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CLINTON ALUMINUM 401(K) PLAN 401k Plan overview

Plan NameCLINTON ALUMINUM 401(K) PLAN
Plan identification number 001

CLINTON ALUMINUM 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CLINTON ALUMINUM DISTRIBUTION, INC. has sponsored the creation of one or more 401k plans.

Company Name:CLINTON ALUMINUM DISTRIBUTION, INC.
Employer identification number (EIN):272845414
NAIC Classification:333900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CLINTON ALUMINUM 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01THOMAS DAGENBACK
0012016-01-01THOMAS DAGENBACK
0012015-01-01THOMAS DAGENBACK
0012014-01-01THOMAS DAGENBACK
0012013-01-01TED MCQUADE
0012012-01-01TED MCQUADE
0012011-01-01TED MCQUADE
0012010-01-01ANTHONY NEGRELLI

Plan Statistics for CLINTON ALUMINUM 401(K) PLAN

401k plan membership statisitcs for CLINTON ALUMINUM 401(K) PLAN

Measure Date Value
2022: CLINTON ALUMINUM 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01190
Total number of active participants reported on line 7a of the Form 55002022-01-01147
Number of retired or separated participants receiving benefits2022-01-011
Number of other retired or separated participants entitled to future benefits2022-01-0131
Total of all active and inactive participants2022-01-01179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01179
Number of participants with account balances2022-01-01170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-018
2021: CLINTON ALUMINUM 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01183
Total number of active participants reported on line 7a of the Form 55002021-01-01140
Number of retired or separated participants receiving benefits2021-01-011
Number of other retired or separated participants entitled to future benefits2021-01-0138
Total of all active and inactive participants2021-01-01179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01179
Number of participants with account balances2021-01-01120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-012
2020: CLINTON ALUMINUM 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01190
Total number of active participants reported on line 7a of the Form 55002020-01-01139
Number of retired or separated participants receiving benefits2020-01-011
Number of other retired or separated participants entitled to future benefits2020-01-0133
Total of all active and inactive participants2020-01-01173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01173
Number of participants with account balances2020-01-01122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-015
2019: CLINTON ALUMINUM 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01194
Total number of active participants reported on line 7a of the Form 55002019-01-01147
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-0136
Total of all active and inactive participants2019-01-01184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01184
Number of participants with account balances2019-01-01125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-015
2018: CLINTON ALUMINUM 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01177
Total number of active participants reported on line 7a of the Form 55002018-01-01151
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0132
Total of all active and inactive participants2018-01-01183
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01183
Number of participants with account balances2018-01-01118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-012
2017: CLINTON ALUMINUM 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01149
Total number of active participants reported on line 7a of the Form 55002017-01-01139
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0128
Total of all active and inactive participants2017-01-01167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01167
Number of participants with account balances2017-01-01114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-015
2016: CLINTON ALUMINUM 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01167
Total number of active participants reported on line 7a of the Form 55002016-01-01143
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-01143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01143
Number of participants with account balances2016-01-01112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: CLINTON ALUMINUM 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01161
Total number of active participants reported on line 7a of the Form 55002015-01-01143
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0116
Total of all active and inactive participants2015-01-01159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01159
Number of participants with account balances2015-01-0198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: CLINTON ALUMINUM 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01180
Total number of active participants reported on line 7a of the Form 55002014-01-01133
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0114
Total of all active and inactive participants2014-01-01147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01147
Number of participants with account balances2014-01-0198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-016
2013: CLINTON ALUMINUM 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01188
Total number of active participants reported on line 7a of the Form 55002013-01-01151
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0113
Total of all active and inactive participants2013-01-01164
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01164
Number of participants with account balances2013-01-01115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-011
2012: CLINTON ALUMINUM 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01172
Total number of active participants reported on line 7a of the Form 55002012-01-01154
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0123
Total of all active and inactive participants2012-01-01177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01177
Number of participants with account balances2012-01-01135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: CLINTON ALUMINUM 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01172
Total number of active participants reported on line 7a of the Form 55002011-01-01145
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0121
Total of all active and inactive participants2011-01-01166
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01166
Number of participants with account balances2011-01-01124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-011
2010: CLINTON ALUMINUM 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01150
Total number of active participants reported on line 7a of the Form 55002010-01-01122
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0143
Total of all active and inactive participants2010-01-01165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01165
Number of participants with account balances2010-01-01144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010

Financial Data on CLINTON ALUMINUM 401(K) PLAN

Measure Date Value
2022 : CLINTON ALUMINUM 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-313,741
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$474,169
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$417,096
Expenses. Certain deemed distributions of participant loans2022-12-31$303
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$613,044
Value of total assets at end of year2022-12-31$5,476,322
Value of total assets at beginning of year2022-12-31$6,264,232
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$56,770
Total interest from all sources2022-12-31$9,689
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$125,533
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$125,533
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$397,072
Participant contributions at end of year2022-12-31$167,325
Participant contributions at beginning of year2022-12-31$185,493
Participant contributions at end of year2022-12-31$0
Participant contributions at beginning of year2022-12-31$6,454
Other income not declared elsewhere2022-12-31$952
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-787,910
Value of net assets at end of year (total assets less liabilities)2022-12-31$5,476,322
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$6,264,232
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$4,926,942
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$5,707,247
Interest on participant loans2022-12-31$9,689
Value of interest in common/collective trusts at end of year2022-12-31$382,055
Value of interest in common/collective trusts at beginning of year2022-12-31$361,624
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-1,073,344
Net investment gain or loss from common/collective trusts2022-12-31$10,385
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$215,972
Employer contributions (assets) at end of year2022-12-31$0
Employer contributions (assets) at beginning of year2022-12-31$3,414
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$417,096
Contract administrator fees2022-12-31$56,770
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31NOVOGRADAC & COMPANY LLP
Accountancy firm EIN2022-12-31943108253
2021 : CLINTON ALUMINUM 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$1,364,309
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$961,029
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$883,537
Expenses. Certain deemed distributions of participant loans2021-12-31$292
Value of total corrective distributions2021-12-31$19,657
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$637,865
Value of total assets at end of year2021-12-31$6,264,232
Value of total assets at beginning of year2021-12-31$5,860,952
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$57,543
Total interest from all sources2021-12-31$16,750
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$166,283
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$166,283
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$414,897
Participant contributions at end of year2021-12-31$185,493
Participant contributions at beginning of year2021-12-31$198,077
Participant contributions at end of year2021-12-31$6,454
Participant contributions at beginning of year2021-12-31$6,930
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$20,145
Other income not declared elsewhere2021-12-31$9,106
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$403,280
Value of net assets at end of year (total assets less liabilities)2021-12-31$6,264,232
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$5,860,952
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$5,707,247
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$5,519,266
Interest on participant loans2021-12-31$9,973
Interest earned on other investments2021-12-31$6,777
Value of interest in common/collective trusts at end of year2021-12-31$361,624
Value of interest in common/collective trusts at beginning of year2021-12-31$133,058
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$534,305
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$202,823
Employer contributions (assets) at end of year2021-12-31$3,414
Employer contributions (assets) at beginning of year2021-12-31$3,621
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$883,537
Contract administrator fees2021-12-31$57,543
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31NOVOGRADAC & COMPANY LLP
Accountancy firm EIN2021-12-31943108253
2020 : CLINTON ALUMINUM 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$1,366,358
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$290,870
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$226,652
Expenses. Certain deemed distributions of participant loans2020-12-31$319
Value of total corrective distributions2020-12-31$9,946
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$602,046
Value of total assets at end of year2020-12-31$5,860,952
Value of total assets at beginning of year2020-12-31$4,785,464
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$53,953
Total interest from all sources2020-12-31$12,700
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$113,561
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$113,561
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$402,518
Participant contributions at end of year2020-12-31$198,077
Participant contributions at beginning of year2020-12-31$224,617
Participant contributions at end of year2020-12-31$6,930
Participant contributions at beginning of year2020-12-31$0
Other income not declared elsewhere2020-12-31$916
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$1,075,488
Value of net assets at end of year (total assets less liabilities)2020-12-31$5,860,952
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$4,785,464
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$5,519,266
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$4,479,087
Interest on participant loans2020-12-31$12,700
Value of interest in common/collective trusts at end of year2020-12-31$133,058
Value of interest in common/collective trusts at beginning of year2020-12-31$81,760
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$636,943
Net investment gain or loss from common/collective trusts2020-12-31$192
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$199,528
Employer contributions (assets) at end of year2020-12-31$3,621
Employer contributions (assets) at beginning of year2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$226,652
Contract administrator fees2020-12-31$53,953
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31NOVOGRADAC & COMPANY LLP
Accountancy firm EIN2020-12-31943108253
2019 : CLINTON ALUMINUM 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$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 income from all sources (including contributions)2019-12-31$1,478,178
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$439,697
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$392,395
Expenses. Certain deemed distributions of participant loans2019-12-31$66
Value of total corrective distributions2019-12-31$6,864
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$651,557
Value of total assets at end of year2019-12-31$4,785,464
Value of total assets at beginning of year2019-12-31$3,746,983
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$40,372
Total interest from all sources2019-12-31$12,054
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$139,072
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$139,072
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$402,308
Participant contributions at end of year2019-12-31$224,617
Participant contributions at beginning of year2019-12-31$180,860
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$45,986
Other income not declared elsewhere2019-12-31$508
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$1,038,481
Value of net assets at end of year (total assets less liabilities)2019-12-31$4,785,464
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$3,746,983
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$4,479,087
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$3,566,123
Interest on participant loans2019-12-31$12,054
Value of interest in common/collective trusts at end of year2019-12-31$81,760
Value of interest in common/collective trusts at beginning of year2019-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$672,456
Net investment gain or loss from common/collective trusts2019-12-31$2,531
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$203,263
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$392,395
Contract administrator fees2019-12-31$40,372
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31NOVOGRADAC & COMPANY LLP
Accountancy firm EIN2019-12-31943108253
2018 : CLINTON ALUMINUM 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets from this plan2018-12-31$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
Total income from all sources (including contributions)2018-12-31$187,919
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$212,767
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$170,425
Expenses. Certain deemed distributions of participant loans2018-12-31$92
Value of total corrective distributions2018-12-31$5,896
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$411,768
Value of total assets at end of year2018-12-31$3,746,983
Value of total assets at beginning of year2018-12-31$3,771,831
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$36,354
Total interest from all sources2018-12-31$106,588
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Administrative expenses professional fees incurred2018-12-31$0
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$350,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$329,136
Participant contributions at end of year2018-12-31$180,860
Participant contributions at beginning of year2018-12-31$176,823
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$2,629
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$0
Administrative expenses (other) incurred2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-24,848
Value of net assets at end of year (total assets less liabilities)2018-12-31$3,746,983
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$3,771,831
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$3,566,123
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$3,595,008
Interest on participant loans2018-12-31$8,380
Interest earned on other investments2018-12-31$98,208
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-330,437
Net investment gain/loss from pooled separate accounts2018-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$80,003
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$170,425
Contract administrator fees2018-12-31$36,354
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31NOVOGRADAC & COMPANY LLP
Accountancy firm EIN2018-12-31943108253
2017 : CLINTON ALUMINUM 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$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$1,049,497
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$425,391
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$382,231
Expenses. Certain deemed distributions of participant loans2017-12-31$7,775
Value of total corrective distributions2017-12-31$9,836
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$411,763
Value of total assets at end of year2017-12-31$3,771,831
Value of total assets at beginning of year2017-12-31$3,147,725
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$25,549
Total interest from all sources2017-12-31$90,540
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 year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$350,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$320,791
Participant contributions at end of year2017-12-31$176,823
Participant contributions at beginning of year2017-12-31$186,749
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$4,315
Total non interest bearing cash at end of year2017-12-31$0
Total non interest bearing cash at beginning of year2017-12-31$9,265
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$624,106
Value of net assets at end of year (total assets less liabilities)2017-12-31$3,771,831
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$3,147,725
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$3,595,008
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$0
Value of interest in pooled separate accounts at end of year2017-12-31$0
Value of interest in pooled separate accounts at beginning of year2017-12-31$2,940,402
Interest on participant loans2017-12-31$9,363
Interest earned on other investments2017-12-31$81,177
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$5,627
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$395,999
Net investment gain/loss from pooled separate accounts2017-12-31$151,195
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$90,972
Employer contributions (assets) at end of year2017-12-31$0
Employer contributions (assets) at beginning of year2017-12-31$1,367
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$382,231
Contract administrator fees2017-12-31$25,549
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31NOVOGRADAC & COMPANY LLP
Accountancy firm EIN2017-12-31943108253
2016 : CLINTON ALUMINUM 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$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$485,681
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$423,690
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$396,551
Value of total corrective distributions2016-12-31$5,592
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$291,099
Value of total assets at end of year2016-12-31$3,147,725
Value of total assets at beginning of year2016-12-31$3,085,734
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$21,547
Total interest from all sources2016-12-31$10,915
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 year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$350,000
If this is an individual account plan, was there a blackout period2016-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$252,802
Participant contributions at end of year2016-12-31$186,749
Participant contributions at beginning of year2016-12-31$207,443
Participant contributions at end of year2016-12-31$4,315
Participant contributions at beginning of year2016-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$0
Other income not declared elsewhere2016-12-31$0
Total non interest bearing cash at end of year2016-12-31$9,265
Total non interest bearing cash at beginning of year2016-12-31$8,600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$61,991
Value of net assets at end of year (total assets less liabilities)2016-12-31$3,147,725
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$3,085,734
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in pooled separate accounts at end of year2016-12-31$2,940,402
Value of interest in pooled separate accounts at beginning of year2016-12-31$2,863,226
Interest on participant loans2016-12-31$7,533
Interest earned on other investments2016-12-31$3,382
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$5,627
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$6,465
Net investment gain/loss from pooled separate accounts2016-12-31$183,667
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$38,297
Employer contributions (assets) at end of year2016-12-31$1,367
Employer contributions (assets) at beginning of year2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$396,551
Contract administrator fees2016-12-31$21,547
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31Yes
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31NOVOGRADAC & COMPANY LLP
Accountancy firm EIN2016-12-31943108253
2015 : CLINTON ALUMINUM 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$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$280,229
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$177,396
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$151,165
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$337,803
Value of total assets at end of year2015-12-31$3,085,734
Value of total assets at beginning of year2015-12-31$2,982,901
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$26,231
Total interest from all sources2015-12-31$7,810
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 year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$300,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$223,679
Participant contributions at end of year2015-12-31$207,443
Participant contributions at beginning of year2015-12-31$134,510
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$114,124
Other income not declared elsewhere2015-12-31$-1,501
Total non interest bearing cash at end of year2015-12-31$8,600
Total non interest bearing cash at beginning of year2015-12-31$8,600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$102,833
Value of net assets at end of year (total assets less liabilities)2015-12-31$3,085,734
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$2,982,901
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in pooled separate accounts at end of year2015-12-31$2,863,226
Value of interest in pooled separate accounts at beginning of year2015-12-31$2,831,187
Interest on participant loans2015-12-31$7,663
Interest earned on other investments2015-12-31$147
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$6,465
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$8,604
Net investment gain/loss from pooled separate accounts2015-12-31$-63,883
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$151,165
Contract administrator fees2015-12-31$26,231
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31BDO USA, LLP
Accountancy firm EIN2015-12-31135381590
2014 : CLINTON ALUMINUM 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$374,953
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$462,355
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$436,734
Value of total corrective distributions2014-12-31$234
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$223,854
Value of total assets at end of year2014-12-31$2,982,901
Value of total assets at beginning of year2014-12-31$3,070,303
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$25,387
Total interest from all sources2014-12-31$6,448
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$300,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$223,854
Participant contributions at end of year2014-12-31$134,510
Participant contributions at beginning of year2014-12-31$165,349
Total non interest bearing cash at end of year2014-12-31$8,600
Total non interest bearing cash at beginning of year2014-12-31$5,744
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-87,402
Value of net assets at end of year (total assets less liabilities)2014-12-31$2,982,901
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$3,070,303
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in pooled separate accounts at end of year2014-12-31$2,831,187
Value of interest in pooled separate accounts at beginning of year2014-12-31$2,885,311
Interest on participant loans2014-12-31$6,426
Interest earned on other investments2014-12-31$22
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$8,604
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$13,899
Net investment gain/loss from pooled separate accounts2014-12-31$144,651
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$436,734
Contract administrator fees2014-12-31$25,387
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BDO USA, LLP
Accountancy firm EIN2014-12-31135381590
2013 : CLINTON ALUMINUM 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$9,106
Total income from all sources (including contributions)2013-12-31$674,015
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$310,918
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$278,923
Value of total corrective distributions2013-12-31$8,245
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$233,563
Value of total assets at end of year2013-12-31$3,070,303
Value of total assets at beginning of year2013-12-31$2,716,312
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$23,750
Total interest from all sources2013-12-31$7,365
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$300,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$223,188
Participant contributions at end of year2013-12-31$165,349
Participant contributions at beginning of year2013-12-31$189,884
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$5,449
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$9,106
Total non interest bearing cash at end of year2013-12-31$5,744
Total non interest bearing cash at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$363,097
Value of net assets at end of year (total assets less liabilities)2013-12-31$3,070,303
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$2,707,206
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$2,885,311
Value of interest in pooled separate accounts at beginning of year2013-12-31$2,508,453
Interest on participant loans2013-12-31$7,348
Interest earned on other investments2013-12-31$17
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$5,718
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$5,718
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$13,899
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$12,257
Net investment gain/loss from pooled separate accounts2013-12-31$433,087
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$4,926
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$278,923
Contract administrator fees2013-12-31$23,750
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31SS&G, INC.
Accountancy firm EIN2013-12-31341945695
2012 : CLINTON ALUMINUM 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$9,106
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$508,643
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$99,086
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$76,810
Expenses. Certain deemed distributions of participant loans2012-12-31$868
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$267,784
Value of total assets at end of year2012-12-31$2,716,312
Value of total assets at beginning of year2012-12-31$2,297,649
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$21,408
Total interest from all sources2012-12-31$8,316
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$300,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$232,750
Participant contributions at end of year2012-12-31$189,884
Participant contributions at beginning of year2012-12-31$201,043
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$35,034
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$9,106
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$409,557
Value of net assets at end of year (total assets less liabilities)2012-12-31$2,707,206
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$2,297,649
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in pooled separate accounts at end of year2012-12-31$2,508,453
Value of interest in pooled separate accounts at beginning of year2012-12-31$2,074,090
Interest on participant loans2012-12-31$8,263
Interest earned on other investments2012-12-31$53
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$5,718
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$5,722
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$5,722
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$12,257
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$16,794
Net investment gain/loss from pooled separate accounts2012-12-31$232,543
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$76,810
Contract administrator fees2012-12-31$21,408
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31SS&G, INC.
Accountancy firm EIN2012-12-31341945695
2011 : CLINTON ALUMINUM 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$185,343
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$608,280
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$586,903
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$168,593
Value of total assets at end of year2011-12-31$2,297,649
Value of total assets at beginning of year2011-12-31$2,720,586
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$21,377
Total interest from all sources2011-12-31$9,528
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$300,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$162,992
Participant contributions at end of year2011-12-31$201,043
Participant contributions at beginning of year2011-12-31$171,670
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$5,601
Administrative expenses (other) incurred2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-422,937
Value of net assets at end of year (total assets less liabilities)2011-12-31$2,297,649
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$2,720,586
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$0
Value of interest in pooled separate accounts at end of year2011-12-31$2,074,090
Value of interest in pooled separate accounts at beginning of year2011-12-31$2,526,735
Interest on participant loans2011-12-31$9,238
Interest earned on other investments2011-12-31$290
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$5,722
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$5,469
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$5,469
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$16,794
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$16,712
Net investment gain/loss from pooled separate accounts2011-12-31$7,222
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$586,903
Contract administrator fees2011-12-31$21,377
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31SS&G, INC.
Accountancy firm EIN2011-12-31341945695
2010 : CLINTON ALUMINUM 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$426,368
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$289,097
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$259,089
Expenses. Certain deemed distributions of participant loans2010-12-31$9,089
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$154,965
Value of total assets at end of year2010-12-31$2,720,586
Value of total assets at beginning of year2010-12-31$2,583,315
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$20,919
Total interest from all sources2010-12-31$10,087
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$250,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$154,965
Participant contributions at end of year2010-12-31$171,670
Participant contributions at beginning of year2010-12-31$183,961
Administrative expenses (other) incurred2010-12-31$20,919
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$137,271
Value of net assets at end of year (total assets less liabilities)2010-12-31$2,720,586
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$2,583,315
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in pooled separate accounts at end of year2010-12-31$2,526,735
Value of interest in pooled separate accounts at beginning of year2010-12-31$2,374,069
Interest on participant loans2010-12-31$9,875
Interest earned on other investments2010-12-31$212
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$5,469
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$5,426
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$5,426
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$16,712
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$19,859
Net investment gain/loss from pooled separate accounts2010-12-31$261,316
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$259,089
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31SS&G FINANCIAL SERVICES
Accountancy firm EIN2010-12-31341945695

Form 5500 Responses for CLINTON ALUMINUM 401(K) PLAN

2022: CLINTON ALUMINUM 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: CLINTON ALUMINUM 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: CLINTON ALUMINUM 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: CLINTON ALUMINUM 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CLINTON ALUMINUM 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: CLINTON ALUMINUM 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: CLINTON ALUMINUM 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CLINTON ALUMINUM 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CLINTON ALUMINUM 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CLINTON ALUMINUM 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CLINTON ALUMINUM 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: CLINTON ALUMINUM 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: CLINTON ALUMINUM 401(K) PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number66462
Policy instance 1
Insurance contract or identification number66462
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $22,508
Total amount of fees paid to insurance companyUSD $1,999
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $22,374
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerBROKER COMMISSION
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number66462
Policy instance 1
Insurance contract or identification number66462
Number of Individuals Covered105
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $23,583
Total amount of fees paid to insurance companyUSD $3,547
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $23,475
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerBROKER COMMISSION
Insurance broker organization code?3
Insurance broker nameMHM RETIREMENT PLAN SOLUTIONS
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number66462
Policy instance 1
Insurance contract or identification number66462
Number of Individuals Covered106
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $22,040
Total amount of fees paid to insurance companyUSD $4,019
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $22,040
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerBROKER COMMISSION
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number66462
Policy instance 1
Insurance contract or identification number66462
Number of Individuals Covered129
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $22,125
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 fees20601
Additional information about fees paid to insurance brokerBROKER COMMISSION
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number66462
Policy instance 1
Insurance contract or identification number66462
Number of Individuals Covered136
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $18,860
Total amount of fees paid to insurance companyUSD $2,696
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $18,860
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerBROKER COMMISSION
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number66462
Policy instance 1
Insurance contract or identification number66462
Number of Individuals Covered125
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $18,989
Total amount of fees paid to insurance companyUSD $3,158
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number66462
Policy instance 1
Insurance contract or identification number66462
Number of Individuals Covered125
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $18,481
Total amount of fees paid to insurance companyUSD $2,805
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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

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