401k Plan data: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN plan

STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 401k Plan overview

Plan Name	STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN
Plan identification number	001

STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 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.
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

STRATEGY AND MANAGEMENT SERVICES, INC has sponsored the creation of one or more 401k plans.

Company Name: STRATEGY AND MANAGEMENT SERVICES, INC

Employer identification number (EIN): 262856494

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01 STACI REDMON 2022-01-21 STACI REDMON 2022-01-21
001 2020-01-01 STACI REDMON 2021-07-19 STACI REDMON 2021-07-19
001 2019-01-01
001 2018-01-01
001 2018-01-01
001 2017-01-01
001 2017-01-01
001 2016-01-01
001 2016-01-01

Plan Statistics for STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN

401k plan membership statisitcs for STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN

Measure Date Value
2019: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 117
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 54
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 30
Total of all active and inactive participants 2019-01-01 84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 84
Number of participants with account balances 2019-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 4
2018: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 161
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 102
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 30
Total of all active and inactive participants 2018-01-01 132
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 132
Number of participants with account balances 2018-01-01 113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 5
2017: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 163
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 100
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 54
Total of all active and inactive participants 2017-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 154
Number of participants with account balances 2017-01-01 109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 14
2016: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 155
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 110
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 53
Total of all active and inactive participants 2016-01-01 163
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 163
Number of participants with account balances 2016-01-01 111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 27

Measure	Date	Value
2019: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	117
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	54
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	30
Total of all active and inactive participants	2019-01-01	84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	84
Number of participants with account balances	2019-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	4
2018: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	161
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	102
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	30
Total of all active and inactive participants	2018-01-01	132
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	132
Number of participants with account balances	2018-01-01	113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	5
2017: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	163
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	100
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	54
Total of all active and inactive participants	2017-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	154
Number of participants with account balances	2017-01-01	109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	14
2016: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	155
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	110
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	53
Total of all active and inactive participants	2016-01-01	163
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	163
Number of participants with account balances	2016-01-01	111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	27

Financial Data on STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN

Measure	Date	Value
2019 : STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets	2019-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$526,710
Total income from all sources (including contributions)	2019-12-31	$526,710
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$535,588
Total of all expenses incurred	2019-12-31	$535,588
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$502,757
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$502,757
Expenses. Certain deemed distributions of participant loans	2019-12-31	$12,836
Expenses. Certain deemed distributions of participant loans	2019-12-31	$12,836
Value of total corrective distributions	2019-12-31	$1
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$205,707
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$205,707
Value of total assets at end of year	2019-12-31	$1,628,331
Value of total assets at end of year	2019-12-31	$1,628,331
Value of total assets at beginning of year	2019-12-31	$1,637,209
Value of total assets at beginning of year	2019-12-31	$1,637,209
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$19,994
Total income from rents	2019-12-31	$0
Total interest from all sources	2019-12-31	$1,735
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$2,488
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$2,488
Administrative expenses professional fees incurred	2019-12-31	$0
Administrative expenses professional fees incurred	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$2,000,000
Value of fidelity bond cover	2019-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Amount of non-exempt transactions with any party-in-interest	2019-12-31	$0
Amount of non-exempt transactions with any party-in-interest	2019-12-31	$0
Contributions received from participants	2019-12-31	$196,752
Contributions received from participants	2019-12-31	$196,752
Participant contributions at end of year	2019-12-31	$3,823
Participant contributions at beginning of year	2019-12-31	$46,124
Participant contributions at beginning of year	2019-12-31	$46,124
Participant contributions at end of year	2019-12-31	$4,929
Participant contributions at beginning of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
Liabilities. Value of operating payables at beginning of year	2019-12-31	$0
Liabilities. Value of operating payables at beginning of year	2019-12-31	$0
Total non interest bearing cash at end of year	2019-12-31	$0
Total non interest bearing cash at beginning of year	2019-12-31	$0
Total non interest bearing cash at beginning of year	2019-12-31	$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	2019-12-31	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	2019-12-31	No
Value of net income/loss	2019-12-31	$-8,878
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,628,331
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,637,209
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,637,209
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	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	2019-12-31	$0
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	2019-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2019-12-31	$0
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2019-12-31	$0
Investment advisory and management fees	2019-12-31	$0
Investment advisory and management fees	2019-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$128,466
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$72,572
Value of interest in pooled separate accounts at end of year	2019-12-31	$66,437
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$73,466
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$73,466
Interest on participant loans	2019-12-31	$1,673
Interest on participant loans	2019-12-31	$1,673
Income. Interest from loans (other than to participants)	2019-12-31	$0
Income. Interest from loans (other than to participants)	2019-12-31	$0
Interest earned on other investments	2019-12-31	$62
Interest earned on other investments	2019-12-31	$62
Income. Interest from US Government securities	2019-12-31	$0
Income. Interest from corporate debt instruments	2019-12-31	$0
Income. Interest from corporate debt instruments	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$1,407,555
Value of interest in common/collective trusts at beginning of year	2019-12-31	$1,421,015
Value of interest in common/collective trusts at beginning of year	2019-12-31	$1,421,015
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$8,171
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$14,726
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$14,726
Net investment gain/loss from pooled separate accounts	2019-12-31	$20,376
Net investment gain/loss from pooled separate accounts	2019-12-31	$20,376
Net investment gain or loss from common/collective trusts	2019-12-31	$281,678
Net investment gain or loss from common/collective trusts	2019-12-31	$281,678
Net gain/loss from 103.12 investment entities	2019-12-31	$0
Net gain/loss from 103.12 investment entities	2019-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$8,955
Contributions received in cash from employer	2019-12-31	$8,955
Employer contributions (assets) at end of year	2019-12-31	$8,950
Employer contributions (assets) at beginning of year	2019-12-31	$24,032
Employer contributions (assets) at beginning of year	2019-12-31	$24,032
Income. Dividends from preferred stock	2019-12-31	$0
Income. Dividends from preferred stock	2019-12-31	$0
Income. Dividends from common stock	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$502,757
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$502,757
Contract administrator fees	2019-12-31	$19,994
Contract administrator fees	2019-12-31	$19,994
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$0
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Aggregate proceeds on sale of assets	2019-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2019-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2019-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	ARONSON LLC
Accountancy firm name	2019-12-31	ARONSON LLC
Accountancy firm EIN	2019-12-31	371611326
Accountancy firm EIN	2019-12-31	371611326
2018 : STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$0
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Expenses. Interest paid	2018-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$280,545
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$627,493
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$604,748
Expenses. Certain deemed distributions of participant loans	2018-12-31	$1,480
Value of total corrective distributions	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$349,540
Value of total assets at end of year	2018-12-31	$1,637,209
Value of total assets at beginning of year	2018-12-31	$1,984,157
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$21,265
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$2,385
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,431
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,431
Administrative expenses professional fees incurred	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Amount of non-exempt transactions with any party-in-interest	2018-12-31	$0
Contributions received from participants	2018-12-31	$233,110
Participant contributions at end of year	2018-12-31	$46,124
Participant contributions at beginning of year	2018-12-31	$44,536
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$45,866
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$0
Liabilities. Value of operating payables at beginning of year	2018-12-31	$0
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$19,894
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Income. Non cash contributions	2018-12-31	$0
Value of net income/loss	2018-12-31	$-346,948
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$1,637,209
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$1,984,157
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	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	2018-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2018-12-31	$0
Investment advisory and management fees	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$72,572
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$1,901,968
Value of interest in pooled separate accounts at end of year	2018-12-31	$73,466
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$0
Interest on participant loans	2018-12-31	$2,385
Income. Interest from loans (other than to participants)	2018-12-31	$0
Interest earned on other investments	2018-12-31	$0
Income. Interest from US Government securities	2018-12-31	$0
Income. Interest from corporate debt instruments	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$1,421,015
Value of interest in common/collective trusts at beginning of year	2018-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$43,461
Net investment gain/loss from pooled separate accounts	2018-12-31	$-6,255
Net investment gain or loss from common/collective trusts	2018-12-31	$-110,017
Net gain/loss from 103.12 investment entities	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$70,564
Employer contributions (assets) at end of year	2018-12-31	$24,032
Employer contributions (assets) at beginning of year	2018-12-31	$17,759
Income. Dividends from preferred stock	2018-12-31	$0
Income. Dividends from common stock	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$604,748
Contract administrator fees	2018-12-31	$21,265
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Liabilities. Value of benefit claims payable at beginning of year	2018-12-31	$0
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2018-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	ARONSON LLC
Accountancy firm EIN	2018-12-31	371611326
2017 : STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$773,430
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$444,381
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$425,779
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$487,508
Value of total assets at end of year	2017-12-31	$1,988,510
Value of total assets at beginning of year	2017-12-31	$1,659,461
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$18,602
Total interest from all sources	2017-12-31	$2,224
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	No
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$263,335
Participant contributions at end of year	2017-12-31	$44,536
Participant contributions at beginning of year	2017-12-31	$57,512
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$614
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$108,896
Other income not declared elsewhere	2017-12-31	$160
Administrative expenses (other) incurred	2017-12-31	$3,300
Total non interest bearing cash at end of year	2017-12-31	$19,894
Total non interest bearing cash at beginning of year	2017-12-31	$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	2017-12-31	No
Value of net income/loss	2017-12-31	$329,049
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$1,988,510
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$1,659,461
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$3,722
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$1,901,968
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$1,469,438
Interest on participant loans	2017-12-31	$2,224
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$20,210
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$283,538
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$115,277
Employer contributions (assets) at end of year	2017-12-31	$21,796
Employer contributions (assets) at beginning of year	2017-12-31	$131,897
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$425,779
Contract administrator fees	2017-12-31	$11,580
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	ARONSON, LLC
Accountancy firm EIN	2017-12-31	371611326
2016 : STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$1,151,471
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	$790,966
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$282,976
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$261,167
Expenses. Certain deemed distributions of participant loans	2016-12-31	$7,132
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$590,270
Value of total assets at end of year	2016-12-31	$1,659,461
Value of total assets at beginning of year	2016-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$14,677
Total interest from all sources	2016-12-31	$2,600
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
Was this plan covered by a fidelity bond	2016-12-31	No
If this is an individual account plan, was there a blackout period	2016-12-31	No
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
Contributions received from participants	2016-12-31	$248,451
Participant contributions at end of year	2016-12-31	$57,512
Participant contributions at beginning of year	2016-12-31	$0
Participant contributions at end of year	2016-12-31	$614
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$57,374
Administrative expenses (other) incurred	2016-12-31	$3,200
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	$507,990
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$1,659,461
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$0
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
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$269
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$1,469,438
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$0
Interest on participant loans	2016-12-31	$2,600
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$198,096
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
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	$284,445
Employer contributions (assets) at end of year	2016-12-31	$131,897
Employer contributions (assets) at beginning of year	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$261,167
Contract administrator fees	2016-12-31	$11,208
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
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	ARONSON, LLC
Accountancy firm EIN	2016-12-31	371611326

Form 5500 Responses for STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN

2019: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
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 – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	Yes
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
2017: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: STRATEGY AND MANAGEMENT SERVICES 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	First time form 5500 has been submitted	Yes
2016-01-01	Submission has been amended	No
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 funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	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

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	84
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
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

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

466216

Policy instance

Insurance contract or identification number	466216
Number of Individuals Covered	84
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	132
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
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

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

466216

Policy instance

Insurance contract or identification number	466216
Number of Individuals Covered	132
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

121370

Policy instance

Insurance contract or identification number	121370
Number of Individuals Covered	0
Insurance policy start date	2018-01-01
Insurance policy end date	2018-01-16
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

121370

Policy instance

Insurance contract or identification number	121370
Number of Individuals Covered	102
Insurance policy start date	2017-01-15
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $1,214
Total amount of fees paid to insurance company	USD $4,515
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
Amount paid for insurance broker fees	4515
Additional information about fees paid to insurance broker	TPA FEES, TPA COMPENSATION
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $1,214
Insurance broker name	EDWARD D. JONES & COMPANY

Potentially related plans

STRATEGY AND EXECUTION, LLC RETIREMENT PLAN [EIN = 852742159]

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Company Name:	STRATEGY AND MANAGEMENT SERVICES, INC
Employer identification number (EIN):	262856494
NAIC Classification:	541600

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2021-01-01	STACI REDMON	2022-01-21	STACI REDMON	2022-01-21
001	2020-01-01	STACI REDMON	2021-07-19	STACI REDMON	2021-07-19
001	2019-01-01
001	2018-01-01
001	2018-01-01
001	2017-01-01
001	2017-01-01
001	2016-01-01
001	2016-01-01