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Plan Name | ROCKY BRANDS, INC. RETIREMENT PLAN |
Plan identification number | 001 |
401k Plan Type | Defined Benefit Pension |
Plan Features/Benefits |
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Company Name: | ROCKY BRANDS, INC. |
Employer identification number (EIN): | 311364046 |
NAIC Classification: | 316210 |
NAIC Description: | Footwear Manufacturing |
Additional information about ROCKY BRANDS, INC.
Jurisdiction of Incorporation: | Ohio Secretary of State Business Services Division |
Incorporation Date: | 1992-06-18 |
Company Identification Number: | 821674 |
Legal Registered Office Address: |
41 SOUTH HIGH STREET SUITE 2800 COLUMBUS United States of America (USA) 43215 |
More information about ROCKY BRANDS, INC.
Plan id# | Filing Submission Date | Name of Administrator | Date Administrator Signed | Name of Company Sponsor | Date Sponsor Signed |
---|---|---|---|---|---|
001 | 2012-04-01 | JAMES SIGAFOOSE | 2013-05-01 | JAMES SIGAFOOSE | 2013-05-01 |
001 | 2011-04-01 | JAMES SIGAFOOSE |
Measure | Date | Value |
---|---|---|
2011: ROCKY BRANDS, INC. RETIREMENT PLAN 2011 401k membership | ||
Total participants, beginning-of-year | 2011-04-01 | 724 |
Total number of active participants reported on line 7a of the Form 5500 | 2011-04-01 | 6 |
Number of retired or separated participants receiving benefits | 2011-04-01 | 23 |
Number of other retired or separated participants entitled to future benefits | 2011-04-01 | 1 |
Total of all active and inactive participants | 2011-04-01 | 30 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-04-01 | 0 |
Total participants | 2011-04-01 | 30 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-04-01 | 0 |
Measure | Date | Value |
---|---|---|
2012 : ROCKY BRANDS, INC. RETIREMENT PLAN 2012 401k financial data | ||
Unrealized appreciation/depreciation of other (non real estate) assets | 2012-03-31 | $1,962,520 |
Total unrealized appreciation/depreciation of assets | 2012-03-31 | $1,962,520 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-03-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-03-31 | $0 |
Total income from all sources (including contributions) | 2012-03-31 | $-749,592 |
Total loss/gain on sale of assets | 2012-03-31 | $-2,953,332 |
Total of all expenses incurred | 2012-03-31 | $12,658,332 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-03-31 | $12,410,665 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-03-31 | $160,111 |
Value of total assets at end of year | 2012-03-31 | $129,418 |
Value of total assets at beginning of year | 2012-03-31 | $13,537,342 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-03-31 | $247,667 |
Total interest from all sources | 2012-03-31 | $33,804 |
Total dividends received (eg from common stock, registered investment company shares) | 2012-03-31 | $47,305 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-03-31 | Yes |
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2012-03-31 | $0 |
Administrative expenses professional fees incurred | 2012-03-31 | $71,503 |
Was this plan covered by a fidelity bond | 2012-03-31 | Yes |
Value of fidelity bond cover | 2012-03-31 | $100,000 |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-03-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2012-03-31 | No |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2012-03-31 | $20,650 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-03-31 | $17,735 |
Administrative expenses (other) incurred | 2012-03-31 | $106,359 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-03-31 | No |
Value of net income/loss | 2012-03-31 | $-13,407,924 |
Value of net assets at end of year (total assets less liabilities) | 2012-03-31 | $129,418 |
Value of net assets at beginning of year (total assets less liabilities) | 2012-03-31 | $13,537,342 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-03-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2012-03-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2012-03-31 | No |
Investment advisory and management fees | 2012-03-31 | $69,805 |
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2012-03-31 | $941,665 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2012-03-31 | $941,665 |
Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2012-03-31 | $33,804 |
Expenses. Payments to insurance carriers foe the provision of benefits | 2012-03-31 | $2,622,629 |
Asset value of US Government securities at beginning of year | 2012-03-31 | $1,203,784 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-03-31 | Yes |
Was there a failure to transmit to the plan any participant contributions | 2012-03-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2012-03-31 | No |
Assets. Invements in employer securities at beginning of year | 2012-03-31 | $960,348 |
Contributions received in cash from employer | 2012-03-31 | $160,111 |
Employer contributions (assets) at end of year | 2012-03-31 | $129,418 |
Employer contributions (assets) at beginning of year | 2012-03-31 | $4,876,440 |
Income. Dividends from common stock | 2012-03-31 | $47,305 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-03-31 | $9,767,386 |
Asset. Corporate debt instrument preferred debt at beginning of year | 2012-03-31 | $414,305 |
Assets. Corporate common stocks other than exployer securities at beginning of year | 2012-03-31 | $5,123,065 |
Did the plan have assets held for investment | 2012-03-31 | No |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-03-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-03-31 | No |
Aggregate proceeds on sale of assets | 2012-03-31 | $27,904,755 |
Aggregate carrying amount (costs) on sale of assets | 2012-03-31 | $30,858,087 |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-03-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2012-03-31 | Disclaimer |
Accountancy firm name | 2012-03-31 | CLARUS PARTNERS, LLC |
Accountancy firm EIN | 2012-03-31 | 261347383 |
2011 : ROCKY BRANDS, INC. RETIREMENT PLAN 2011 401k financial data | ||
Unrealized appreciation/depreciation of other (non real estate) assets | 2011-03-31 | $1,133,290 |
Total unrealized appreciation/depreciation of assets | 2011-03-31 | $1,133,290 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-03-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-03-31 | $0 |
Total income from all sources (including contributions) | 2011-03-31 | $6,499,637 |
Total loss/gain on sale of assets | 2011-03-31 | $-21,430 |
Total of all expenses incurred | 2011-03-31 | $550,248 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-03-31 | $389,002 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-03-31 | $5,270,934 |
Value of total assets at end of year | 2011-03-31 | $13,537,342 |
Value of total assets at beginning of year | 2011-03-31 | $7,587,953 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-03-31 | $161,246 |
Total interest from all sources | 2011-03-31 | $46,565 |
Total dividends received (eg from common stock, registered investment company shares) | 2011-03-31 | $69,734 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-03-31 | No |
Administrative expenses professional fees incurred | 2011-03-31 | $19,484 |
Was this plan covered by a fidelity bond | 2011-03-31 | Yes |
Value of fidelity bond cover | 2011-03-31 | $100,000 |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-03-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2011-03-31 | No |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-03-31 | $17,735 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-03-31 | $18,596 |
Other income not declared elsewhere | 2011-03-31 | $544 |
Administrative expenses (other) incurred | 2011-03-31 | $53,452 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-03-31 | No |
Value of net income/loss | 2011-03-31 | $5,949,389 |
Value of net assets at end of year (total assets less liabilities) | 2011-03-31 | $13,537,342 |
Value of net assets at beginning of year (total assets less liabilities) | 2011-03-31 | $7,587,953 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-03-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2011-03-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2011-03-31 | No |
Investment advisory and management fees | 2011-03-31 | $88,310 |
Income. Interest from US Government securities | 2011-03-31 | $32,881 |
Income. Interest from corporate debt instruments | 2011-03-31 | $13,625 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2011-03-31 | $941,665 |
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2011-03-31 | $209,966 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2011-03-31 | $209,966 |
Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2011-03-31 | $59 |
Asset value of US Government securities at end of year | 2011-03-31 | $1,203,784 |
Asset value of US Government securities at beginning of year | 2011-03-31 | $1,460,829 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-03-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2011-03-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2011-03-31 | No |
Assets. Invements in employer securities at end of year | 2011-03-31 | $960,348 |
Assets. Invements in employer securities at beginning of year | 2011-03-31 | $680,679 |
Contributions received in cash from employer | 2011-03-31 | $5,270,934 |
Employer contributions (assets) at end of year | 2011-03-31 | $4,876,440 |
Employer contributions (assets) at beginning of year | 2011-03-31 | $452,196 |
Income. Dividends from common stock | 2011-03-31 | $69,734 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-03-31 | $389,002 |
Asset. Corporate debt instrument preferred debt at end of year | 2011-03-31 | $414,305 |
Asset. Corporate debt instrument preferred debt at beginning of year | 2011-03-31 | $403,443 |
Assets. Corporate common stocks other than exployer securities at end of year | 2011-03-31 | $5,123,065 |
Assets. Corporate common stocks other than exployer securities at beginning of year | 2011-03-31 | $4,362,244 |
Did the plan have assets held for investment | 2011-03-31 | 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 | 2011-03-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-03-31 | No |
Aggregate proceeds on sale of assets | 2011-03-31 | $5,475,222 |
Aggregate carrying amount (costs) on sale of assets | 2011-03-31 | $5,496,652 |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-03-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2011-03-31 | Disclaimer |
Accountancy firm name | 2011-03-31 | YANKOVICH ADELMAN JOHNSON STEVENSON |
Accountancy firm EIN | 2011-03-31 | 261347383 |
2011: ROCKY BRANDS, INC. RETIREMENT PLAN 2011 form 5500 responses | ||
---|---|---|
2011-04-01 | Type of plan entity | Single employer plan |
2011-04-01 | Submission has been amended | No |
2011-04-01 | This submission is the final filing | No |
2011-04-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2011-04-01 | Plan is a collectively bargained plan | No |
2011-04-01 | Plan funding arrangement – Trust | Yes |
2011-04-01 | Plan benefit arrangement – Insurance | Yes |
2011-04-01 | Plan benefit arrangement - Trust | Yes |
MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 ) | |||||||||||||||||||
Policy contract number | SPG-16343 | ||||||||||||||||||
Policy instance | 1 | ||||||||||||||||||
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