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PHX-AM I, LLC 401(K) PLAN 401k Plan overview

Plan NamePHX-AM I, LLC 401(K) PLAN
Plan identification number 001

PHX-AM I, LLC 401(K) PLAN 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.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

PHX-AM I, LLC has sponsored the creation of one or more 401k plans.

Company Name:PHX-AM I, LLC
Employer identification number (EIN):352413483
NAIC Classification:551112
NAIC Description:Offices of Other Holding Companies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PHX-AM I, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012015-01-01
0012014-01-01JONATHAN SHANE
0012013-01-01JONATHAN SHANE
0012012-01-01JONATHAN SHANE
0012011-11-15JONATHAN SHANE

Plan Statistics for PHX-AM I, LLC 401(K) PLAN

401k plan membership statisitcs for PHX-AM I, LLC 401(K) PLAN

Measure Date Value
2014: PHX-AM I, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0160
Total number of active participants reported on line 7a of the Form 55002014-01-0165
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0111
Total of all active and inactive participants2014-01-0176
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0176
Number of participants with account balances2014-01-0148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: PHX-AM I, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0151
Total number of active participants reported on line 7a of the Form 55002013-01-0153
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-017
Total of all active and inactive participants2013-01-0160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0160
Number of participants with account balances2013-01-0140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: PHX-AM I, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0149
Total number of active participants reported on line 7a of the Form 55002012-01-0143
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-018
Total of all active and inactive participants2012-01-0151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0151
Number of participants with account balances2012-01-0140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: PHX-AM I, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-11-150
Total number of active participants reported on line 7a of the Form 55002011-11-1541
Number of retired or separated participants receiving benefits2011-11-150
Number of other retired or separated participants entitled to future benefits2011-11-158
Total of all active and inactive participants2011-11-1549
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-11-150
Total participants2011-11-1549
Number of participants with account balances2011-11-1539
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-11-150

Financial Data on PHX-AM I, LLC 401(K) PLAN

Measure Date Value
2014 : PHX-AM I, LLC 401(K) PLAN 2014 401k financial data
Transfers to/from the plan2014-12-31$0
Total plan liabilities at end of year2014-12-31$0
Total plan liabilities at beginning of year2014-12-31$0
Total income from all sources2014-12-31$546,080
Expenses. Total of all expenses incurred2014-12-31$70,234
Benefits paid (including direct rollovers)2014-12-31$70,234
Total plan assets at end of year2014-12-31$4,577,545
Total plan assets at beginning of year2014-12-31$4,101,699
Value of fidelity bond covering the plan2014-12-31$400,000
Total contributions received or receivable from participants2014-12-31$256,496
Expenses. Other expenses not covered elsewhere2014-12-31$0
Contributions received from other sources (not participants or employers)2014-12-31$3,412
Other income received2014-12-31$286,172
Noncash contributions received2014-12-31$0
Net income (gross income less expenses)2014-12-31$475,846
Net plan assets at end of year (total assets less liabilities)2014-12-31$4,577,545
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$4,101,699
Assets. Value of participant loans2014-12-31$27,597
Total contributions received or receivable from employer(s)2014-12-31$0
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
2013 : PHX-AM I, LLC 401(K) PLAN 2013 401k financial data
Transfers to/from the plan2013-12-31$0
Total plan liabilities at end of year2013-12-31$0
Total plan liabilities at beginning of year2013-12-31$0
Total income from all sources2013-12-31$838,648
Expenses. Total of all expenses incurred2013-12-31$38,901
Benefits paid (including direct rollovers)2013-12-31$38,901
Total plan assets at end of year2013-12-31$4,101,699
Total plan assets at beginning of year2013-12-31$3,301,952
Value of fidelity bond covering the plan2013-12-31$400,000
Total contributions received or receivable from participants2013-12-31$242,847
Expenses. Other expenses not covered elsewhere2013-12-31$0
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$595,801
Noncash contributions received2013-12-31$0
Net income (gross income less expenses)2013-12-31$799,747
Net plan assets at end of year (total assets less liabilities)2013-12-31$4,101,699
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$3,301,952
Assets. Value of participant loans2013-12-31$43,532
Total contributions received or receivable from employer(s)2013-12-31$0
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : PHX-AM I, LLC 401(K) PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$240
Total plan liabilities at end of year2012-12-31$0
Total plan liabilities at beginning of year2012-12-31$0
Total income from all sources2012-12-31$591,749
Expenses. Total of all expenses incurred2012-12-31$61,644
Benefits paid (including direct rollovers)2012-12-31$61,644
Total plan assets at end of year2012-12-31$3,301,952
Total plan assets at beginning of year2012-12-31$2,771,607
Value of fidelity bond covering the plan2012-12-31$400,000
Total contributions received or receivable from participants2012-12-31$222,573
Expenses. Other expenses not covered elsewhere2012-12-31$0
Contributions received from other sources (not participants or employers)2012-12-31$39,739
Other income received2012-12-31$329,437
Noncash contributions received2012-12-31$0
Net income (gross income less expenses)2012-12-31$530,105
Net plan assets at end of year (total assets less liabilities)2012-12-31$3,301,952
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$2,771,607
Assets. Value of participant loans2012-12-31$43,782
Total contributions received or receivable from employer(s)2012-12-31$0
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$0
2011 : PHX-AM I, LLC 401(K) PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$2,771,607
Total plan liabilities at end of year2011-12-31$0
Total plan liabilities at beginning of year2011-12-31$0
Total income from all sources2011-12-31$0
Expenses. Total of all expenses incurred2011-12-31$0
Benefits paid (including direct rollovers)2011-12-31$0
Total plan assets at end of year2011-12-31$2,771,607
Total plan assets at beginning of year2011-12-31$0
Value of fidelity bond covering the plan2011-12-31$400,000
Total contributions received or receivable from participants2011-12-31$0
Expenses. Other expenses not covered elsewhere2011-12-31$0
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$0
Noncash contributions received2011-12-31$0
Net income (gross income less expenses)2011-12-31$0
Net plan assets at end of year (total assets less liabilities)2011-12-31$2,771,607
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$0
Assets. Value of participant loans2011-12-31$52,778
Total contributions received or receivable from employer(s)2011-12-31$0
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0

Form 5500 Responses for PHX-AM I, LLC 401(K) PLAN

2014: PHX-AM I, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: PHX-AM I, LLC 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: PHX-AM I, LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: PHX-AM I, LLC 401(K) PLAN 2011 form 5500 responses
2011-11-15Type of plan entitySingle employer plan
2011-11-15First time form 5500 has been submittedYes
2011-11-15This return/report is a short plan year return/report (less than 12 months)Yes
2011-11-15Plan funding arrangement – InsuranceYes
2011-11-15Plan funding arrangement – TrustYes
2011-11-15Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-C3-ER2V
Policy instance 1
Insurance contract or identification numberGAP-C3-ER2V
Number of Individuals Covered39
Insurance policy start date2011-11-15
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $208
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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