401k Plan data: NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN plan

NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN
Plan identification number	002

NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

NISEN & ELLIOTT, LLC has sponsored the creation of one or more 401k plans.

Company Name: NISEN & ELLIOTT, LLC

Employer identification number (EIN): 362159575

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2021-10-01 MARK ZAENGER 2023-07-14
002 2020-10-01 MARK ZAENGER 2022-04-02
002 2019-10-01 MARK ZAENGER 2021-06-22
002 2018-10-01 MARK ZAENGER 2020-02-21 MARK ZAENGER 2020-02-21
002 2017-10-01 MARK F ZAENGER 2019-02-28 MARK F ZAENGER 2019-02-28
002 2016-10-01 MARK F ZAENGER 2018-03-07 MARK F ZAENGER 2018-03-07
002 2015-10-01 MARK ZAENGER 2016-11-21 MARK ZAENGER 2016-11-21
002 2014-10-01 MARK ZAENGER 2016-01-08 MARK ZAENGER 2016-01-08
002 2013-10-01 MARK ZAENGER 2015-02-11 MARK ZAENGER 2015-02-11
002 2012-10-01 MARK ZAENGER 2013-11-25 MARK ZAENGER 2013-11-25
002 2011-10-01 MARK ZAENGER MARK ZAENGER 2013-01-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2021-10-01	MARK ZAENGER	2023-07-14
002	2020-10-01	MARK ZAENGER	2022-04-02
002	2019-10-01	MARK ZAENGER	2021-06-22
002	2018-10-01	MARK ZAENGER	2020-02-21	MARK ZAENGER	2020-02-21
002	2017-10-01	MARK F ZAENGER	2019-02-28	MARK F ZAENGER	2019-02-28
002	2016-10-01	MARK F ZAENGER	2018-03-07	MARK F ZAENGER	2018-03-07
002	2015-10-01	MARK ZAENGER	2016-11-21	MARK ZAENGER	2016-11-21
002	2014-10-01	MARK ZAENGER	2016-01-08	MARK ZAENGER	2016-01-08
002	2013-10-01	MARK ZAENGER	2015-02-11	MARK ZAENGER	2015-02-11
002	2012-10-01	MARK ZAENGER	2013-11-25	MARK ZAENGER	2013-11-25
002	2011-10-01	MARK ZAENGER		MARK ZAENGER	2013-01-21

Plan Statistics for NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN

Measure Date Value
2011: NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-10-01 55
Total number of active participants reported on line 7a of the Form 5500 2011-10-01 31
Number of retired or separated participants receiving benefits 2011-10-01 0
Number of other retired or separated participants entitled to future benefits 2011-10-01 21
Total of all active and inactive participants 2011-10-01 52
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-01 0
Total participants 2011-10-01 52
Number of participants with account balances 2011-10-01 52
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-10-01 0

Measure	Date	Value
2011: NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-10-01	55
Total number of active participants reported on line 7a of the Form 5500	2011-10-01	31
Number of retired or separated participants receiving benefits	2011-10-01	0
Number of other retired or separated participants entitled to future benefits	2011-10-01	21
Total of all active and inactive participants	2011-10-01	52
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-01	0
Total participants	2011-10-01	52
Number of participants with account balances	2011-10-01	52
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-10-01	0

Financial Data on NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total plan liabilities at beginning of year	2012-09-30	$0
Total income from all sources	2012-09-30	$2,564,538
Expenses. Total of all expenses incurred	2012-09-30	$355,946
Benefits paid (including direct rollovers)	2012-09-30	$342,692
Total plan assets at end of year	2012-09-30	$12,401,483
Total plan assets at beginning of year	2012-09-30	$10,192,891
Value of fidelity bond covering the plan	2012-09-30	$1,000,000
Total contributions received or receivable from participants	2012-09-30	$266,575
Expenses. Other expenses not covered elsewhere	2012-09-30	$0
Contributions received from other sources (not participants or employers)	2012-09-30	$0
Other income received	2012-09-30	$1,968,394
Net income (gross income less expenses)	2012-09-30	$2,208,592
Net plan assets at end of year (total assets less liabilities)	2012-09-30	$12,401,483
Net plan assets at beginning of year (total assets less liabilities)	2012-09-30	$10,192,891
Assets. Value of participant loans	2012-09-30	$226,215
Total contributions received or receivable from employer(s)	2012-09-30	$329,569
Expenses. Administrative service providers (salaries,fees and commissions)	2012-09-30	$13,254
2011 : NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-09-30	$0
Total income from all sources	2011-09-30	$351,534
Expenses. Total of all expenses incurred	2011-09-30	$161,947
Benefits paid (including direct rollovers)	2011-09-30	$152,294
Total plan assets at end of year	2011-09-30	$10,192,891
Total plan assets at beginning of year	2011-09-30	$10,003,304
Value of fidelity bond covering the plan	2011-09-30	$1,000,000
Total contributions received or receivable from participants	2011-09-30	$232,458
Contributions received from other sources (not participants or employers)	2011-09-30	$542
Other income received	2011-09-30	$-230,993
Net income (gross income less expenses)	2011-09-30	$189,587
Net plan assets at end of year (total assets less liabilities)	2011-09-30	$10,192,891
Net plan assets at beginning of year (total assets less liabilities)	2011-09-30	$10,003,304
Assets. Value of participant loans	2011-09-30	$111,712
Total contributions received or receivable from employer(s)	2011-09-30	$349,527
Expenses. Administrative service providers (salaries,fees and commissions)	2011-09-30	$9,653

Form 5500 Responses for NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN

2011: NISEN & ELLIOTT 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-10-01	Type of plan entity	Single employer plan
2011-10-01	Submission has been amended	No
2011-10-01	This submission is the final filing	No
2011-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-10-01	Plan is a collectively bargained plan	No
2011-10-01	Plan funding arrangement – Trust	Yes
2011-10-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NISEN & ELLIOTT, LLC
Employer identification number (EIN):	362159575
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers