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SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 401k Plan overview

Plan NameSMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING
Plan identification number 001

SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING Benefits

401k Plan TypeDefined 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.
  • 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) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

SMITH MICRO SOFTWARE, INC. has sponsored the creation of one or more 401k plans.

Company Name:SMITH MICRO SOFTWARE, INC.
Employer identification number (EIN):330029027
NAIC Classification:541511
NAIC Description:Custom Computer Programming Services

Additional information about SMITH MICRO SOFTWARE, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 2500549

More information about SMITH MICRO SOFTWARE, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING

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
0012017-01-01ANGEL HERMES ANGEL HERMES2018-10-15
0012016-01-01ANGEL HERMES ANGEL HERMES2017-10-13
0012015-01-01ANGEL HERMES ANGEL HERMES2016-07-28
0012014-01-01DIANE GULLING DIANE GULLING2015-08-04
0012013-01-01DIANE GULLING DIANE GULLING2014-09-17
0012012-01-01DIANE GULLING DIANE GULLING2013-09-12
0012011-01-01DIANE GULLING DIANE GULLING2012-08-15
0012009-01-01DIANE GULLING DIANE GULLING2010-08-27

Plan Statistics for SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING

401k plan membership statisitcs for SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING

Measure Date Value
2022: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2022 401k membership
Total participants, beginning-of-year2022-01-01410
Total number of active participants reported on line 7a of the Form 55002022-01-01190
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01190
Total of all active and inactive participants2022-01-01380
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01380
Number of participants with account balances2022-01-01364
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0137
2021: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2021 401k membership
Total participants, beginning-of-year2021-01-01333
Total number of active participants reported on line 7a of the Form 55002021-01-01212
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01198
Total of all active and inactive participants2021-01-01410
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01410
Number of participants with account balances2021-01-01385
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0126
2020: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2020 401k membership
Total participants, beginning-of-year2020-01-01301
Total number of active participants reported on line 7a of the Form 55002020-01-01141
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01192
Total of all active and inactive participants2020-01-01333
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01333
Number of participants with account balances2020-01-01312
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0113
2019: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2019 401k membership
Total participants, beginning-of-year2019-01-01299
Total number of active participants reported on line 7a of the Form 55002019-01-01105
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01196
Total of all active and inactive participants2019-01-01301
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01301
Number of participants with account balances2019-01-01277
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0111
2018: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2018 401k membership
Total participants, beginning-of-year2018-01-01292
Total number of active participants reported on line 7a of the Form 55002018-01-0183
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01214
Total of all active and inactive participants2018-01-01297
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-012
Total participants2018-01-01299
Number of participants with account balances2018-01-01276
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0110
2017: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2017 401k membership
Total participants, beginning-of-year2017-01-01319
Total number of active participants reported on line 7a of the Form 55002017-01-0192
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01199
Total of all active and inactive participants2017-01-01291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-011
Total participants2017-01-01292
Number of participants with account balances2017-01-01265
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-017
2016: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2016 401k membership
Total participants, beginning-of-year2016-01-01333
Total number of active participants reported on line 7a of the Form 55002016-01-01146
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01171
Total of all active and inactive participants2016-01-01317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-012
Total participants2016-01-01319
Number of participants with account balances2016-01-01281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0113
2015: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2015 401k membership
Total participants, beginning-of-year2015-01-01443
Total number of active participants reported on line 7a of the Form 55002015-01-01158
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01174
Total of all active and inactive participants2015-01-01332
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01333
Number of participants with account balances2015-01-01292
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-018
2014: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2014 401k membership
Total participants, beginning-of-year2014-01-01490
Total number of active participants reported on line 7a of the Form 55002014-01-01299
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01144
Total of all active and inactive participants2014-01-01443
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01443
Number of participants with account balances2014-01-01340
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0110
2013: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2013 401k membership
Total participants, beginning-of-year2013-01-01499
Total number of active participants reported on line 7a of the Form 55002013-01-01338
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01152
Total of all active and inactive participants2013-01-01490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01490
Number of participants with account balances2013-01-01379
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0111
2012: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2012 401k membership
Total participants, beginning-of-year2012-01-01592
Total number of active participants reported on line 7a of the Form 55002012-01-01327
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01172
Total of all active and inactive participants2012-01-01499
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01499
Number of participants with account balances2012-01-01398
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0115
2011: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2011 401k membership
Total participants, beginning-of-year2011-01-01578
Total number of active participants reported on line 7a of the Form 55002011-01-01505
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0187
Total of all active and inactive participants2011-01-01592
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01592
Number of participants with account balances2011-01-01441
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0131
2009: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2009 401k membership
Total participants, beginning-of-year2009-01-01334
Total number of active participants reported on line 7a of the Form 55002009-01-01447
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0166
Total of all active and inactive participants2009-01-01513
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01513
Number of participants with account balances2009-01-01330
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-015

Financial Data on SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING

Measure Date Value
2022 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$0
Total income from all sources (including contributions)2022-12-31$-4,176,079
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$815,663
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$731,713
Value of total corrective distributions2022-12-31$3,130
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$2,390,086
Value of total assets at end of year2022-12-31$28,599,694
Value of total assets at beginning of year2022-12-31$33,591,436
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$80,820
Total interest from all sources2022-12-31$124,693
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$899,327
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$899,327
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$2,047,272
Participant contributions at end of year2022-12-31$95,479
Participant contributions at beginning of year2022-12-31$55,698
Administrative expenses (other) incurred2022-12-31$80,820
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-4,991,742
Value of net assets at end of year (total assets less liabilities)2022-12-31$28,599,694
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$33,591,436
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$23,543,309
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$28,742,174
Interest on participant loans2022-12-31$2,675
Interest earned on other investments2022-12-31$122,018
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$4,960,906
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$4,793,564
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-7,590,185
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$342,814
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$731,713
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 name2022-12-31BAKER TILLY US, LLP
Accountancy firm EIN2022-12-31390859910
2021 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$6,184,174
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$1,808,080
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$1,693,041
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,400,616
Value of total assets at end of year2021-12-31$33,591,436
Value of total assets at beginning of year2021-12-31$29,215,342
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$115,039
Total interest from all sources2021-12-31$144,956
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$989,081
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$989,081
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
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,636,517
Participant contributions at end of year2021-12-31$55,698
Participant contributions at beginning of year2021-12-31$58,376
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$447,638
Other income not declared elsewhere2021-12-31$22
Administrative expenses (other) incurred2021-12-31$115,039
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$4,376,094
Value of net assets at end of year (total assets less liabilities)2021-12-31$33,591,436
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$29,215,342
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$28,742,174
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$24,596,791
Interest on participant loans2021-12-31$2,360
Interest earned on other investments2021-12-31$142,596
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$4,793,564
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$4,560,175
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$2,649,499
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$316,461
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$1,693,041
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 name2021-12-31BAKER TILLY US, LLP
Accountancy firm EIN2021-12-31390859910
2020 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$6,501,681
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$2,032,075
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$1,944,644
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,291,810
Value of total assets at end of year2020-12-31$29,215,342
Value of total assets at beginning of year2020-12-31$24,745,736
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$87,431
Total interest from all sources2020-12-31$141,638
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$442,879
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$442,879
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
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,086,462
Participant contributions at end of year2020-12-31$58,376
Participant contributions at beginning of year2020-12-31$64,163
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$11,033
Administrative expenses (other) incurred2020-12-31$87,431
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$4,469,606
Value of net assets at end of year (total assets less liabilities)2020-12-31$29,215,342
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$24,745,736
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$24,596,791
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$20,314,100
Interest on participant loans2020-12-31$2,505
Interest earned on other investments2020-12-31$139,133
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$4,560,175
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$4,367,473
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$4,625,354
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$194,315
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$1,944,644
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 name2020-12-31BAKER TILLY US, LLP
Accountancy firm EIN2020-12-31390859910
2019 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$5,673,384
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$2,475,185
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,386,236
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,139,401
Value of total assets at end of year2019-12-31$24,745,736
Value of total assets at beginning of year2019-12-31$21,547,537
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$88,949
Total interest from all sources2019-12-31$147,081
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$702,189
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$702,189
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$870,914
Participant contributions at end of year2019-12-31$64,163
Participant contributions at beginning of year2019-12-31$16,265
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$149,501
Administrative expenses (other) incurred2019-12-31$88,949
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$3,198,199
Value of net assets at end of year (total assets less liabilities)2019-12-31$24,745,736
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$21,547,537
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$20,314,100
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$16,754,624
Interest on participant loans2019-12-31$2,324
Interest earned on other investments2019-12-31$144,757
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$4,367,473
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$4,776,648
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,684,713
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$118,986
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,386,236
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 name2019-12-31SQUAR MILNER LLP
Accountancy firm EIN2019-12-31330835986
2018 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$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$189,180
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$2,599,943
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,514,088
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$986,452
Value of total assets at end of year2018-12-31$21,547,537
Value of total assets at beginning of year2018-12-31$23,958,300
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$85,855
Total interest from all sources2018-12-31$159,218
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$760,724
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$760,724
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$825,980
Participant contributions at end of year2018-12-31$16,265
Participant contributions at beginning of year2018-12-31$20,597
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$101,070
Other income not declared elsewhere2018-12-31$139
Administrative expenses (other) incurred2018-12-31$85,855
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-2,410,763
Value of net assets at end of year (total assets less liabilities)2018-12-31$21,547,537
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$23,958,300
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$16,754,624
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$19,061,579
Interest on participant loans2018-12-31$853
Interest earned on other investments2018-12-31$158,365
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$4,776,648
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$4,876,124
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,717,353
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$59,402
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,514,088
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 name2018-12-31SQUAR MILNER LLP
Accountancy firm EIN2018-12-31330835986
2017 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$4,630,106
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$4,991,856
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$4,964,976
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$839,019
Value of total assets at end of year2017-12-31$23,958,300
Value of total assets at beginning of year2017-12-31$24,320,050
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$26,880
Total interest from all sources2017-12-31$151,859
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$719,112
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$719,112
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$824,569
Participant contributions at end of year2017-12-31$20,597
Participant contributions at beginning of year2017-12-31$45,722
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$15,421
Other income not declared elsewhere2017-12-31$-310
Administrative expenses (other) incurred2017-12-31$26,880
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$-361,750
Value of net assets at end of year (total assets less liabilities)2017-12-31$23,958,300
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$24,320,050
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$19,061,579
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$19,460,776
Interest on participant loans2017-12-31$829
Interest earned on other investments2017-12-31$151,030
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$4,876,124
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$4,813,552
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$2,920,426
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$-971
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$4,964,976
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 name2017-12-31SQUAR MILNER LLP
Accountancy firm EIN2017-12-31330835986
2016 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$3,144,748
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,979,582
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,976,569
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,479,611
Value of total assets at end of year2016-12-31$24,320,050
Value of total assets at beginning of year2016-12-31$23,154,884
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$3,013
Total interest from all sources2016-12-31$136,897
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$1,249,258
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$1,249,258
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,303,645
Participant contributions at end of year2016-12-31$45,722
Participant contributions at beginning of year2016-12-31$167,529
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$89,881
Other income not declared elsewhere2016-12-31$2,732
Administrative expenses (other) incurred2016-12-31$3,013
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$1,165,166
Value of net assets at end of year (total assets less liabilities)2016-12-31$24,320,050
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$23,154,884
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 registered invesment companies (eg mutual funds) at end of year2016-12-31$19,460,776
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$18,951,448
Interest on participant loans2016-12-31$5,342
Interest earned on other investments2016-12-31$131,555
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$4,813,552
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$4,035,907
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$276,250
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 contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$86,085
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,976,569
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 name2016-12-31SQUAR MILNER LLP
Accountancy firm EIN2016-12-31330835986
2015 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$1,909,166
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$2,957,787
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,956,713
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,549,946
Value of total assets at end of year2015-12-31$23,154,884
Value of total assets at beginning of year2015-12-31$24,203,505
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$1,074
Total interest from all sources2015-12-31$126,214
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$1,468,866
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$1,468,866
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,351,905
Participant contributions at end of year2015-12-31$167,529
Participant contributions at beginning of year2015-12-31$175,809
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$27,841
Other income not declared elsewhere2015-12-31$98
Administrative expenses (other) incurred2015-12-31$1,074
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-1,048,621
Value of net assets at end of year (total assets less liabilities)2015-12-31$23,154,884
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$24,203,505
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 registered invesment companies (eg mutual funds) at end of year2015-12-31$18,951,448
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$20,052,467
Interest on participant loans2015-12-31$8,077
Interest earned on other investments2015-12-31$118,137
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$4,035,907
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$3,975,229
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,235,958
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
Contributions received in cash from employer2015-12-31$170,200
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,956,713
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 name2015-12-31SQUAR MILNER LLP
Accountancy firm EIN2015-12-31330835986
2014 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$2,926,346
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,706,803
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,705,019
Expenses. Certain deemed distributions of participant loans2014-12-31$554
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,635,449
Value of total assets at end of year2014-12-31$24,203,505
Value of total assets at beginning of year2014-12-31$23,983,962
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,230
Total interest from all sources2014-12-31$130,771
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$1,363,661
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$1,363,661
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,384,094
Participant contributions at end of year2014-12-31$175,809
Participant contributions at beginning of year2014-12-31$257,502
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$27,528
Other income not declared elsewhere2014-12-31$-241
Administrative expenses (other) incurred2014-12-31$1,230
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$219,543
Value of net assets at end of year (total assets less liabilities)2014-12-31$24,203,505
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$23,983,962
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 registered invesment companies (eg mutual funds) at end of year2014-12-31$20,052,467
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$19,792,028
Interest on participant loans2014-12-31$9,222
Interest earned on other investments2014-12-31$121,549
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$3,975,229
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$3,934,432
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-203,294
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
Contributions received in cash from employer2014-12-31$223,827
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,705,019
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 name2014-12-31VASQUEZ & COMPANY LLP
Accountancy firm EIN2014-12-31330700332
2013 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$0
Total income from all sources (including contributions)2013-12-31$6,412,546
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$1,993,920
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,973,067
Expenses. Certain deemed distributions of participant loans2013-12-31$18,883
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,254,837
Value of total assets at end of year2013-12-31$23,983,962
Value of total assets at beginning of year2013-12-31$19,565,336
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$1,970
Total interest from all sources2013-12-31$131,218
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$970,879
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$970,879
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,900,629
Participant contributions at end of year2013-12-31$257,502
Participant contributions at beginning of year2013-12-31$271,577
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$27,799
Other income not declared elsewhere2013-12-31$3,174
Administrative expenses (other) incurred2013-12-31$1,970
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$4,418,626
Value of net assets at end of year (total assets less liabilities)2013-12-31$23,983,962
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$19,565,336
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 registered invesment companies (eg mutual funds) at end of year2013-12-31$19,792,028
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$15,335,223
Interest on participant loans2013-12-31$12,576
Interest earned on other investments2013-12-31$118,642
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$3,934,432
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$3,958,536
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$3,052,438
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 contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$326,409
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,973,067
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 name2013-12-31VASQUEZ & COMPANY LLP
Accountancy firm EIN2013-12-31330700332
2012 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$0
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$4,766,635
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$3,386,159
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$3,384,404
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$2,541,620
Value of total assets at end of year2012-12-31$19,565,336
Value of total assets at beginning of year2012-12-31$18,184,860
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,755
Total interest from all sources2012-12-31$121,805
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$276,952
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$276,952
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$3,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$2,089,501
Participant contributions at end of year2012-12-31$271,577
Participant contributions at beginning of year2012-12-31$199,643
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$185,179
Other income not declared elsewhere2012-12-31$48
Administrative expenses (other) incurred2012-12-31$1,755
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$1,380,476
Value of net assets at end of year (total assets less liabilities)2012-12-31$19,565,336
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$18,184,860
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 registered invesment companies (eg mutual funds) at end of year2012-12-31$15,335,223
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$14,529,973
Interest on participant loans2012-12-31$12,936
Interest earned on other investments2012-12-31$108,869
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$3,958,536
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$3,455,244
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,826,210
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 contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$266,940
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$3,384,404
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 name2012-12-31VASQUEZ & COMPANY LLP
Accountancy firm EIN2012-12-31330700332
2011 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$3,583,122
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,265,585
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,264,222
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$3,937,478
Value of total assets at end of year2011-12-31$18,184,860
Value of total assets at beginning of year2011-12-31$16,867,323
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,363
Total interest from all sources2011-12-31$109,327
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$267,749
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$267,749
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$3,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$3,054,616
Participant contributions at end of year2011-12-31$199,643
Participant contributions at beginning of year2011-12-31$119,331
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$387,778
Other income not declared elsewhere2011-12-31$1,196
Administrative expenses (other) incurred2011-12-31$1,363
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$1,317,537
Value of net assets at end of year (total assets less liabilities)2011-12-31$18,184,860
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$16,867,323
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$14,529,973
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$13,523,370
Interest on participant loans2011-12-31$10,613
Interest earned on other investments2011-12-31$98,714
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$3,455,244
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$3,224,622
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-732,628
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 contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$495,084
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,264,222
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 name2011-12-31VASQUEZ & COMPANY LLP
Accountancy firm EIN2011-12-31330700332
2010 : SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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$5,801,116
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$319,640
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$319,122
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$4,029,022
Value of total assets at end of year2010-12-31$16,867,323
Value of total assets at beginning of year2010-12-31$11,385,847
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$518
Total interest from all sources2010-12-31$90,131
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$173,600
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$173,600
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$3,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$2,918,590
Participant contributions at end of year2010-12-31$119,331
Participant contributions at beginning of year2010-12-31$33,605
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$550,616
Other income not declared elsewhere2010-12-31$15,048
Administrative expenses (other) incurred2010-12-31$518
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$5,481,476
Value of net assets at end of year (total assets less liabilities)2010-12-31$16,867,323
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$11,385,847
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 registered invesment companies (eg mutual funds) at end of year2010-12-31$13,523,370
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$8,854,528
Interest on participant loans2010-12-31$6,766
Interest earned on other investments2010-12-31$83,365
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$3,224,622
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$2,497,714
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,493,315
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
Contributions received in cash from employer2010-12-31$559,816
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$319,122
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 name2010-12-31VASQUEZ & COMPANY LLP
Accountancy firm EIN2010-12-31330700332

Form 5500 Responses for SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING

2022: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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 – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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 – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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 – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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 – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 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: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
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: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
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
2009: SMITH MICRO SOFTWARE, INC. 401K PROFIT SHARING 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered380
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $4,122
Total amount of fees paid to insurance companyUSD $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 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
Commission paid to Insurance BrokerUSD $4,122
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered409
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $706
Total amount of fees paid to insurance companyUSD $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 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 $706
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number7YH655
Policy instance 1
Insurance contract or identification number7YH655
Number of Individuals Covered333
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $4,087
Total amount of fees paid to insurance companyUSD $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 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 $4,087
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered301
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $4,620
Total amount of fees paid to insurance companyUSD $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 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 $4,620
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered299
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $5,134
Total amount of fees paid to insurance companyUSD $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 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 $5,134
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered292
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $9,794
Total amount of fees paid to insurance companyUSD $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 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 $5,498
Insurance broker organization code?3
Insurance broker nameCETERA ADVISORS LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered333
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $10,130
Total amount of fees paid to insurance companyUSD $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 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 $5,065
Insurance broker organization code?3
Insurance broker nameCETERA ADVISORS LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered443
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $10,302
Total amount of fees paid to insurance companyUSD $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 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 $5,151
Insurance broker organization code?3
Insurance broker nameCETERA ADVISORS LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered490
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $9,679
Total amount of fees paid to insurance companyUSD $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 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 $4,930
Insurance broker organization code?3
Insurance broker nameCETERA ADVISORS LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered499
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $9,278
Total amount of fees paid to insurance companyUSD $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 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 $5,678
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameCETERA ADVISORS LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered592
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $8,568
Total amount of fees paid to insurance companyUSD $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 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHZ655
Policy instance 1
Insurance contract or identification numberPHZ655
Number of Individuals Covered578
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $6,855
Total amount of fees paid to insurance companyUSD $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 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

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