401k Plan data: WEST RIM CAPITAL 401(K) PLAN plan

WEST RIM CAPITAL 401(K) PLAN 401k Plan overview

Plan Name	WEST RIM CAPITAL 401(K) PLAN
Plan identification number	002

WEST RIM CAPITAL 401(K) 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

WEST RIM CAPITAL ADVISORS, L.P. has sponsored the creation of one or more 401k plans.

Company Name: WEST RIM CAPITAL ADVISORS, L.P.

Employer identification number (EIN): 260759651

NAIC Classification: 525910
NAIC Description: Open-End Investment Funds

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WEST RIM CAPITAL 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 LARRY PIERCE 2018-10-05
002 2016-01-01 BRIAN DUNN 2017-10-02
002 2015-01-01 BRIAN DUNN 2016-10-11
002 2014-01-01 BRIAN DUNN 2015-05-28
002 2013-01-01 BRIAN DUNN 2014-03-19
002 2012-01-01 BRIAN DUNN 2013-06-03
002 2011-01-01 BRIAN DUNN 2012-03-05
002 2010-01-01 BRIAN DUNN 2011-03-14

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2022-01-01
002	2021-01-01
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01	LARRY PIERCE	2018-10-05
002	2016-01-01	BRIAN DUNN	2017-10-02
002	2015-01-01	BRIAN DUNN	2016-10-11
002	2014-01-01	BRIAN DUNN	2015-05-28
002	2013-01-01	BRIAN DUNN	2014-03-19
002	2012-01-01	BRIAN DUNN	2013-06-03
002	2011-01-01	BRIAN DUNN	2012-03-05
002	2010-01-01	BRIAN DUNN	2011-03-14

Plan Statistics for WEST RIM CAPITAL 401(K) PLAN

401k plan membership statisitcs for WEST RIM CAPITAL 401(K) PLAN

Measure Date Value
2022: WEST RIM CAPITAL 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 26
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 6
Total of all active and inactive participants 2022-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 32
Number of participants with account balances 2022-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: WEST RIM CAPITAL 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 27
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 8
Total of all active and inactive participants 2021-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 35
Number of participants with account balances 2021-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: WEST RIM CAPITAL 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 34
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 7
Total of all active and inactive participants 2020-01-01 41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 41
Number of participants with account balances 2020-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: WEST RIM CAPITAL 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 39
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 31
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 10
Total of all active and inactive participants 2019-01-01 41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 41
Number of participants with account balances 2019-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: WEST RIM CAPITAL 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 39
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 32
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 7
Total of all active and inactive participants 2018-01-01 39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 39
Number of participants with account balances 2018-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0

Measure	Date	Value
2022: WEST RIM CAPITAL 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	26
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	6
Total of all active and inactive participants	2022-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	32
Number of participants with account balances	2022-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: WEST RIM CAPITAL 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	27
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	8
Total of all active and inactive participants	2021-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	35
Number of participants with account balances	2021-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: WEST RIM CAPITAL 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	34
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	7
Total of all active and inactive participants	2020-01-01	41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	41
Number of participants with account balances	2020-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: WEST RIM CAPITAL 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	39
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	31
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	10
Total of all active and inactive participants	2019-01-01	41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	41
Number of participants with account balances	2019-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: WEST RIM CAPITAL 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	39
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	32
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	7
Total of all active and inactive participants	2018-01-01	39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	39
Number of participants with account balances	2018-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0

Financial Data on WEST RIM CAPITAL 401(K) PLAN

Measure	Date	Value
2022 : WEST RIM CAPITAL 401(K) PLAN 2022 401k financial data
Transfers to/from the plan	2022-12-31	$0
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-401,101
Expenses. Total of all expenses incurred	2022-12-31	$213,608
Benefits paid (including direct rollovers)	2022-12-31	$204,728
Total plan assets at end of year	2022-12-31	$3,069,571
Total plan assets at beginning of year	2022-12-31	$3,684,280
Value of fidelity bond covering the plan	2022-12-31	$500,000
Total contributions received or receivable from participants	2022-12-31	$200,617
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$0
Other income received	2022-12-31	$-601,718
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-614,709
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$3,069,571
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$3,684,280
Total contributions received or receivable from employer(s)	2022-12-31	$0
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$8,880
2021 : WEST RIM CAPITAL 401(K) PLAN 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$905,745
Expenses. Total of all expenses incurred	2021-12-31	$492,609
Benefits paid (including direct rollovers)	2021-12-31	$483,297
Total plan assets at end of year	2021-12-31	$3,684,280
Total plan assets at beginning of year	2021-12-31	$3,271,144
Value of fidelity bond covering the plan	2021-12-31	$500,000
Total contributions received or receivable from participants	2021-12-31	$301,854
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$165,056
Other income received	2021-12-31	$438,835
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$413,136
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$3,684,280
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$3,271,144
Total contributions received or receivable from employer(s)	2021-12-31	$0
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$9,312
2020 : WEST RIM CAPITAL 401(K) PLAN 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$711,468
Expenses. Total of all expenses incurred	2020-12-31	$177,770
Benefits paid (including direct rollovers)	2020-12-31	$170,836
Total plan assets at end of year	2020-12-31	$3,271,144
Total plan assets at beginning of year	2020-12-31	$2,737,446
Value of fidelity bond covering the plan	2020-12-31	$500,000
Assets. Value of tangible personal property	2020-12-31	$0
Total contributions received or receivable from participants	2020-12-31	$292,081
Assets. Value of loans (other than to participants)	2020-12-31	$0
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$7,683
Other income received	2020-12-31	$411,704
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$533,698
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$3,271,144
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$2,737,446
Assets. Value of participant loans	2020-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2020-12-31	$0
Assets. Value of real-estate (other than employer real property)	2020-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2020-12-31	$0
Assets. Value of employer securities	2020-12-31	$0
Assets. Value of employer real property	2020-12-31	$0
Total contributions received or receivable from employer(s)	2020-12-31	$0
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$6,934
2019 : WEST RIM CAPITAL 401(K) PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$654,436
Expenses. Total of all expenses incurred	2019-12-31	$5,945
Benefits paid (including direct rollovers)	2019-12-31	$0
Total plan assets at end of year	2019-12-31	$2,737,446
Total plan assets at beginning of year	2019-12-31	$2,088,955
Value of fidelity bond covering the plan	2019-12-31	$250,000
Total contributions received or receivable from participants	2019-12-31	$197,483
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$19,286
Other income received	2019-12-31	$437,667
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$648,491
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$2,737,446
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$2,088,955
Assets. Value of participant loans	2019-12-31	$49,213
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2019-12-31	$0
Total contributions received or receivable from employer(s)	2019-12-31	$0
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$5,945
2018 : WEST RIM CAPITAL 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$38,603
Expenses. Total of all expenses incurred	2018-12-31	$69,040
Benefits paid (including direct rollovers)	2018-12-31	$67,525
Total plan assets at end of year	2018-12-31	$2,088,955
Total plan assets at beginning of year	2018-12-31	$2,119,392
Value of fidelity bond covering the plan	2018-12-31	$180,750
Total contributions received or receivable from participants	2018-12-31	$172,234
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-133,631
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$-30,437
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$2,088,955
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$2,119,392
Assets. Value of participant loans	2018-12-31	$49,783
Total contributions received or receivable from employer(s)	2018-12-31	$0
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$1,515

Form 5500 Responses for WEST RIM CAPITAL 401(K) PLAN

2022: WEST RIM CAPITAL 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: WEST RIM CAPITAL 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: WEST RIM CAPITAL 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: WEST RIM CAPITAL 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: WEST RIM CAPITAL 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	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

99274

Policy instance

Insurance contract or identification number	99274
Number of Individuals Covered	0
Insurance policy start date	2018-01-01
Insurance policy end date	2018-08-14
Total amount of commissions paid to insurance broker	USD $1,123
Are there contracts with allocated funds for individual policies?	0
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?	No
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 $0
Amount paid for insurance broker fees	1055

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Company Name:	WEST RIM CAPITAL ADVISORS, L.P.
Employer identification number (EIN):	260759651
NAIC Classification:	525910
NAIC Description:	Open-End Investment Funds