401k Plan data: MAURICE SCHWARTZ & SONS 401K PLAN plan

MAURICE SCHWARTZ & SONS 401K PLAN 401k Plan overview

Plan Name	MAURICE SCHWARTZ & SONS 401K PLAN
Plan identification number	003

MAURICE SCHWARTZ & SONS 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.
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.
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

MAURICE SCHWARTZ & SONS, INC. has sponsored the creation of one or more 401k plans.

Company Name: MAURICE SCHWARTZ & SONS, INC.

Employer identification number (EIN): 210732290

NAIC Classification: 441110
NAIC Description: New Car Dealers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MAURICE SCHWARTZ & SONS 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2022-01-01 ARLENE FAY 2023-08-22
003 2021-01-01 ARLENE FAY 2022-07-18
003 2020-01-01 ARLENE FAY 2021-10-14
003 2019-01-01 ARLENE FAY 2020-08-20 ARLENE FAY 2020-08-20
003 2019-01-01 ARLENE FAY 2021-10-14
003 2018-01-01
003 2017-01-01 JON SCHWARTZ 2018-06-06
003 2016-01-01 JON SCHWARTZ 2017-06-13
003 2015-01-01 JON SCHWARTZ 2017-06-19
003 2015-01-01 JON SCHWARTZ 2017-06-13
003 2015-01-01 JON SHWARTZ 2016-10-10
003 2014-01-01 TRICIA KOBYLAK
003 2013-01-01 ARLENE FAY
003 2012-01-01 ARLENE FAY 2013-07-30 ARLENE FAY 2013-07-30
003 2011-01-01 ARLENE FAY ARLENE FAY 2012-10-22
003 2010-01-01 ARLENE FAY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2022-01-01	ARLENE FAY	2023-08-22
003	2021-01-01	ARLENE FAY	2022-07-18
003	2020-01-01	ARLENE FAY	2021-10-14
003	2019-01-01	ARLENE FAY	2020-08-20	ARLENE FAY	2020-08-20
003	2019-01-01	ARLENE FAY	2021-10-14
003	2018-01-01
003	2017-01-01	JON SCHWARTZ	2018-06-06
003	2016-01-01	JON SCHWARTZ	2017-06-13
003	2015-01-01	JON SCHWARTZ	2017-06-19
003	2015-01-01	JON SCHWARTZ	2017-06-13
003	2015-01-01	JON SHWARTZ	2016-10-10
003	2014-01-01	TRICIA KOBYLAK
003	2013-01-01	ARLENE FAY
003	2012-01-01	ARLENE FAY	2013-07-30	ARLENE FAY	2013-07-30
003	2011-01-01	ARLENE FAY		ARLENE FAY	2012-10-22
003	2010-01-01	ARLENE FAY

Plan Statistics for MAURICE SCHWARTZ & SONS 401K PLAN

401k plan membership statisitcs for MAURICE SCHWARTZ & SONS 401K PLAN

Measure Date Value
2014: MAURICE SCHWARTZ & SONS 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 19
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 2
Total of all active and inactive participants 2014-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 21
Number of participants with account balances 2014-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: MAURICE SCHWARTZ & SONS 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 20
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 3
Total of all active and inactive participants 2013-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 23
Number of participants with account balances 2013-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 2
2011: MAURICE SCHWARTZ & SONS 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 27
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 27
Number of participants with account balances 2011-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: MAURICE SCHWARTZ & SONS 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 28
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 28
Number of participants with account balances 2010-01-01 22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0

Measure	Date	Value
2014: MAURICE SCHWARTZ & SONS 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	19
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	2
Total of all active and inactive participants	2014-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	21
Number of participants with account balances	2014-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: MAURICE SCHWARTZ & SONS 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	20
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	3
Total of all active and inactive participants	2013-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	23
Number of participants with account balances	2013-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	2
2011: MAURICE SCHWARTZ & SONS 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	27
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	27
Number of participants with account balances	2011-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: MAURICE SCHWARTZ & SONS 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	28
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	28
Number of participants with account balances	2010-01-01	22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0

Financial Data on MAURICE SCHWARTZ & SONS 401K PLAN

Measure	Date	Value
2014 : MAURICE SCHWARTZ & SONS 401K PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$15
Total income from all sources	2014-12-31	$160,011
Expenses. Total of all expenses incurred	2014-12-31	$110,416
Benefits paid (including direct rollovers)	2014-12-31	$110,172
Total plan assets at end of year	2014-12-31	$1,645,502
Total plan assets at beginning of year	2014-12-31	$1,595,892
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Total contributions received or receivable from participants	2014-12-31	$81,671
Expenses. Other expenses not covered elsewhere	2014-12-31	$244
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$69,897
Net income (gross income less expenses)	2014-12-31	$49,595
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,645,502
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,595,892
Assets. Value of participant loans	2014-12-31	$39,417
Total contributions received or receivable from employer(s)	2014-12-31	$8,443
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2013 : MAURICE SCHWARTZ & SONS 401K PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$91
Total income from all sources	2013-12-31	$343,833
Expenses. Total of all expenses incurred	2013-12-31	$341,543
Benefits paid (including direct rollovers)	2013-12-31	$341,131
Total plan assets at end of year	2013-12-31	$1,595,892
Total plan assets at beginning of year	2013-12-31	$1,593,511
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Total contributions received or receivable from participants	2013-12-31	$102,930
Expenses. Other expenses not covered elsewhere	2013-12-31	$412
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$228,929
Net income (gross income less expenses)	2013-12-31	$2,290
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,595,892
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,593,511
Assets. Value of participant loans	2013-12-31	$64,316
Total contributions received or receivable from employer(s)	2013-12-31	$11,974
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
2011 : MAURICE SCHWARTZ & SONS 401K PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total income from all sources	2011-12-31	$22,643
Expenses. Total of all expenses incurred	2011-12-31	$152,666
Benefits paid (including direct rollovers)	2011-12-31	$142,802
Total plan assets at end of year	2011-12-31	$1,260,037
Total plan assets at beginning of year	2011-12-31	$1,390,060
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$108,858
Expenses. Other expenses not covered elsewhere	2011-12-31	$166
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-99,595
Net income (gross income less expenses)	2011-12-31	$-130,023
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,260,037
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,390,060
Assets. Value of participant loans	2011-12-31	$22,658
Total contributions received or receivable from employer(s)	2011-12-31	$13,380
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$9,698
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : MAURICE SCHWARTZ & SONS 401K PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$286,431
Expenses. Total of all expenses incurred	2010-12-31	$47,666
Benefits paid (including direct rollovers)	2010-12-31	$46,972
Total plan assets at end of year	2010-12-31	$1,390,060
Total plan assets at beginning of year	2010-12-31	$1,151,295
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$106,034
Expenses. Other expenses not covered elsewhere	2010-12-31	$694
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$166,911
Net income (gross income less expenses)	2010-12-31	$238,765
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,390,060
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,151,295
Assets. Value of participant loans	2010-12-31	$25,934
Total contributions received or receivable from employer(s)	2010-12-31	$13,486

Form 5500 Responses for MAURICE SCHWARTZ & SONS 401K PLAN

2014: MAURICE SCHWARTZ & SONS 401K 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2013: MAURICE SCHWARTZ & SONS 401K 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2011: MAURICE SCHWARTZ & SONS 401K 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2010: MAURICE SCHWARTZ & SONS 401K 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 – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

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

Policy contract number

GA-822357

Policy instance

Insurance contract or identification number	GA-822357
Number of Individuals Covered	12
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $4,629
Total amount of fees paid to insurance company	USD $0
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?	Yes
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 $4,629
Insurance broker organization code?	3
Insurance broker name	UBS FINANCIAL SERVICES

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

Policy contract number

GA-822357

Policy instance

Insurance contract or identification number	GA-822357
Number of Individuals Covered	17
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $4,269
Total amount of fees paid to insurance company	USD $0
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?	Yes
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 $4,269
Insurance broker organization code?	3
Insurance broker name	UBS FINANCIAL SVCS INS AGCY

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

Policy contract number

GA-822357

Policy instance

Insurance contract or identification number	GA-822357
Number of Individuals Covered	20
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $1,452
Total amount of fees paid to insurance company	USD $0
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?	Yes
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

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

Policy contract number

GA-822357

Policy instance

Insurance contract or identification number	GA-822357
Number of Individuals Covered	22
Insurance policy start date	2010-07-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $11,830
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $11,830
Insurance broker organization code?	3
Insurance broker name	USB FINANCIAL SVC INS AGCY

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Company Name:	MAURICE SCHWARTZ & SONS, INC.
Employer identification number (EIN):	210732290
NAIC Classification:	441110
NAIC Description:	New Car Dealers