401k Plan data: OXFORD HOLDINGS INC PENSION PLAN plan

OXFORD HOLDINGS INC PENSION PLAN 401k Plan overview

Plan Name	OXFORD HOLDINGS INC PENSION PLAN
Plan identification number	001

OXFORD HOLDINGS INC PENSION PLAN Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation). Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

OXFORD HOLDINGS INC. has sponsored the creation of one or more 401k plans.

Company Name: OXFORD HOLDINGS INC.

Employer identification number (EIN): 228500350

NAIC Classification: 551112
NAIC Description: Offices of Other Holding Companies

Additional information about OXFORD HOLDINGS INC.

Jurisdiction of Incorporation: Colorado Department of State

Incorporation Date: 2006-10-20

Company Identification Number: 20061429664

Legal Registered Office Address: 8480 E. Orchard Road
Suite 3600
Greenwood Village
United States of America (USA)
80111

More information about OXFORD HOLDINGS INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OXFORD HOLDINGS INC PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 CHRIS FRASER CHRIS FRASER 2017-10-16
001 2015-01-01 VIVEK NAIDOO VIVEK NAIDOO 2016-10-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01	CHRIS FRASER		CHRIS FRASER	2017-10-16
001	2015-01-01	VIVEK NAIDOO		VIVEK NAIDOO	2016-10-12

Plan Statistics for OXFORD HOLDINGS INC PENSION PLAN

401k plan membership statisitcs for OXFORD HOLDINGS INC PENSION PLAN

Measure Date Value
2016: OXFORD HOLDINGS INC PENSION PLAN 2016 401k membership
Market value of plan assets 2016-12-31 6,440,296
Acturial value of plan assets 2016-12-31 6,842,281
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 1,029,255
Number of terminated vested participants 2016-12-31 124
Fundng target for terminated vested participants 2016-12-31 4,057,841
Active participant vested funding target 2016-12-31 2,931,130
Number of active participants 2016-12-31 74
Total funding liabilities for active participants 2016-12-31 2,934,000
Total participant count 2016-12-31 209
Total funding target for all participants 2016-12-31 8,021,096
Balance at beginning of prior year after applicable adjustments 2016-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 275
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 0
Amount remaining of carryover balance 2016-12-31 0
Amount remaining of prefunding balance 2016-12-31 275
Present value of excess contributions 2016-12-31 4,061
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 4,321
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 0
Balance of prefunding at beginning of current year 2016-12-31 266
Total employer contributions 2016-12-31 704,125
Total employee contributions 2016-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 674,866
Liquidity shortfalls end of Q1 2016-12-31 0
Liquidity shortfalls end of Q2 2016-12-31 0
Liquidity shortfalls end of Q3 2016-12-31 0
Liquidity shortfalls end of Q4 2016-12-31 0
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 200,000
Net shortfall amortization installment of oustanding balance 2016-12-31 1,179,081
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 672,799
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 0
Additional cash requirement 2016-12-31 672,799
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 674,866
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0
Total participants, beginning-of-year 2016-01-01 204
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 20
Number of retired or separated participants receiving benefits 2016-01-01 15
Number of other retired or separated participants entitled to future benefits 2016-01-01 160
Total of all active and inactive participants 2016-01-01 195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 2
Total participants 2016-01-01 197
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: OXFORD HOLDINGS INC PENSION PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 218
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 74
Number of retired or separated participants receiving benefits 2015-01-01 10
Number of other retired or separated participants entitled to future benefits 2015-01-01 124
Total of all active and inactive participants 2015-01-01 208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2016: OXFORD HOLDINGS INC PENSION PLAN 2016 401k membership
Market value of plan assets	2016-12-31	6,440,296
Acturial value of plan assets	2016-12-31	6,842,281
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	1,029,255
Number of terminated vested participants	2016-12-31	124
Fundng target for terminated vested participants	2016-12-31	4,057,841
Active participant vested funding target	2016-12-31	2,931,130
Number of active participants	2016-12-31	74
Total funding liabilities for active participants	2016-12-31	2,934,000
Total participant count	2016-12-31	209
Total funding target for all participants	2016-12-31	8,021,096
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	275
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	0
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	275
Present value of excess contributions	2016-12-31	4,061
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	4,321
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	266
Total employer contributions	2016-12-31	704,125
Total employee contributions	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	674,866
Liquidity shortfalls end of Q1	2016-12-31	0
Liquidity shortfalls end of Q2	2016-12-31	0
Liquidity shortfalls end of Q3	2016-12-31	0
Liquidity shortfalls end of Q4	2016-12-31	0
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	200,000
Net shortfall amortization installment of oustanding balance	2016-12-31	1,179,081
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	672,799
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	0
Additional cash requirement	2016-12-31	672,799
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	674,866
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0
Total participants, beginning-of-year	2016-01-01	204
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	20
Number of retired or separated participants receiving benefits	2016-01-01	15
Number of other retired or separated participants entitled to future benefits	2016-01-01	160
Total of all active and inactive participants	2016-01-01	195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	2
Total participants	2016-01-01	197
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: OXFORD HOLDINGS INC PENSION PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	218
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	74
Number of retired or separated participants receiving benefits	2015-01-01	10
Number of other retired or separated participants entitled to future benefits	2015-01-01	124
Total of all active and inactive participants	2015-01-01	208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on OXFORD HOLDINGS INC PENSION PLAN

Measure	Date	Value
2016 : OXFORD HOLDINGS INC PENSION PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$0
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	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	$1,140,166
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$939,446
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$725,794
Value of total corrective distributions	2016-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$704,125
Value of total assets at end of year	2016-12-31	$6,642,204
Value of total assets at beginning of year	2016-12-31	$6,441,484
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$213,652
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
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	$0
Administrative expenses professional fees incurred	2016-12-31	$44,374
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$3,200,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Amount of non-exempt transactions with any party-in-interest	2016-12-31	$0
Contributions received from participants	2016-12-31	$0
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$117,876
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
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	$200,720
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$6,642,204
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$6,441,484
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2016-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$12,286
Value of interest in pooled separate accounts at end of year	2016-12-31	$6,408,079
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$6,231,484
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$0
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$0
Net investment gain/loss from pooled separate accounts	2016-12-31	$436,041
Net investment gain or loss from common/collective trusts	2016-12-31	$0
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	Yes
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	$704,125
Employer contributions (assets) at end of year	2016-12-31	$234,125
Employer contributions (assets) at beginning of year	2016-12-31	$210,000
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$725,794
Contract administrator fees	2016-12-31	$39,116
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
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
Aggregate proceeds on sale of assets	2016-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
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	WITHUMSMITH AND BROWN
Accountancy firm EIN	2016-12-31	222027092
2015 : OXFORD HOLDINGS INC PENSION 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	$379,254
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$924,301
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$828,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$595,100
Value of total assets at end of year	2015-12-31	$6,441,484
Value of total assets at beginning of year	2015-12-31	$6,986,531
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$96,301
Total interest from all sources	2015-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$96,301
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
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	$-545,047
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$6,441,484
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$6,986,531
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 pooled separate accounts at end of year	2015-12-31	$6,231,484
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$6,886,579
Net investment gain/loss from pooled separate accounts	2015-12-31	$-215,846
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	Yes
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	$595,100
Employer contributions (assets) at end of year	2015-12-31	$210,000
Employer contributions (assets) at beginning of year	2015-12-31	$99,952
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$828,000
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	WITHUM SMITH AND BROWN, PC
Accountancy firm EIN	2015-12-31	222027092

Form 5500 Responses for OXFORD HOLDINGS INC PENSION PLAN

2016: OXFORD HOLDINGS INC PENSION PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
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 – Insurance	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2015: OXFORD HOLDINGS INC PENSION 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 – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	450515
Policy instance	1

Potentially related plans

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Company Name:	OXFORD HOLDINGS INC.
Employer identification number (EIN):	228500350
NAIC Classification:	551112
NAIC Description:	Offices of Other Holding Companies

Jurisdiction of Incorporation:	Colorado Department of State
Incorporation Date:	2006-10-20
Company Identification Number:	20061429664
Legal Registered Office Address:	8480 E. Orchard Road Suite 3600 Greenwood Village United States of America (USA) 80111