401k Plan data: UPCHURCH SERVICES, LLC 401(K) PLAN plan

UPCHURCH SERVICES, LLC 401(K) PLAN 401k Plan overview

Plan Name	UPCHURCH SERVICES, LLC 401(K) PLAN
Plan identification number	001

UPCHURCH SERVICES, LLC 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

UPCHURCH SERVICES, LLC has sponsored the creation of one or more 401k plans.

Company Name: UPCHURCH SERVICES, LLC

Employer identification number (EIN): 320022861

NAIC Classification: 238220
NAIC Description: Plumbing, Heating, and Air-Conditioning Contractors

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UPCHURCH SERVICES, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2019-01-01
001 2018-01-01 DAVID UPCHURCH 2019-09-24
001 2017-01-01 DAVID UPCHURCH 2018-07-27 DAVID UPCHURCH 2018-07-27
001 2016-01-01 DAVID UPCHURCH 2017-07-25
001 2015-01-01
001 2014-01-01 JOESPH P. HARRIS 2015-11-18
001 2013-01-01 MELODY MORGAN 2014-04-23
001 2012-01-01 MELODY MORGAN 2013-04-26
001 2011-01-01 MELODY MORGAN 2012-05-09
001 2010-01-01 MELODY MORGAN 2011-09-15
001 2009-01-01 MELODY MORGAN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01
001	2019-01-01
001	2018-01-01	DAVID UPCHURCH	2019-09-24
001	2017-01-01	DAVID UPCHURCH	2018-07-27	DAVID UPCHURCH	2018-07-27
001	2016-01-01	DAVID UPCHURCH	2017-07-25
001	2015-01-01
001	2014-01-01	JOESPH P. HARRIS	2015-11-18
001	2013-01-01	MELODY MORGAN	2014-04-23
001	2012-01-01	MELODY MORGAN	2013-04-26
001	2011-01-01	MELODY MORGAN	2012-05-09
001	2010-01-01	MELODY MORGAN	2011-09-15
001	2009-01-01	MELODY MORGAN

Plan Statistics for UPCHURCH SERVICES, LLC 401(K) PLAN

401k plan membership statisitcs for UPCHURCH SERVICES, LLC 401(K) PLAN

Measure Date Value
2020: UPCHURCH SERVICES, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 142
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 121
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 24
Total of all active and inactive participants 2020-01-01 145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 145
Number of participants with account balances 2020-01-01 72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 2
2019: UPCHURCH SERVICES, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 119
Number of other retired or separated participants entitled to future benefits 2019-01-01 20
Total of all active and inactive participants 2019-01-01 139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 139
Number of participants with account balances 2019-01-01 73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 2
2009: UPCHURCH SERVICES, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 39
Number of retired or separated participants receiving benefits 2009-01-01 1
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 51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 51
Number of participants with account balances 2009-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2020: UPCHURCH SERVICES, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	142
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	121
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	24
Total of all active and inactive participants	2020-01-01	145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	145
Number of participants with account balances	2020-01-01	72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	2
2019: UPCHURCH SERVICES, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	119
Number of other retired or separated participants entitled to future benefits	2019-01-01	20
Total of all active and inactive participants	2019-01-01	139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	139
Number of participants with account balances	2019-01-01	73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	2
2009: UPCHURCH SERVICES, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	39
Number of retired or separated participants receiving benefits	2009-01-01	1
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	51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	51
Number of participants with account balances	2009-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on UPCHURCH SERVICES, LLC 401(K) PLAN

Measure	Date	Value
2020 : UPCHURCH SERVICES, LLC 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$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	$553,236
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$237,802
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$193,627
Value of total corrective distributions	2020-12-31	$36,134
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$267,402
Value of total assets at end of year	2020-12-31	$2,601,002
Value of total assets at beginning of year	2020-12-31	$2,285,568
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$8,041
Total interest from all sources	2020-12-31	$5,117
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Administrative expenses professional fees incurred	2020-12-31	$849
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$210,251
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$315,434
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$2,601,002
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$2,285,568
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$7,192
Value of interest in pooled separate accounts at end of year	2020-12-31	$231,974
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$2,078,488
Interest earned on other investments	2020-12-31	$5,117
Value of interest in common/collective trusts at end of year	2020-12-31	$2,131,414
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$237,614
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$207,080
Net investment gain/loss from pooled separate accounts	2020-12-31	$47,301
Net investment gain or loss from common/collective trusts	2020-12-31	$233,416
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$57,151
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$193,627
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	BFMW GROUP, LLC
Accountancy firm EIN	2020-12-31	640895893
2019 : UPCHURCH SERVICES, LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$762,249
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$312,845
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$295,974
Value of total corrective distributions	2019-12-31	$9,432
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$386,646
Value of total assets at end of year	2019-12-31	$2,285,568
Value of total assets at beginning of year	2019-12-31	$1,836,164
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$7,439
Total interest from all sources	2019-12-31	$4,982
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$10,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$290,421
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$33,101
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$449,404
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$2,285,568
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,836,164
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$6,939
Value of interest in pooled separate accounts at end of year	2019-12-31	$2,078,488
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$1,653,626
Interest earned on other investments	2019-12-31	$4,982
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$207,080
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$182,538
Net investment gain/loss from pooled separate accounts	2019-12-31	$370,621
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$63,124
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$295,974
Contract administrator fees	2019-12-31	$500
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	BFMW GROUP, PLLC
Accountancy firm EIN	2019-12-31	640895893

Form 5500 Responses for UPCHURCH SERVICES, LLC 401(K) PLAN

2020: UPCHURCH SERVICES, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2019: UPCHURCH SERVICES, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2009: UPCHURCH SERVICES, LLC 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

AMERITAS LIFE INSURANCE CORP. (National Association of Insurance Commissioners NAIC id number: 61301 )

Policy contract number

333901

Policy instance

Insurance contract or identification number	333901
Number of Individuals Covered	72
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $11,242
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	1
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
Commission paid to Insurance Broker	USD $11,242
Insurance broker organization code?	3

AMERITAS LIFE INSURANCE CORP. (National Association of Insurance Commissioners NAIC id number: 61301 )

Policy contract number

333901

Policy instance

Insurance contract or identification number	333901
Number of Individuals Covered	139
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $10,370
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	1
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
Commission paid to Insurance Broker	USD $10,370
Insurance broker organization code?	3

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Company Name:	UPCHURCH SERVICES, LLC
Employer identification number (EIN):	320022861
NAIC Classification:	238220
NAIC Description:	Plumbing, Heating, and Air-Conditioning Contractors