401k Plan data: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN plan

EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN
Plan identification number	001

EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

EMPIRE RESOURCES, INC. has sponsored the creation of one or more 401k plans.

Company Name: EMPIRE RESOURCES, INC.

Employer identification number (EIN): 223136782

NAIC Classification: 423500

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 PHIL HERMAN 2019-05-13
001 2017-01-01 PHIL HERMAN 2018-07-19
001 2016-01-01 PHIL HERMAN 2017-06-06
001 2015-01-01 SANDRA KAHN 2016-10-06
001 2014-01-01 SANDRA KAHN 2015-09-21
001 2013-01-01 SANDRA KAHN
001 2012-01-01 SANDRA KAHN SANDRA KAHN 2013-09-13
001 2011-01-01 SANDRA KAHN SANDRA KAHN 2012-06-21
001 2010-01-01 ISAAC PIHA
001 2009-01-01 SANDRA KAHN SANDRA KAHN 2010-07-29

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	PHIL HERMAN	2019-05-13
001	2017-01-01	PHIL HERMAN	2018-07-19
001	2016-01-01	PHIL HERMAN	2017-06-06
001	2015-01-01	SANDRA KAHN	2016-10-06
001	2014-01-01	SANDRA KAHN	2015-09-21
001	2013-01-01	SANDRA KAHN
001	2012-01-01	SANDRA KAHN		SANDRA KAHN	2013-09-13
001	2011-01-01	SANDRA KAHN		SANDRA KAHN	2012-06-21
001	2010-01-01	ISAAC PIHA
001	2009-01-01	SANDRA KAHN		SANDRA KAHN	2010-07-29

Plan Statistics for EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN

401k plan membership statisitcs for EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN

Measure Date Value
2013: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 46
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 50
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 6
Total of all active and inactive participants 2013-01-01 56
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 56
Number of participants with account balances 2013-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 45
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 39
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 7
Total of all active and inactive participants 2012-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 46
Number of participants with account balances 2012-01-01 44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 37
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 37
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 8
Total of all active and inactive participants 2011-01-01 45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 45
Number of participants with account balances 2011-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 31
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 6
Total of all active and inactive participants 2010-01-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 37
Number of participants with account balances 2010-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 28
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 7
Total of all active and inactive participants 2009-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 35
Number of participants with account balances 2009-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	46
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	50
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	6
Total of all active and inactive participants	2013-01-01	56
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	56
Number of participants with account balances	2013-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	45
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	39
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	7
Total of all active and inactive participants	2012-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	46
Number of participants with account balances	2012-01-01	44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	37
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	37
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	8
Total of all active and inactive participants	2011-01-01	45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	45
Number of participants with account balances	2011-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	31
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	6
Total of all active and inactive participants	2010-01-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	37
Number of participants with account balances	2010-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	28
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	7
Total of all active and inactive participants	2009-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	35
Number of participants with account balances	2009-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN

Measure	Date	Value
2013 : EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$1,006,959
Expenses. Total of all expenses incurred	2013-12-31	$380,587
Benefits paid (including direct rollovers)	2013-12-31	$379,487
Total plan assets at end of year	2013-12-31	$4,063,275
Total plan assets at beginning of year	2013-12-31	$3,436,903
Value of fidelity bond covering the plan	2013-12-31	$2,000,000
Total contributions received or receivable from participants	2013-12-31	$337,122
Other income received	2013-12-31	$585,616
Net income (gross income less expenses)	2013-12-31	$626,372
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$4,063,275
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,436,903
Assets. Value of participant loans	2013-12-31	$141,615
Total contributions received or receivable from employer(s)	2013-12-31	$84,221
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$1,100
2012 : EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$654,023
Expenses. Total of all expenses incurred	2012-12-31	$102,023
Benefits paid (including direct rollovers)	2012-12-31	$101,373
Total plan assets at end of year	2012-12-31	$3,436,903
Total plan assets at beginning of year	2012-12-31	$2,884,903
Value of fidelity bond covering the plan	2012-12-31	$2,000,000
Total contributions received or receivable from participants	2012-12-31	$308,361
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$270,882
Net income (gross income less expenses)	2012-12-31	$552,000
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,436,903
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,884,903
Assets. Value of participant loans	2012-12-31	$108,810
Total contributions received or receivable from employer(s)	2012-12-31	$74,780
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$650
2011 : EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$355,596
Expenses. Total of all expenses incurred	2011-12-31	$500
Total plan assets at end of year	2011-12-31	$2,884,903
Total plan assets at beginning of year	2011-12-31	$2,529,807
Value of fidelity bond covering the plan	2011-12-31	$2,000,000
Total contributions received or receivable from participants	2011-12-31	$336,776
Other income received	2011-12-31	$-69,710
Net income (gross income less expenses)	2011-12-31	$355,096
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,884,903
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,529,807
Assets. Value of participant loans	2011-12-31	$91,236
Total contributions received or receivable from employer(s)	2011-12-31	$88,530
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$500
2010 : EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$586,303
Expenses. Total of all expenses incurred	2010-12-31	$160,672
Benefits paid (including direct rollovers)	2010-12-31	$160,372
Total plan assets at end of year	2010-12-31	$2,529,807
Total plan assets at beginning of year	2010-12-31	$2,104,176
Value of fidelity bond covering the plan	2010-12-31	$2,000,000
Total contributions received or receivable from participants	2010-12-31	$319,601
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$194,649
Net income (gross income less expenses)	2010-12-31	$425,631
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,529,807
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,104,176
Assets. Value of participant loans	2010-12-31	$115,925
Total contributions received or receivable from employer(s)	2010-12-31	$72,053
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$300

Form 5500 Responses for EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN

2013: EMPIRE RESOURCES, INC. 401(K) SAVINGS 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: EMPIRE RESOURCES, INC. 401(K) SAVINGS 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: EMPIRE RESOURCES, INC. 401(K) SAVINGS 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: EMPIRE RESOURCES, INC. 401(K) SAVINGS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
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: EMPIRE RESOURCES, INC. 401(K) SAVINGS 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:	EMPIRE RESOURCES, INC.
Employer identification number (EIN):	223136782
NAIC Classification:	423500