401k Plan data: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST plan

BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST
Plan identification number	001

BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND 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.
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

BAY HEAD INVESTMENTS has sponsored the creation of one or more 401k plans.

Company Name: BAY HEAD INVESTMENTS

Employer identification number (EIN): 223545075

NAIC Classification: 336210

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 JOHN BREEN 2023-07-26
001 2021-01-01 JOHN BREEN 2022-08-22
001 2020-01-01 JOHN BREEN 2021-07-28
001 2019-01-01 JOHN BREEN 2020-10-12
001 2018-01-01 JOHN BREEN 2019-07-31
001 2017-01-01 JOHN BREEN 2018-07-17
001 2016-01-01 JOHN BREEN 2017-07-14
001 2015-01-01 JOHN BREEN 2016-06-09
001 2014-01-01 JOHN BREEN
001 2013-01-01 JOHN BREEN
001 2012-01-01 JOHN BREEN JOHN BREEN 2013-07-30
001 2011-01-01 JOHN BREEN
001 2009-01-01 KIMBERLY BOHNY
001 2008-01-01

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	JOHN BREEN	2023-07-26
001	2021-01-01	JOHN BREEN	2022-08-22
001	2020-01-01	JOHN BREEN	2021-07-28
001	2019-01-01	JOHN BREEN	2020-10-12
001	2018-01-01	JOHN BREEN	2019-07-31
001	2017-01-01	JOHN BREEN	2018-07-17
001	2016-01-01	JOHN BREEN	2017-07-14
001	2015-01-01	JOHN BREEN	2016-06-09
001	2014-01-01	JOHN BREEN
001	2013-01-01	JOHN BREEN
001	2012-01-01	JOHN BREEN		JOHN BREEN	2013-07-30
001	2011-01-01	JOHN BREEN
001	2009-01-01	KIMBERLY BOHNY
001	2008-01-01

Plan Statistics for BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST

Measure Date Value
2014: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 53
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 58
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 1
Total of all active and inactive participants 2014-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 59
Number of participants with account balances 2014-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 47
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 53
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 0
Total of all active and inactive participants 2013-01-01 53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 53
Number of participants with account balances 2013-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 65
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 47
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 0
Total of all active and inactive participants 2012-01-01 47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 47
Number of participants with account balances 2012-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 53
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 65
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 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 65
Number of participants with account balances 2011-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 39
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 42
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 4
Total of all active and inactive participants 2009-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 46
Number of participants with account balances 2009-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	53
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	58
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	1
Total of all active and inactive participants	2014-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	59
Number of participants with account balances	2014-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	47
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	53
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	0
Total of all active and inactive participants	2013-01-01	53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	53
Number of participants with account balances	2013-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	65
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	47
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	0
Total of all active and inactive participants	2012-01-01	47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	47
Number of participants with account balances	2012-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	53
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	65
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	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	65
Number of participants with account balances	2011-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	39
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	42
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	4
Total of all active and inactive participants	2009-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	46
Number of participants with account balances	2009-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2014 : BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$250,337
Expenses. Total of all expenses incurred	2014-12-31	$577
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$1,475,595
Total plan assets at beginning of year	2014-12-31	$1,225,835
Value of fidelity bond covering the plan	2014-12-31	$0
Total contributions received or receivable from participants	2014-12-31	$152,768
Expenses. Other expenses not covered elsewhere	2014-12-31	$577
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$97,569
Net income (gross income less expenses)	2014-12-31	$249,760
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,475,595
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,225,835
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	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 : BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$340,268
Expenses. Total of all expenses incurred	2013-12-31	$52,657
Benefits paid (including direct rollovers)	2013-12-31	$52,657
Total plan assets at end of year	2013-12-31	$1,210,968
Total plan assets at beginning of year	2013-12-31	$923,357
Value of fidelity bond covering the plan	2013-12-31	$25,000
Total contributions received or receivable from participants	2013-12-31	$130,631
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$209,637
Net income (gross income less expenses)	2013-12-31	$287,611
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,210,968
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$923,357
Total contributions received or receivable from employer(s)	2013-12-31	$0
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
2012 : BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$235,095
Expenses. Total of all expenses incurred	2012-12-31	$8,393
Benefits paid (including direct rollovers)	2012-12-31	$6,775
Total plan assets at end of year	2012-12-31	$923,357
Total plan assets at beginning of year	2012-12-31	$696,655
Value of fidelity bond covering the plan	2012-12-31	$25,000
Total contributions received or receivable from participants	2012-12-31	$120,139
Contributions received from other sources (not participants or employers)	2012-12-31	$2,569
Other income received	2012-12-31	$112,355
Net income (gross income less expenses)	2012-12-31	$226,702
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$923,357
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$696,655
Assets. Value of participant loans	2012-12-31	$0
Total contributions received or receivable from employer(s)	2012-12-31	$32
Value of certain deemed distributions of participant loans	2012-12-31	$1,468
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$150
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$78,887
Expenses. Total of all expenses incurred	2011-12-31	$16,490
Benefits paid (including direct rollovers)	2011-12-31	$14,296
Total plan assets at end of year	2011-12-31	$696,655
Total plan assets at beginning of year	2011-12-31	$634,258
Value of fidelity bond covering the plan	2011-12-31	$25,000
Total contributions received or receivable from participants	2011-12-31	$89,190
Other income received	2011-12-31	$-10,303
Net income (gross income less expenses)	2011-12-31	$62,397
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$696,655
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$634,258
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$2,194
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$176,326
Expenses. Total of all expenses incurred	2010-12-31	$68,396
Benefits paid (including direct rollovers)	2010-12-31	$65,338
Total plan assets at end of year	2010-12-31	$634,258
Total plan assets at beginning of year	2010-12-31	$526,328
Value of fidelity bond covering the plan	2010-12-31	$25,000
Total contributions received or receivable from participants	2010-12-31	$119,717
Other income received	2010-12-31	$56,609
Net income (gross income less expenses)	2010-12-31	$107,930
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$634,258
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$526,328
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$3,058
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST

2014: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 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: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 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: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 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 – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2008: BAY HEAD INVESTMENTS 401(K) PROFIT SHARING PLAN AND TRUST 2008 form 5500 responses
2008-01-01	Submission has been amended	No
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No

Insurance Providers Used on plan

METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )

Policy contract number

927457

Policy instance

Insurance contract or identification number	927457
Number of Individuals Covered	0
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $906
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	BAY HEAD INVESTMENTS
Employer identification number (EIN):	223545075
NAIC Classification:	336210