401k Plan data: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN plan

CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 401k Plan overview

Plan Name	CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN
Plan identification number	001

CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.

401k Sponsoring company profile

CARROLL, KELLY, TROTTER, FRANZEN A LAW CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: CARROLL, KELLY, TROTTER, FRANZEN A LAW CORPORATION

Employer identification number (EIN): 330676328

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01 MICHAEL J. TROTTER 2022-10-06
001 2020-01-01 MICHAEL J. TROTTER 2021-10-06
001 2019-01-01 MICHAEL J. TROTTER 2020-07-27
001 2018-01-01 MICHAEL J. TROTTER 2019-10-07
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 MICHAEL J. TROTTER 2015-10-13
001 2013-01-01 MICHAEL J. TROTTER 2014-09-16
001 2012-01-01 MICHAEL J. TROTTER 2013-08-06
001 2011-01-01 MICHAEL J. TROTTER 2012-07-09
001 2010-01-01 MICHAEL J. TROTTER 2011-07-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01	MICHAEL J. TROTTER	2022-10-06
001	2020-01-01	MICHAEL J. TROTTER	2021-10-06
001	2019-01-01	MICHAEL J. TROTTER	2020-07-27
001	2018-01-01	MICHAEL J. TROTTER	2019-10-07
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	MICHAEL J. TROTTER	2015-10-13
001	2013-01-01	MICHAEL J. TROTTER	2014-09-16
001	2012-01-01	MICHAEL J. TROTTER	2013-08-06
001	2011-01-01	MICHAEL J. TROTTER	2012-07-09
001	2010-01-01	MICHAEL J. TROTTER	2011-07-12

Plan Statistics for CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN

401k plan membership statisitcs for CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN

Measure Date Value
2021: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 103
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 74
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 14
Total of all active and inactive participants 2021-01-01 88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 88
Number of participants with account balances 2021-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 9
2020: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 114
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 83
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 15
Total of all active and inactive participants 2020-01-01 98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 98
Number of participants with account balances 2020-01-01 93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 8
2019: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 107
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 95
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 19
Total of all active and inactive participants 2019-01-01 114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 114
Number of participants with account balances 2019-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 123
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 93
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 14
Total of all active and inactive participants 2018-01-01 107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 107
Number of participants with account balances 2018-01-01 102
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 11

Measure	Date	Value
2021: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	103
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	74
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	14
Total of all active and inactive participants	2021-01-01	88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	88
Number of participants with account balances	2021-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	9
2020: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	114
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	83
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	15
Total of all active and inactive participants	2020-01-01	98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	98
Number of participants with account balances	2020-01-01	93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	8
2019: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	107
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	95
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	19
Total of all active and inactive participants	2019-01-01	114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	114
Number of participants with account balances	2019-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	123
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	93
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	14
Total of all active and inactive participants	2018-01-01	107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	107
Number of participants with account balances	2018-01-01	102
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	11

Financial Data on CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN

Measure	Date	Value
2021 : CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$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	$1,981,044
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$1,890,397
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,887,829
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$757,980
Value of total assets at end of year	2021-12-31	$9,768,860
Value of total assets at beginning of year	2021-12-31	$9,678,213
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$2,568
Total interest from all sources	2021-12-31	$22,429
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$10,812
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$10,812
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$673,251
Participant contributions at end of year	2021-12-31	$205,919
Participant contributions at beginning of year	2021-12-31	$126,388
Participant contributions at end of year	2021-12-31	$19,525
Participant contributions at beginning of year	2021-12-31	$23,359
Other income not declared elsewhere	2021-12-31	$31
Total non interest bearing cash at end of year	2021-12-31	$0
Total non interest bearing cash at beginning of year	2021-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$90,647
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$9,768,860
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$9,678,213
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$981,727
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$1,291,324
Value of interest in pooled separate accounts at end of year	2021-12-31	$557,243
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$581,549
Interest on participant loans	2021-12-31	$7,518
Interest earned on other investments	2021-12-31	$14,911
Value of interest in common/collective trusts at end of year	2021-12-31	$6,892,731
Value of interest in common/collective trusts at beginning of year	2021-12-31	$6,487,688
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$1,109,401
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$1,164,034
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$136,538
Net investment gain/loss from pooled separate accounts	2021-12-31	$136,912
Net investment gain or loss from common/collective trusts	2021-12-31	$916,342
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$84,729
Employer contributions (assets) at end of year	2021-12-31	$2,314
Employer contributions (assets) at beginning of year	2021-12-31	$3,871
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,887,829
Contract administrator fees	2021-12-31	$2,568
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	PENSION ASSURANCE LLP
Accountancy firm EIN	2021-12-31	300840934
2020 : CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$1,859,015
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$1,947,210
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,866,571
Value of total corrective distributions	2020-12-31	$78,626
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$888,454
Value of total assets at end of year	2020-12-31	$9,678,213
Value of total assets at beginning of year	2020-12-31	$9,766,408
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$2,013
Total interest from all sources	2020-12-31	$28,392
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$16,276
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$16,276
Administrative expenses professional fees incurred	2020-12-31	$0
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$661,786
Participant contributions at end of year	2020-12-31	$126,388
Participant contributions at beginning of year	2020-12-31	$151,450
Participant contributions at end of year	2020-12-31	$23,359
Participant contributions at beginning of year	2020-12-31	$22,872
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$121,593
Total non interest bearing cash at end of year	2020-12-31	$0
Total non interest bearing cash at beginning of year	2020-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$-88,195
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$9,678,213
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$9,766,408
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$1,291,324
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$1,415,257
Value of interest in pooled separate accounts at end of year	2020-12-31	$581,549
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$539,719
Interest on participant loans	2020-12-31	$7,830
Interest earned on other investments	2020-12-31	$20,562
Value of interest in common/collective trusts at end of year	2020-12-31	$6,487,688
Value of interest in common/collective trusts at beginning of year	2020-12-31	$6,617,757
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$1,164,034
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$1,015,378
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$84,291
Net investment gain/loss from pooled separate accounts	2020-12-31	$60,287
Net investment gain or loss from common/collective trusts	2020-12-31	$781,315
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$105,075
Employer contributions (assets) at end of year	2020-12-31	$3,871
Employer contributions (assets) at beginning of year	2020-12-31	$3,975
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,866,571
Contract administrator fees	2020-12-31	$2,013
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	PENSION ASSURANCE LLP
Accountancy firm EIN	2020-12-31	300840934
2019 : CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets	2019-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$2,222,864
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$448,766
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$446,684
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Value of total corrective distributions	2019-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$731,217
Value of total assets at end of year	2019-12-31	$9,766,408
Value of total assets at beginning of year	2019-12-31	$7,992,310
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$2,082
Total interest from all sources	2019-12-31	$26,526
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$19,898
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$19,898
Administrative expenses professional fees incurred	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$627,014
Participant contributions at end of year	2019-12-31	$151,450
Participant contributions at beginning of year	2019-12-31	$152,967
Participant contributions at end of year	2019-12-31	$22,872
Participant contributions at beginning of year	2019-12-31	$22,302
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
Total non interest bearing cash at end of year	2019-12-31	$0
Total non interest bearing cash at beginning of year	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$1,774,098
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$9,766,408
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$7,992,310
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$1,415,257
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$933,091
Value of interest in pooled separate accounts at end of year	2019-12-31	$539,719
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$273,215
Interest on participant loans	2019-12-31	$9,575
Income. Interest from loans (other than to participants)	2019-12-31	$0
Interest earned on other investments	2019-12-31	$16,951
Income. Interest from US Government securities	2019-12-31	$0
Income. Interest from corporate debt instruments	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$6,617,757
Value of interest in common/collective trusts at beginning of year	2019-12-31	$5,463,265
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,015,378
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,144,503
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$210,923
Net investment gain/loss from pooled separate accounts	2019-12-31	$99,874
Net investment gain or loss from common/collective trusts	2019-12-31	$1,134,426
Net gain/loss from 103.12 investment entities	2019-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$104,203
Employer contributions (assets) at end of year	2019-12-31	$3,975
Employer contributions (assets) at beginning of year	2019-12-31	$2,967
Income. Dividends from preferred stock	2019-12-31	$0
Income. Dividends from common stock	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$446,684
Contract administrator fees	2019-12-31	$2,082
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Aggregate proceeds on sale of assets	2019-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	PENSION ASSURANCE LLP
Accountancy firm EIN	2019-12-31	300840934
2018 : CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$0
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$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
Expenses. Interest paid	2018-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$322,187
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,052,708
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,051,071
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Value of total corrective distributions	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$868,483
Value of total assets at end of year	2018-12-31	$7,992,310
Value of total assets at beginning of year	2018-12-31	$8,722,831
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$1,637
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$21,763
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$9,690
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$9,690
Administrative expenses professional fees incurred	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$626,631
Participant contributions at end of year	2018-12-31	$152,967
Participant contributions at beginning of year	2018-12-31	$147,403
Participant contributions at end of year	2018-12-31	$22,302
Participant contributions at beginning of year	2018-12-31	$23,326
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$144,735
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$119
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-730,521
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$7,992,310
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$8,722,831
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$933,091
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$952,315
Value of interest in pooled separate accounts at end of year	2018-12-31	$273,215
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$218,139
Interest on participant loans	2018-12-31	$6,412
Interest earned on other investments	2018-12-31	$15,351
Value of interest in common/collective trusts at end of year	2018-12-31	$5,463,265
Value of interest in common/collective trusts at beginning of year	2018-12-31	$6,363,500
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$1,144,503
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$1,014,036
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-108,656
Net investment gain/loss from pooled separate accounts	2018-12-31	$-15,986
Net investment gain or loss from common/collective trusts	2018-12-31	$-453,107
Net gain/loss from 103.12 investment entities	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$97,117
Employer contributions (assets) at end of year	2018-12-31	$2,967
Employer contributions (assets) at beginning of year	2018-12-31	$4,112
Income. Dividends from preferred stock	2018-12-31	$0
Income. Dividends from common stock	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,051,071
Contract administrator fees	2018-12-31	$1,518
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	PENSION ASSURANCE LLP
Accountancy firm EIN	2018-12-31	300840934

Form 5500 Responses for CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN

2021: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: CARROLL, KELLY, TROTTER, FRANZEN SALARY SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	119
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $573
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	573
Additional information about fees paid to insurance broker	TPA SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

716291

Policy instance

Insurance contract or identification number	716291
Number of Individuals Covered	119
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $303
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	303
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	124
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $640
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	640
Additional information about fees paid to insurance broker	TPA SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	135
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $563
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	563
Additional information about fees paid to insurance broker	TPA SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

716291

Policy instance

Insurance contract or identification number	716291
Number of Individuals Covered	135
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $175
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	175
Additional information about fees paid to insurance broker	SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	135
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $529
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	529
Additional information about fees paid to insurance broker	TPA SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

716291

Policy instance

Insurance contract or identification number	716291
Number of Individuals Covered	135
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $123
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	123
Additional information about fees paid to insurance broker	SERVICE FEE
Insurance broker organization code?	3

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Company Name:	CARROLL, KELLY, TROTTER, FRANZEN A LAW CORPORATION
Employer identification number (EIN):	330676328
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers