants with account balances 2011-01-01 177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: EMERSON-SWAN, INC. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 146
Number of retired or separated participants receiving benefits 2010-01-01 2
Number of other retired or separated participants entitled to future benefits 2010-01-01 33
Total of all active and inactive participants 2010-01-01 181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 181
Number of participants with account balances 2010-01-01 181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 2
2009: EMERSON-SWAN, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 258
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 146
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 35
Total of all active and inactive participants 2009-01-01 181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 181
Number of participants with account balances 2009-01-01 180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 6

Measure	Date	Value
2018: EMERSON-SWAN, INC. RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	215
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	157
Number of retired or separated participants receiving benefits	2018-01-01	8
Number of other retired or separated participants entitled to future benefits	2018-01-01	46
Total of all active and inactive participants	2018-01-01	211
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	211
Number of participants with account balances	2018-01-01	210
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1
2017: EMERSON-SWAN, INC. RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	205
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	158
Number of retired or separated participants receiving benefits	2017-01-01	8
Number of other retired or separated participants entitled to future benefits	2017-01-01	48
Total of all active and inactive participants	2017-01-01	214
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	214
Number of participants with account balances	2017-01-01	207
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	5
2016: EMERSON-SWAN, INC. RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	205
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	158
Number of retired or separated participants receiving benefits	2016-01-01	8
Number of other retired or separated participants entitled to future benefits	2016-01-01	38
Total of all active and inactive participants	2016-01-01	204
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	204
Number of participants with account balances	2016-01-01	186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	4
2015: EMERSON-SWAN, INC. RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	204
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	159
Number of retired or separated participants receiving benefits	2015-01-01	5
Number of other retired or separated participants entitled to future benefits	2015-01-01	43
Total of all active and inactive participants	2015-01-01	207
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	207
Number of participants with account balances	2015-01-01	188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2014: EMERSON-SWAN, INC. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	204
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	157
Number of retired or separated participants receiving benefits	2014-01-01	3
Number of other retired or separated participants entitled to future benefits	2014-01-01	43
Total of all active and inactive participants	2014-01-01	203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	204
Number of participants with account balances	2014-01-01	185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	5
2013: EMERSON-SWAN, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	196
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	160
Number of retired or separated participants receiving benefits	2013-01-01	2
Number of other retired or separated participants entitled to future benefits	2013-01-01	41
Total of all active and inactive participants	2013-01-01	203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	204
Number of participants with account balances	2013-01-01	184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	4
2012: EMERSON-SWAN, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	162
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	32
Total of all active and inactive participants	2012-01-01	196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	196
Number of participants with account balances	2012-01-01	173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: EMERSON-SWAN, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	146
Number of retired or separated participants receiving benefits	2011-01-01	3
Number of other retired or separated participants entitled to future benefits	2011-01-01	32
Total of all active and inactive participants	2011-01-01	181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	181
Number of participants with account balances	2011-01-01	177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: EMERSON-SWAN, INC. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	146
Number of retired or separated participants receiving benefits	2010-01-01	2
Number of other retired or separated participants entitled to future benefits	2010-01-01	33
Total of all active and inactive participants	2010-01-01	181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	181
Number of participants with account balances	2010-01-01	181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	2
2009: EMERSON-SWAN, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	258
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	146
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	35
Total of all active and inactive participants	2009-01-01	181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	181
Number of participants with account balances	2009-01-01	180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	6

Financial Data on EMERSON-SWAN, INC. RETIREMENT PLAN

Measure	Date	Value
2018 : EMERSON-SWAN, INC. RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$14,440,491
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	$1,053,080
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$3,055,520
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$3,002,688
Expenses. Certain deemed distributions of participant loans	2018-12-31	$50,774
Value of total corrective distributions	2018-12-31	$1,108
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,770,541
Value of total assets at end of year	2018-12-31	$71,316,508
Value of total assets at beginning of year	2018-12-31	$58,878,457
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$950
Total interest from all sources	2018-12-31	$20,065
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$3,992,508
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	$3,992,508
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,265,502
Participant contributions at end of year	2018-12-31	$816,897
Participant contributions at beginning of year	2018-12-31	$318,473
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$35,595
Other income not declared elsewhere	2018-12-31	$6
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	$-2,002,440
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$71,316,508
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$58,878,457
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	$60,226,813
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$52,305,638
Interest on participant loans	2018-12-31	$20,065
Value of interest in common/collective trusts at end of year	2018-12-31	$10,272,798
Value of interest in common/collective trusts at beginning of year	2018-12-31	$6,254,346
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-5,874,327
Net investment gain or loss from common/collective trusts	2018-12-31	$144,287
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	$1,469,444
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$3,002,688
Contract administrator fees	2018-12-31	$950
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
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
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	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2018-12-31	043252952
2017 : EMERSON-SWAN, INC. RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$46,190
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$12,092,441
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,982,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,932,603
Value of total corrective distributions	2017-12-31	$48,690
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,908,865
Value of total assets at end of year	2017-12-31	$58,878,457
Value of total assets at beginning of year	2017-12-31	$48,814,799
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,300
Total interest from all sources	2017-12-31	$15,330
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$2,865,816
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$2,865,816
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,289,525
Participant contributions at end of year	2017-12-31	$318,473
Participant contributions at beginning of year	2017-12-31	$367,658
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$167,377
Other income not declared elsewhere	2017-12-31	$28,644
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$10,109,848
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$58,878,457
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$48,814,799
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$52,305,638
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$42,031,258
Interest on participant loans	2017-12-31	$15,330
Value of interest in common/collective trusts at end of year	2017-12-31	$6,254,346
Value of interest in common/collective trusts at beginning of year	2017-12-31	$6,415,883
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$6,168,690
Net investment gain or loss from common/collective trusts	2017-12-31	$105,096
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$1,451,963
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,932,603
Contract administrator fees	2017-12-31	$1,300
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2017-12-31	043252952
2016 : EMERSON-SWAN, INC. RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$6,840,949
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$5,738,855
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$5,737,755
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$3,630,053
Value of total assets at end of year	2016-12-31	$48,814,799
Value of total assets at beginning of year	2016-12-31	$47,712,705
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$1,100
Total interest from all sources	2016-12-31	$12,599
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,534,078
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,534,078
Administrative expenses professional fees incurred	2016-12-31	$1,100
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,348,473
Participant contributions at end of year	2016-12-31	$367,658
Participant contributions at beginning of year	2016-12-31	$286,198
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$939,003
Other income not declared elsewhere	2016-12-31	$47
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,102,094
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$48,814,799
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$47,712,705
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$42,031,258
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$39,691,552
Interest on participant loans	2016-12-31	$12,599
Value of interest in common/collective trusts at end of year	2016-12-31	$6,415,883
Value of interest in common/collective trusts at beginning of year	2016-12-31	$7,734,955
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,563,533
Net investment gain or loss from common/collective trusts	2016-12-31	$100,639
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$1,342,577
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$5,737,755
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2016-12-31	043252952
2015 : EMERSON-SWAN, INC. RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,969,216
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,490,860
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,490,360
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,887,311
Value of total assets at end of year	2015-12-31	$47,712,705
Value of total assets at beginning of year	2015-12-31	$47,234,349
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$500
Total interest from all sources	2015-12-31	$13,336
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$3,225,937
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$3,225,937
Administrative expenses professional fees incurred	2015-12-31	$500
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,138,240
Participant contributions at end of year	2015-12-31	$286,198
Participant contributions at beginning of year	2015-12-31	$350,916
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$371,028
Other income not declared elsewhere	2015-12-31	$36
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$478,356
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$47,712,705
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$47,234,349
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$39,691,552
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$39,642,094
Interest on participant loans	2015-12-31	$13,336
Value of interest in common/collective trusts at end of year	2015-12-31	$7,734,955
Value of interest in common/collective trusts at beginning of year	2015-12-31	$7,241,339
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-3,267,176
Net investment gain or loss from common/collective trusts	2015-12-31	$109,772
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,378,043
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,490,360
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2015-12-31	043252952
2014 : EMERSON-SWAN, INC. RETIREMENT 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	$4,262,424
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,776,466
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,775,766
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,187,723
Value of total assets at end of year	2014-12-31	$47,234,349
Value of total assets at beginning of year	2014-12-31	$45,748,391
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$700
Total interest from all sources	2014-12-31	$17,243
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,683,283
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	$2,683,283
Administrative expenses professional fees incurred	2014-12-31	$700
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$3,000,000
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	$1,133,285
Participant contributions at end of year	2014-12-31	$350,916
Participant contributions at beginning of year	2014-12-31	$362,992
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$21,510
Other income not declared elsewhere	2014-12-31	$920
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	$1,485,958
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$47,234,349
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$45,748,391
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$39,642,094
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$37,590,650
Interest on participant loans	2014-12-31	$17,243
Value of interest in common/collective trusts at end of year	2014-12-31	$7,241,339
Value of interest in common/collective trusts at beginning of year	2014-12-31	$7,794,749
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-731,373
Net investment gain or loss from common/collective trusts	2014-12-31	$104,628
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	$1,032,928
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,775,766
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	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2014-12-31	043252952
2013 : EMERSON-SWAN, INC. RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$9,612,898
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$2,925,838
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$2,925,238
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,415,934
Value of total assets at end of year	2013-12-31	$45,748,391
Value of total assets at beginning of year	2013-12-31	$39,061,331
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$600
Total interest from all sources	2013-12-31	$16,330
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$1,673,274
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$1,673,274
Administrative expenses professional fees incurred	2013-12-31	$600
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,141,991
Participant contributions at end of year	2013-12-31	$362,992
Participant contributions at beginning of year	2013-12-31	$359,287
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$39,318
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$6,687,060
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$45,748,391
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$39,061,331
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$37,590,650
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$31,103,994
Interest on participant loans	2013-12-31	$16,330
Value of interest in common/collective trusts at end of year	2013-12-31	$7,794,749
Value of interest in common/collective trusts at beginning of year	2013-12-31	$7,598,050
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,403,714
Net investment gain or loss from common/collective trusts	2013-12-31	$103,646
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$1,234,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$2,925,238
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2013-12-31	043252952
2012 : EMERSON-SWAN, INC. RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$6,254,821
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$877,850
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$876,750
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,513,981
Value of total assets at end of year	2012-12-31	$39,061,331
Value of total assets at beginning of year	2012-12-31	$33,684,360
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,100
Total interest from all sources	2012-12-31	$15,429
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$910,006
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$910,006
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,099,209
Participant contributions at end of year	2012-12-31	$359,287
Participant contributions at beginning of year	2012-12-31	$315,462
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$5,376,971
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$39,061,331
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$33,684,360
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$31,103,994
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$26,279,490
Interest on participant loans	2012-12-31	$15,429
Value of interest in common/collective trusts at end of year	2012-12-31	$7,598,050
Value of interest in common/collective trusts at beginning of year	2012-12-31	$7,089,408
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,681,999
Net investment gain or loss from common/collective trusts	2012-12-31	$133,406
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,414,772
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$876,750
Contract administrator fees	2012-12-31	$1,100
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2012-12-31	043252952
2011 : EMERSON-SWAN, INC. RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,891,040
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$5,687,847
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$5,674,294
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,353,037
Value of total assets at end of year	2011-12-31	$33,684,360
Value of total assets at beginning of year	2011-12-31	$37,481,167
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$13,553
Total interest from all sources	2011-12-31	$12,320
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$569,965
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$569,965
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,084,026
Participant contributions at end of year	2011-12-31	$315,462
Participant contributions at beginning of year	2011-12-31	$286,783
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-3,796,807
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$33,684,360
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$37,481,167
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$12,615
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$26,279,490
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$29,512,805
Interest on participant loans	2011-12-31	$12,320
Value of interest in common/collective trusts at end of year	2011-12-31	$7,089,408
Value of interest in common/collective trusts at beginning of year	2011-12-31	$7,681,579
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,387,260
Net investment gain or loss from common/collective trusts	2011-12-31	$342,978
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$1,269,011
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$5,674,294
Contract administrator fees	2011-12-31	$938
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2011-12-31	043252952
2010 : EMERSON-SWAN, INC. RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$6,211,076
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$878,527
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$849,952
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,335,812
Value of total assets at end of year	2010-12-31	$37,481,167
Value of total assets at beginning of year	2010-12-31	$32,148,618
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$28,575
Total interest from all sources	2010-12-31	$14,482
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$433,846
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$433,846
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,075,812
Participant contributions at end of year	2010-12-31	$286,783
Participant contributions at beginning of year	2010-12-31	$321,561
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$91,548
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$5,332,549
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$37,481,167
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$32,148,618
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$28,075
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$29,512,805
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$24,803,153
Interest on participant loans	2010-12-31	$14,482
Value of interest in common/collective trusts at end of year	2010-12-31	$7,681,579
Value of interest in common/collective trusts at beginning of year	2010-12-31	$7,023,904
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,215,940
Net investment gain or loss from common/collective trusts	2010-12-31	$210,996
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$1,168,452
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$849,952
Contract administrator fees	2010-12-31	$500
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	SULLIVAN & FOLAN, LLC
Accountancy firm EIN	2010-12-31	043252952
2009 : EMERSON-SWAN, INC. RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for EMERSON-SWAN, INC. RETIREMENT PLAN

2018: EMERSON-SWAN, INC. RETIREMENT PLAN 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: EMERSON-SWAN, INC. RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	Yes
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
2016: EMERSON-SWAN, INC. RETIREMENT 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	No
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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: EMERSON-SWAN, INC. RETIREMENT 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: EMERSON-SWAN, INC. RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: EMERSON-SWAN, INC. RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: EMERSON-SWAN, INC. RETIREMENT 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: EMERSON-SWAN, INC. RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: EMERSON-SWAN, INC. RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: EMERSON-SWAN, INC. RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	EMERSON SWAN
Employer identification number (EIN):	200688536
NAIC Classification:	333410