401k Plan data: SHIBUYA ENTERPRISES 401K PLAN plan

SHIBUYA ENTERPRISES 401K PLAN 401k Plan overview

Plan Name	SHIBUYA ENTERPRISES 401K PLAN
Plan identification number	001

SHIBUYA ENTERPRISES 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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

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

Company Name: ESP INVESTMENT HOLDINGS INC.

Employer identification number (EIN): 273563894

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SHIBUYA ENTERPRISES 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01
001 2015-01-01 TAKESHI SAKIMOTO 2016-10-04
001 2014-01-01 DEBRA L. ESPINOZA
001 2014-01-01 DEBRA L. ESPINOZA
001 2013-01-01 MATT MASCIANDARO 2014-10-14

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01
001	2015-01-01	TAKESHI SAKIMOTO	2016-10-04
001	2014-01-01	DEBRA L. ESPINOZA
001	2014-01-01	DEBRA L. ESPINOZA
001	2013-01-01	MATT MASCIANDARO	2014-10-14

Plan Statistics for SHIBUYA ENTERPRISES 401K PLAN

401k plan membership statisitcs for SHIBUYA ENTERPRISES 401K PLAN

Measure Date Value
2015: SHIBUYA ENTERPRISES 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 624
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 545
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 32
Total of all active and inactive participants 2015-01-01 577
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 577
Number of participants with account balances 2015-01-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SHIBUYA ENTERPRISES 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 598
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 604
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 20
Total of all active and inactive participants 2014-01-01 624
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 624
Number of participants with account balances 2014-01-01 90

Measure	Date	Value
2015: SHIBUYA ENTERPRISES 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	624
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	545
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	32
Total of all active and inactive participants	2015-01-01	577
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	577
Number of participants with account balances	2015-01-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SHIBUYA ENTERPRISES 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	598
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	604
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	20
Total of all active and inactive participants	2014-01-01	624
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	624
Number of participants with account balances	2014-01-01	90

Financial Data on SHIBUYA ENTERPRISES 401K PLAN

Measure	Date	Value
2015 : SHIBUYA ENTERPRISES 401K PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$22,866
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$35,500
Total income from all sources (including contributions)	2015-12-31	$219,762
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$474,695
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$450,836
Value of total corrective distributions	2015-12-31	$22,866
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$250,093
Value of total assets at end of year	2015-12-31	$2,554,248
Value of total assets at beginning of year	2015-12-31	$2,821,815
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$993
Total interest from all sources	2015-12-31	$5,646
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$28,185
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$28,185
Administrative expenses professional fees incurred	2015-12-31	$548
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$250,093
Participant contributions at end of year	2015-12-31	$173,783
Participant contributions at beginning of year	2015-12-31	$92,728
Participant contributions at end of year	2015-12-31	$4,347
Participant contributions at beginning of year	2015-12-31	$4,445
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$22,866
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$35,500
Other income not declared elsewhere	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$3
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-254,933
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$2,531,382
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$2,786,315
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$2,376,118
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$2,724,639
Interest on participant loans	2015-12-31	$5,646
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-64,162
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$450,836
Contract administrator fees	2015-12-31	$445
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	FARBER HASS HURLEY LLP
Accountancy firm EIN	2015-12-31	204207759
2014 : SHIBUYA ENTERPRISES 401K PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$35,500
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	$436,920
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$171,332
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$124,939
Value of total corrective distributions	2014-12-31	$45,004
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$369,680
Value of total assets at end of year	2014-12-31	$2,761,880
Value of total assets at beginning of year	2014-12-31	$2,460,792
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$1,389
Total interest from all sources	2014-12-31	$4,631
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$23,168
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$229,066
Participant contributions at end of year	2014-12-31	$93,065
Participant contributions at beginning of year	2014-12-31	$72,817
Participant contributions at end of year	2014-12-31	$5,192
Participant contributions at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$140,614
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$35,500
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$-64,161
Administrative expenses (other) incurred	2014-12-31	$1,225
Total non interest bearing cash at end of year	2014-12-31	$3
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$265,588
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,726,380
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$2,460,792
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$164
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$1,137,322
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$0
Value of interest in pooled separate accounts at end of year	2014-12-31	$1,526,298
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,387,975
Interest on participant loans	2014-12-31	$4,631
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$22,586
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$25,311
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$126,770
Net investment gain/loss from pooled separate accounts	2014-12-31	$62,005
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$99,628
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	FABER HASS JURLEY, LLP
Accountancy firm EIN	2014-12-31	204207759

Form 5500 Responses for SHIBUYA ENTERPRISES 401K PLAN

2015: SHIBUYA ENTERPRISES 401K PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SHIBUYA ENTERPRISES 401K PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

45232

Policy instance

Insurance contract or identification number	45232
Number of Individuals Covered	60
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $5,271
Total amount of fees paid to insurance company	USD $764
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,271
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	BROKER COMMISSION
Insurance broker organization code?	3
Insurance broker name	HICKS PENSION SERVICES507

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

Policy contract number

45232

Policy instance

Insurance contract or identification number	45232
Number of Individuals Covered	50
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $6,092
Total amount of fees paid to insurance company	USD $687
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,227
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	BROKER COMMISSION
Insurance broker organization code?	3
Insurance broker name	HICKS PENSION SERVICES

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

822990

Policy instance

Insurance contract or identification number	822990
Number of Individuals Covered	0
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	ESP INVESTMENT HOLDINGS INC.
Employer identification number (EIN):	273563894
NAIC Classification:	551112
NAIC Description:	Offices of Other Holding Companies