401k Plan data: THE NWS 401(K) PLAN plan

THE NWS 401(K) PLAN 401k Plan overview

Plan Name	THE NWS 401(K) PLAN
Plan identification number	001

THE NWS 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NATIONAL WINE & SPIRITS, INC. has sponsored the creation of one or more 401k plans.

Company Name: NATIONAL WINE & SPIRITS, INC.

Employer identification number (EIN): 352064429

NAIC Classification: 424800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE NWS 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 PAT TREFUN 2023-09-27
001 2021-01-01 PAT TREFUN 2022-07-25
001 2020-01-01 PAT TREFUN 2021-10-10
001 2019-01-01 PAT TREFUN 2020-10-12
001 2018-01-01
001 2017-01-01 PATRICK A. TREFUN
001 2016-01-01 PATRICK A. TREFUN
001 2015-01-01 PATRICK A. TREFUN
001 2014-01-01 PATRICK A. TREFUN
001 2013-01-01 PATRICK A. TREFUN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	PAT TREFUN	2023-09-27
001	2021-01-01	PAT TREFUN	2022-07-25
001	2020-01-01	PAT TREFUN	2021-10-10
001	2019-01-01	PAT TREFUN	2020-10-12
001	2018-01-01
001	2017-01-01	PATRICK A. TREFUN
001	2016-01-01	PATRICK A. TREFUN
001	2015-01-01	PATRICK A. TREFUN
001	2014-01-01	PATRICK A. TREFUN
001	2013-01-01	PATRICK A. TREFUN

Plan Statistics for THE NWS 401(K) PLAN

401k plan membership statisitcs for THE NWS 401(K) PLAN

Measure Date Value
2018: THE NWS 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 67
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 28
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 31
Total of all active and inactive participants 2018-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 59
Number of participants with account balances 2018-01-01 57
2017: THE NWS 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 80
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 34
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 33
Total of all active and inactive participants 2017-01-01 67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 67
Number of participants with account balances 2017-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: THE NWS 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 258
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 48
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 29
Total of all active and inactive participants 2016-01-01 77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 77
Number of participants with account balances 2016-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 1
2015: THE NWS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 262
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 227
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 31
Total of all active and inactive participants 2015-01-01 258
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 258
Number of participants with account balances 2015-01-01 53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 23
2014: THE NWS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 349
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 227
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 90
Total of all active and inactive participants 2014-01-01 317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 317
Number of participants with account balances 2014-01-01 297
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 21
2013: THE NWS 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 318
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 211
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 96
Total of all active and inactive participants 2013-01-01 307
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 307
Number of participants with account balances 2013-01-01 307
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 17

Measure	Date	Value
2018: THE NWS 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	67
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	28
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	31
Total of all active and inactive participants	2018-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	59
Number of participants with account balances	2018-01-01	57
2017: THE NWS 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	80
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	34
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	33
Total of all active and inactive participants	2017-01-01	67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	67
Number of participants with account balances	2017-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: THE NWS 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	258
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	48
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	29
Total of all active and inactive participants	2016-01-01	77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	77
Number of participants with account balances	2016-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	1
2015: THE NWS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	262
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	227
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	31
Total of all active and inactive participants	2015-01-01	258
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	258
Number of participants with account balances	2015-01-01	53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	23
2014: THE NWS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	349
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	227
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	90
Total of all active and inactive participants	2014-01-01	317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	317
Number of participants with account balances	2014-01-01	297
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	21
2013: THE NWS 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	318
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	211
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	96
Total of all active and inactive participants	2013-01-01	307
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	307
Number of participants with account balances	2013-01-01	307
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	17

Financial Data on THE NWS 401(K) PLAN

Measure	Date	Value
2018 : THE NWS 401(K) PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$-111,673
Expenses. Total of all expenses incurred	2018-12-31	$2,587,993
Benefits paid (including direct rollovers)	2018-12-31	$2,571,935
Total plan assets at end of year	2018-12-31	$9,961,222
Total plan assets at beginning of year	2018-12-31	$12,660,888
Value of fidelity bond covering the plan	2018-12-31	$500,000
Total contributions received or receivable from participants	2018-12-31	$233,357
Other income received	2018-12-31	$-485,090
Net income (gross income less expenses)	2018-12-31	$-2,699,666
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$9,961,222
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$12,660,888
Assets. Value of participant loans	2018-12-31	$14,421
Total contributions received or receivable from employer(s)	2018-12-31	$140,060
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$16,058
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : THE NWS 401(K) PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$2,140,022
Expenses. Total of all expenses incurred	2017-12-31	$925,259
Benefits paid (including direct rollovers)	2017-12-31	$901,310
Total plan assets at end of year	2017-12-31	$12,660,888
Total plan assets at beginning of year	2017-12-31	$11,446,125
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$261,508
Other income received	2017-12-31	$1,720,900
Net income (gross income less expenses)	2017-12-31	$1,214,763
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$12,660,888
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$11,446,125
Assets. Value of participant loans	2017-12-31	$41,149
Total contributions received or receivable from employer(s)	2017-12-31	$157,614
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$23,949
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : THE NWS 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$15,800,274
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	$1,405,385
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$129,270
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$107,169
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$645,062
Value of total assets at end of year	2016-12-31	$11,446,125
Value of total assets at beginning of year	2016-12-31	$25,970,284
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$22,101
Total interest from all sources	2016-12-31	$2,406
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$80,880
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$80,880
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$262,177
Participant contributions at end of year	2016-12-31	$54,775
Participant contributions at beginning of year	2016-12-31	$347,427
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$232,230
Administrative expenses (other) incurred	2016-12-31	$22,101
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,276,115
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$11,446,125
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$25,970,284
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$5,398,418
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$5,322,931
Interest on participant loans	2016-12-31	$2,406
Value of interest in common/collective trusts at end of year	2016-12-31	$5,992,638
Value of interest in common/collective trusts at beginning of year	2016-12-31	$5,506,475
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$294
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$14,793,451
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$14,793,451
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$372,586
Net investment gain or loss from common/collective trusts	2016-12-31	$304,451
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$150,655
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$107,169
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2016-12-31	351090346
2015 : THE NWS 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$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	$1,662,192
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,232,509
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,173,075
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,699,518
Value of total assets at end of year	2015-12-31	$25,970,284
Value of total assets at beginning of year	2015-12-31	$25,540,601
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$59,434
Total interest from all sources	2015-12-31	$16,269
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$142,147
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$142,147
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,062,408
Participant contributions at end of year	2015-12-31	$347,427
Participant contributions at beginning of year	2015-12-31	$475,900
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$4,105
Administrative expenses (other) incurred	2015-12-31	$59,434
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$429,683
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$25,970,284
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$25,540,601
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$5,322,931
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$11,117,704
Interest on participant loans	2015-12-31	$16,269
Value of interest in common/collective trusts at end of year	2015-12-31	$5,506,475
Value of interest in common/collective trusts at beginning of year	2015-12-31	$13,943,592
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$14,793,451
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$3,405
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$3,405
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-238,201
Net investment gain or loss from common/collective trusts	2015-12-31	$42,459
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$633,005
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,173,075
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2015-12-31	351090346
2014 : THE NWS 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$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	$3,117,648
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,151,859
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,095,387
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,723,227
Value of total assets at end of year	2014-12-31	$25,540,601
Value of total assets at beginning of year	2014-12-31	$23,574,812
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$56,472
Total interest from all sources	2014-12-31	$17,055
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$131,106
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$131,106
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,075,284
Participant contributions at end of year	2014-12-31	$475,900
Participant contributions at beginning of year	2014-12-31	$434,945
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$6,297
Administrative expenses (other) incurred	2014-12-31	$56,472
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,965,789
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$25,540,601
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$23,574,812
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$11,117,704
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$10,968,894
Interest on participant loans	2014-12-31	$17,055
Value of interest in common/collective trusts at end of year	2014-12-31	$13,943,592
Value of interest in common/collective trusts at beginning of year	2014-12-31	$12,170,929
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$3,405
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$44
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$44
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$640,228
Net investment gain or loss from common/collective trusts	2014-12-31	$606,032
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$641,646
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,095,387
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2014-12-31	351090346
2013 : THE NWS 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$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	$5,358,671
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,195,042
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,140,659
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,650,059
Value of total assets at end of year	2013-12-31	$23,574,812
Value of total assets at beginning of year	2013-12-31	$19,411,183
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$54,383
Total interest from all sources	2013-12-31	$17,100
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$115,521
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$115,521
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,026,758
Participant contributions at end of year	2013-12-31	$434,945
Participant contributions at beginning of year	2013-12-31	$445,712
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$12,821
Administrative expenses (other) incurred	2013-12-31	$54,383
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$4,163,629
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$23,574,812
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$19,411,183
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$10,968,894
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$8,035,922
Interest on participant loans	2013-12-31	$17,100
Value of interest in common/collective trusts at end of year	2013-12-31	$12,170,929
Value of interest in common/collective trusts at beginning of year	2013-12-31	$10,929,500
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$44
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$49
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$49
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,358,277
Net investment gain or loss from common/collective trusts	2013-12-31	$1,217,714
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$610,480
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,140,659
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2013-12-31	351090346

Form 5500 Responses for THE NWS 401(K) PLAN

2018: THE NWS 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Mulitple 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 – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: THE NWS 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Mulitple employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: THE NWS 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Mulitple employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THE NWS 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Mulitple employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: THE NWS 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Mulitple employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: THE NWS 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NATIONAL WINE & SPIRITS, INC.
Employer identification number (EIN):	352064429
NAIC Classification:	424800