401k Plan data: UPU INDUSTRIES, INC. 401(K) PLAN plan

UPU INDUSTRIES, INC. 401(K) PLAN 401k Plan overview

Plan Name	UPU INDUSTRIES, INC. 401(K) PLAN
Plan identification number	001

UPU INDUSTRIES, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

UPU INDUSTRIES, INC. has sponsored the creation of one or more 401k plans.

Company Name: UPU INDUSTRIES, INC.

Employer identification number (EIN): 311827572

NAIC Classification: 326100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UPU INDUSTRIES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 BRIAN DOYLE 2023-06-23
001 2021-01-01 BRIAN DOYLE 2022-05-26
001 2020-01-01 BRIAN DOYLE 2021-08-09
001 2019-01-01 BRIAN DOYLE 2020-05-25
001 2018-01-01 BRIAN DOYLE 2019-10-11
001 2017-01-01 BRIAN DOYLE 2018-06-18
001 2016-01-01 BRIAN DOYLE 2017-06-21
001 2015-01-01 BRIAN DOYLE 2016-06-03
001 2014-01-01 BRIAN DOYLE 2015-07-10
001 2013-01-01 BRIAN DOYLE 2014-05-29
001 2012-01-01 BRIAN DOYLE 2013-07-16
001 2011-01-01 BRIAN DOYLE 2012-06-19
001 2009-01-01 2010-06-11
001 2009-01-01 2010-06-11
001 2009-01-01 DUSTIN PFAMATTER BRIAN DOYLE 2010-07-01
001 2009-01-01 2010-06-11
001 2007-01-01 BRIAN DOYLE 2010-03-29
001 2006-01-01 BRIAN DOYLE BRIAN DOYLE 2010-05-14

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	BRIAN DOYLE	2023-06-23
001	2021-01-01	BRIAN DOYLE	2022-05-26
001	2020-01-01	BRIAN DOYLE	2021-08-09
001	2019-01-01	BRIAN DOYLE	2020-05-25
001	2018-01-01	BRIAN DOYLE	2019-10-11
001	2017-01-01	BRIAN DOYLE	2018-06-18
001	2016-01-01	BRIAN DOYLE	2017-06-21
001	2015-01-01	BRIAN DOYLE	2016-06-03
001	2014-01-01	BRIAN DOYLE	2015-07-10
001	2013-01-01	BRIAN DOYLE	2014-05-29
001	2012-01-01	BRIAN DOYLE	2013-07-16
001	2011-01-01	BRIAN DOYLE	2012-06-19
001	2009-01-01		2010-06-11
001	2009-01-01		2010-06-11
001	2009-01-01	DUSTIN PFAMATTER		BRIAN DOYLE	2010-07-01
001	2009-01-01		2010-06-11
001	2007-01-01			BRIAN DOYLE	2010-03-29
001	2006-01-01	BRIAN DOYLE		BRIAN DOYLE	2010-05-14

Plan Statistics for UPU INDUSTRIES, INC. 401(K) PLAN

401k plan membership statisitcs for UPU INDUSTRIES, INC. 401(K) PLAN

Measure Date Value
2009: UPU INDUSTRIES, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 24
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 12
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 11
Total of all active and inactive participants 2009-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 23
Number of participants with account balances 2009-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0
2007: UPU INDUSTRIES, INC. 401(K) PLAN 2007 401k membership
Total participants, beginning-of-year 2007-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 12
Number of retired or separated participants receiving benefits 2007-01-01 0
Number of other retired or separated participants entitled to future benefits 2007-01-01 9
Total of all active and inactive participants 2007-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 21
Number of participants with account balances 2007-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 3
2006: UPU INDUSTRIES, INC. 401(K) PLAN 2006 401k membership
Total participants, beginning-of-year 2006-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2006-01-01 15
Number of retired or separated participants receiving benefits 2006-01-01 0
Number of other retired or separated participants entitled to future benefits 2006-01-01 6
Total of all active and inactive participants 2006-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2006-01-01 0
Total participants 2006-01-01 21
Number of participants with account balances 2006-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2006-01-01 0

Measure	Date	Value
2009: UPU INDUSTRIES, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	24
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	12
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	11
Total of all active and inactive participants	2009-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	23
Number of participants with account balances	2009-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0
2007: UPU INDUSTRIES, INC. 401(K) PLAN 2007 401k membership
Total participants, beginning-of-year	2007-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	12
Number of retired or separated participants receiving benefits	2007-01-01	0
Number of other retired or separated participants entitled to future benefits	2007-01-01	9
Total of all active and inactive participants	2007-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	21
Number of participants with account balances	2007-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	3
2006: UPU INDUSTRIES, INC. 401(K) PLAN 2006 401k membership
Total participants, beginning-of-year	2006-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2006-01-01	15
Number of retired or separated participants receiving benefits	2006-01-01	0
Number of other retired or separated participants entitled to future benefits	2006-01-01	6
Total of all active and inactive participants	2006-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2006-01-01	0
Total participants	2006-01-01	21
Number of participants with account balances	2006-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2006-01-01	0

Financial Data on UPU INDUSTRIES, INC. 401(K) PLAN

Measure	Date	Value
2010 : UPU INDUSTRIES, INC. 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$21,306
Expenses. Total of all expenses incurred	2010-12-31	$37,609
Benefits paid (including direct rollovers)	2010-12-31	$37,459
Total plan assets at end of year	2010-12-31	$55,814
Total plan assets at beginning of year	2010-12-31	$72,117
Value of fidelity bond covering the plan	2010-12-31	$50,000
Total contributions received or receivable from participants	2010-12-31	$14,440
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$6,866
Net income (gross income less expenses)	2010-12-31	$-16,303
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$55,814
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$72,117
Assets. Value of participant loans	2010-12-31	$5,558
Total contributions received or receivable from employer(s)	2010-12-31	$0
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$150
2007 : UPU INDUSTRIES, INC. 401(K) PLAN 2007 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2007-12-31	$0

Form 5500 Responses for UPU INDUSTRIES, INC. 401(K) PLAN

2009: UPU INDUSTRIES, INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2007: UPU INDUSTRIES, INC. 401(K) PLAN 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	No
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Insurance	Yes
2007-01-01	Plan benefit arrangement – Insurance	Yes
2006: UPU INDUSTRIES, INC. 401(K) PLAN 2006 form 5500 responses
2006-01-01	Type of plan entity	Single employer plan
2006-01-01	Submission has been amended	No
2006-01-01	This submission is the final filing	No
2006-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2006-01-01	Plan is a collectively bargained plan	No
2006-01-01	Plan funding arrangement – Insurance	Yes
2006-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )

Policy contract number

940700

Policy instance

Insurance contract or identification number	940700
Number of Individuals Covered	10
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $124
Total amount of fees paid to insurance company	USD $0
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 $124
Insurance broker organization code?	4
Insurance broker name	PRIMERICA FINANCIAL SERVICES, INC.

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Company Name:	UPU INDUSTRIES, INC.
Employer identification number (EIN):	311827572
NAIC Classification:	326100