401k Plan data: POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST plan

POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

POLIQUIN AND DEGRAVE LLP has sponsored the creation of one or more 401k plans.

Company Name: POLIQUIN AND DEGRAVE LLP

Employer identification number (EIN): 202300453

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan POLIQUIN & DEGRAVE LLP 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 2022-01-01 BETTY CALDWELL 2023-10-10
001 2021-01-01 BETTY CALDWELL 2022-07-26
001 2020-01-01 DOUGLAS M. DEGRAVE 2021-04-21
001 2019-01-01 DOUGLAS DEGRAVE 2020-04-20
001 2018-01-01 DOUGLAS DEGRAVE 2019-06-06
001 2017-01-01 DOUGLAS DEGRAVE 2018-04-13
001 2016-01-01 DOUGLAS M. DEGRAVE 2017-05-26
001 2015-01-01 DOUGLAS M. DEGRAVE
001 2014-01-01 DOUGLAS DEGRAVE 2015-09-15
001 2013-01-01 THERESA LAWRENCE 2014-09-17
001 2012-01-01 THERESA LAWRENCE
001 2011-01-01 THERESA LAWRENCE 2012-06-12
001 2010-01-01 THERESA LAWRENCE 2011-07-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	BETTY CALDWELL	2023-10-10
001	2021-01-01	BETTY CALDWELL	2022-07-26
001	2020-01-01	DOUGLAS M. DEGRAVE	2021-04-21
001	2019-01-01	DOUGLAS DEGRAVE	2020-04-20
001	2018-01-01	DOUGLAS DEGRAVE	2019-06-06
001	2017-01-01	DOUGLAS DEGRAVE	2018-04-13
001	2016-01-01	DOUGLAS M. DEGRAVE	2017-05-26
001	2015-01-01	DOUGLAS M. DEGRAVE
001	2014-01-01	DOUGLAS DEGRAVE	2015-09-15
001	2013-01-01	THERESA LAWRENCE	2014-09-17
001	2012-01-01	THERESA LAWRENCE
001	2011-01-01	THERESA LAWRENCE	2012-06-12
001	2010-01-01	THERESA LAWRENCE	2011-07-21

Plan Statistics for POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2015: POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 12
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 4
Total of all active and inactive participants 2015-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 16
Number of participants with account balances 2015-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2012: POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 10
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 11
Number of participants with account balances 2012-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2015: POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	12
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	4
Total of all active and inactive participants	2015-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	16
Number of participants with account balances	2015-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2012: POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	10
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	11
Number of participants with account balances	2012-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2015 : POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$98,476
Expenses. Total of all expenses incurred	2015-12-31	$2,468
Benefits paid (including direct rollovers)	2015-12-31	$2,468
Total plan assets at end of year	2015-12-31	$1,232,379
Total plan assets at beginning of year	2015-12-31	$1,136,371
Value of fidelity bond covering the plan	2015-12-31	$0
Total contributions received or receivable from participants	2015-12-31	$52,058
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$18,900
Net income (gross income less expenses)	2015-12-31	$96,008
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,232,379
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,136,371
Assets. Value of participant loans	2015-12-31	$6,247
Total contributions received or receivable from employer(s)	2015-12-31	$27,518
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$0
2012 : POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$143,202
Expenses. Total of all expenses incurred	2012-12-31	$34,757
Benefits paid (including direct rollovers)	2012-12-31	$30,601
Total plan assets at end of year	2012-12-31	$733,541
Total plan assets at beginning of year	2012-12-31	$625,096
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$71,760
Other income received	2012-12-31	$71,442
Net income (gross income less expenses)	2012-12-31	$108,445
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$733,541
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$625,096
Assets. Value of participant loans	2012-12-31	$34,337
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$4,156
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0

Form 5500 Responses for POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST

2015: POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 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
2012: POLIQUIN & DEGRAVE LLP 401(K) PROFIT SHARING PLAN & TRUST 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 funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

46736

Policy instance

Insurance contract or identification number	46736
Number of Individuals Covered	0
Insurance policy start date	2012-01-01
Insurance policy end date	2012-07-31
Total amount of commissions paid to insurance broker	USD $2,101
Total amount of fees paid to insurance company	USD $60
Commission paid to Insurance Broker	USD $1,909
Amount paid for insurance broker fees	60
Additional information about fees paid to insurance broker	OTHERS
Insurance broker name	SAN DIEGO PENSION CONSULTA

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Company Name:	POLIQUIN AND DEGRAVE LLP
Employer identification number (EIN):	202300453
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers